Circular No. 08/2015/TT-BKHCN dated May 05, 2015 of the Ministry of Science and Technology prescribing regulations on implementation of bilateral and multilateral cooperation program for scientific and technological research to 2020 and program for offshore technology transfer and search to 2020

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Official number:	08/2015/TT-BKHCN	Signer:	Nguyen Quan
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THE MINISTRY OF SCIENCE AND TECHNOLOGY

Circular No.08/2015/TT-BKHCN dated May 05, 2015 of the Ministry of Science and Technology prescribing regulations on implementation of bilateral and multilateral cooperation program forscientific and technological research to 2020 and program for offshore technology transfer and search to 2020

Pursuant to the Government’s Decree No. 08/2014/ND-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. 20/2013/ND-CP dated February 26, 2013 defining the functions, tasks, entitlements and organizational structure of the Ministry of Science and Technology;

Executing the Prime Minister’s Decision No. 538/QD-TTg dated April 16, 2014 on approval for bilateral and multilateral cooperation program for scientific and technological research to 2020;

Executing the Prime Minister’s Decision No. 1069/QD-TTg dated July 04, 2014 on approval for program for offshore technology transfer and search to 2020;

At the request of Director General of Department of International Cooperation and Director General of Legal Affairs;

The Minister of Science and Technology promulgates the Circular regulating the implementation ofbilateral and multilateral cooperation programs for scientific and technological research to 2020 and programs for offshore technology transfer and search to 2020.

Chapter I

GENERAL PROVISIONS

Article 1. Scope and regulated entities

1. This Circular regulates the implementation of the bilateral and multilateral cooperation program forscientific and technological research to 2020 approved by the Prime Minister in the Decision No.538/QD-TTgand the program for offshore technology transfer and search to 2020 approved by the Prime Minister in the Decision No.1069/QD-TTg dated July 04, 2014 (hereinafter referred to as the Program).

2. This Circular applies to organizations, individuals engaged in the Program, relevant state agencies, organizations and individuals.

Article 2. Interpretation of terms

In this Circular, some terms are construed as follows:

1.Document regarding research cooperation with foreign partnersmeans a written agreement between leaders of the Communist Party and State with foreign partners on science and technology; the minutes of committee and subcommittee meeting on scientific and technological cooperation; Written bilateral and multilateral agreement on scientific and technological cooperation between the Minister of Science and Technology (its representative) and foreign partners; the document regarding scientific and technological cooperation between heads of the Ministries, ministerial-level agencies, People’s committees of central-affiliated cities and provinces, central state agencies (hereinafter referred to as the Ministries, regulatory bodies and local governments) and foreign partners.

2.Offshore technology searchmeans the process of study to discover and assess outstanding features of offshore technology and transfer of such technology into Vietnam serving scientific, technological, socio-economic development in the country.

3.Technology search expertmeans a person who has in-depth knowledge and enormous capacity for analysis and assessment, able to provide professional advice on technology transfers, and is well-qualified for participating in the search for technology and supporting technology transfers.

4.Technology documentation reportmeans a collection of information, documents in relation to technology, new features of technology, competitive advantages and potential applications of technology; development stages of technology (from ideas, laboratories, pre-feasibility/feasibility studies, intellectual property ownership registration…); entities holding technology; conditions and capability of transferring technology to serve research activities, control and apply technology.

Article 3. Science and technology tasks of the Program

Science and technology tasks of the Program (hereinafter referred to as the Tasks) are tasks that use state budget at national level as prescribed in Clauses 1, 2, Article 25 of the Government’s Decree No. 08/2014/ND-CP dated January 27, 2014 providing instructions on the implementation of a number of articles of the Law on Science and Technology, including:

1. The tasks of bilateral and multilateral research cooperation are a scientific and technological topic and project undertaken between Vietnamese science and technology organizations and foreign partners for the construction and contribution of resources for the implementation and satisfaction of the conditions as prescribed in Article 6 hereof.

2. The tasks of searching and supporting offshore technology transfers are a scientific and technological topic and project involving search of technology, activities supporting domestic organizations and individuals in the implementation of technology transfers, completion of technology, trial and official production.

3. The tasks of management and development of the Program are a scientific and technological topic and project, and other activities aimed at developing objectives, intent and solutions of the Program.

Article 4. Selection of the Program’s tasks

The Program’s tasks shall be selected in three principles as follows:

1. Parties taking part in the implementation of the Program’s tasks shall be responsible for developing related tasks on equal terms with each other, ensuring national security, complying with the laws of Vietnam, international treaties and agreement.

2. The tasks must accord with objectives, intent and product (Program Frame), plans to develop the Program and budget for implementation of the Program.

3. Priority shall be given to the cooperation with foreign partners as agencies, organizations that have experience, position of strength and willingness to cooperate with Vietnam in handling scientific and technological issues that Vietnam is interested in.

Article 5. Code of the Program’s tasks

1. Code of the tasks of bilateral and multilateral research cooperation: HNQT/SPDP/XX.YY;

2. Code of the tasks of searching and supporting offshore technology transfers: HNQT/TKCG/XX.YY

3. Code of the tasks of management and development of the Program: HNQT/QL/XX.YY

Where:

- HNQT is code of international integration project for science and technology to the year 2020;

- SPDP is symbol of the tasks of bilateral and multilateral research cooperation;

- TKCG is symbol of the tasks of searching and supporting offshore technology transfers;

- QL is symbol of the tasks of management and development of the Program;

- XX is ordinal number of the tasks;

- YY is indicator of the year the task starts to be performed.

Chapter II

TASKS OF THE PROGRAM

Article 6. Bilateral and multilateral research cooperation task

1. The tasks of bilateral and multilateral research cooperation are selected according to principles as specified in Article 4 hereof and meet the following conditions:

a) Objectives of the tasks must accord with the document of research cooperation with foreign partners, and at the same time address one of the following main issues:

- Strategic and long-term scientific and technological issues in Vietnam towards control and application of high technology, advanced technology into key industrial branches; control of designing and manufacturing technology, technology of processing products of high added value, creating opportunities for Vietnam to participate in global value chains;

- Key scientific and technological issues directly serving national science and technology programs;

- Scientific and technological issues developed in international research programs and projects, scientific and technological investment projects in the world and in the region aimed at creating a breakthrough and enhancing scientific and technological potentialities in Vietnam.

b) The tasks must achieve one of the following results: creating new technology; increasing product and service quality with high added value; developing professionally qualified organizations and teams in the region.

c) Domestic organizations and individuals involved must be qualified for performing the tasks, and meeting the demands according to applicable regulations with respect to organizations and individuals involved in performing national science and technology tasks; Foreign partners must be qualified and committed to the research cooperation according to the objectives and intent as agreed.

d) The tasks must have specific plan for coordination with foreign partners in the implementation of the tasks, using and exploiting result of research cooperation; specifying responsibilities and interests of the parties involved.

2. Based on the conditions as prescribed in Clause 1 of this Article, domestic organizations and individuals shall cooperate with foreign partners in making a written explanation of the tasks of bilateral and multilateral cooperation according to Form A-SPDP in the appendices enclosed herewith.

Article 7. Tasks of searching, supporting offshore technology transfers

1. The tasks of searching, supporting offshore technology transfers comprise two parts: technology search topic and technology transfer support project. Tasks of searching, supporting offshore technology transfers are selected according to principles as specified in Article 4 hereof and meet the following conditions:

a) Technology that needs searching for transfer support is ordered by the Minister of Science and Technology.

b) Main objectives of the tasks of searching and supporting offshore technology transfers are determined by each component as follows:

- Component of the topic of technology search for research, formulation of technology documentation report; Technology documentation report must clarify main information about technology, development stages of technology, entities holding technology, conditions and capacity of transferring technology into Vietnam;

- Component of the project of technology transfers, implementation of technology transfers, research, control and development of technology; Activities of technology transfers must be enclosed with transfer of ownership, or the enjoyment of part or whole of technology from transferor to transferee accompanied by subjects of intellectual property rights according to the law provisions;

c) Results of the tasks of searching and supporting offshore technology transfers are the technology documentation report; offshore technology transferred making a contribution towards forming a new product and service, or increasing productivity and quality of products and goods of an enterprise. Products created from the tasks have specific address, high added value and are produced in large scale;

d) Organizations involved in the implementation of the tasks comprise scientific and technological organizations (that operate in science and technology in conformity with the technology that needs searching). Activities of technology transfer in the component of the technology transfer support project must guarantee participation of at least two enterprises and one group of scientists that belong to Vietnamese scientific and technological organization; having adequate capability in finance, human force and organization to execute a contract for technology transfer; having plans for technology development and trading.

2. Based on the conditions as prescribed in Clause 1 of this Article, organizations and individuals shall formulate the explanation of the tasks of searching and supporting offshore technology transfers in two components: explanation of the component of technology search topic; explanation of the component of technology transfer support project according to Form B-TKCG in the Appendix enclosed herewith.

Article 8. The tasks of management and development of the Program

1. The tasks of management and development of the Program must meet the following conditions:

a) Directly serve the development of objectives and intent of the Program;

b) The tasks must include one of the following issues:

- Forming research organizations, teams that have potential to conduct the tasks of bilateral and multilateral research cooperation in order of priority of the Program via participation in the international cooperation project and program;

- Constructing a network of technology research experts;

- Organizing international conferences, workshops in Vietnam over scientific and technological issues of importance, topical interest, urgency, inter-branch and inter-region;

- Organizing training, learning about technology, short-term research cooperation abroad;

- Constructing specific mechanisms and policies for activities of international integration for science and technology;

c) Results of the tasks are scientific reports, forecasts; draft project; proposals for mechanism, policies; model, process; new research methods; database; development of potential research organizations, teams and other products;

2. Based on the conditions as prescribed in Clause 1 of this Article, organizations and individuals shall formulate an explanation of the tasks of management and development of the Program according to Form C-QL in the Appendix enclosed herewith.

Chapter III

CONSTRUCTION AND MANAGEMENT OF THE PROGRAM’S TASKS

Article 9. Management of the Program

Organizing apparatus of management of the Program and management of the Program is instructed in Articles 5-9 of the Minister of Science and Technology’s Circular No. 05/2015/TT-BKHCN dated March 12, 2015 regulating management of national scientific and technological programs (hereinafter referred to as the Circular No. 05/2015/TT-BKHCN).

Article 10. Proposals, determination, selection, appointment and approval for the Program’s tasks

1. For the tasks of bilateral and multilateral research cooperation

a) Proposals, determination, selection, appointment and approval for the tasks are made in accordance with the Articles 5-8; Clauses 2, 3, 4, 5, 10 of the Minister of Science and Technology’s Circular No.12/2014/TT-BKHCN dated May 30, 2014 regulating management of science and technology tasks under the protocol (hereinafter referred to as the Circular No. 12/2014/TT-BKHCN) and Circular No. 10/2014/TT-BKHCN dated May 30, 2014 regulating selection and appointment of organizations, individuals for implementing national science and technology tasks using state budget amended and supplemented at Circular No. 23/2014/TT-BKHCN dated September 19, 2014 (hereinafter referred to as the Circular No.10/2014/TT-BKHCN).

b) Based on the order proposed from the Ministries, regulatory bodies and local governments, the document of research cooperation with foreign partners (if any), the Ministry of Science and Technology shall carry out determination of the tasks of order.

For any proposed order that foreign partners are not yet determined, the Ministry of Science and Technology shall cooperate with relevant organizations, individuals in searching foreign partners; carrying out negotiation and execution a document of research cooperation with foreign partners.

c) Documented registration for selection and appointment includes explanations of bilateral and multilateral research cooperation according to Form A-SPDP and other documents as prescribed in Clause 3, Article 8 of the Circular No. 12/2014/TT-BKHCN.

d) Explanations of the tasks of bilateral and multilateral research cooperation must represent resources of foreign partners (financial resources, human force, facilities and other necessary resources) that are contributed to the implementation of the tasks and meet at least 30% of total budget planned. In special cases, the Minister of Science and Technology shall consider and make decision.

2. The tasks of searching, supporting offshore technology transfers

a) Formulation of the lists of technologies that need searching is instructed in Article 11 hereof.

Based on the lists of technologies that are ordered for searching, organizations and individuals shall participate in the tasks of searching and supporting offshore technology transfers according to the component of the technology search topic and component of technology transfer support project.

b) Selection and appointment of organizations and individuals for the implementation of the component of technology search topic are prescribed in the Circular No. 10/2014/TT-BKHCN and provisions as follows:

- Time for implementing component of technology search topic is within 12 months;

- Documented registration for selection and appointment includes explanations of the technology search topic according to Form B-TKCG (Part I and Part II.A) and other documents as prescribed in the Circular No. 10/2014/TT-BKHCN;

- Remark notes and reviews by advisory board for selection and appointment for the implementation of science and technology tasks according to Forms NXDTTKCN and DGDTTKCN in the appendices enclosed herewith.

c) Results of the implementation of the component of technology search topic shall be assessed and accepted under applicable regulations before the component of technology transfer support project within the tasks of searching and supporting offshore technology transfers is implemented.

d) Based on the decision on recognition of results of the implementation of the component of technology search topic or the technology documentation report inspected and accepted by the Ministry of Science and Technology, scientific and technological enterprises and organizations shall register the implementation of component of technology transfer support project within the tasks of searching and supporting offshore technology transfers and make submission to the Ministry of Science and Technology for consideration and appointment. The appointment is instructed in the Circular No. 10/2014/TT-BKHCN and some provisions as follows:

- Time for implementing component of technology transfer support project is within 24 months; In special cases, the Minister of Science and Technology shall consider and make decision.

- Documented registration for appointment includes explanations of the component of technology transfer support project according to Form B-TKCG (Part I and Part II.A) and other documents as prescribed in the Circular No. 10/2014/TT-BKHCN;

- Remark notes and reviews by the advisory board for appointment for the implementation of science and technology tasks according to Forms NXDACGCN and DGDACGCN in the Appendix enclosed herewith.

3. For the tasks of management and development of the Program:

a) Proposals, determination, selection, appointment and approval for the tasks are made in accordance with the Circular No. 05/2015/TT-BKHCN.

b) Documented registration for selection and appointment includes explanations of the tasks of management and development of the Program according to Form C-QL and other documents as prescribed in the Circular No. 10/2014/TT-BKHCN.

Article 11. Construction of the lists of technologies ordered for searching

1. Proposals for technologies ordered for searching

a) Requirements for technologies ordered for searching:

Technologies that need searching are technologies new, highly competitive, of breakthrough in production scale and product quality, pushing socio-economic development serving national defense and security.

b) Foundations for proposals for orders:

- Requests from leaders of the Communist Party and State;

- National scientific and technological development strategy, socio-economic development strategy and plan of the Ministries, regulatory bodies and local governments in conformity with objectives, intent and tasks of the Program;

- Practical demands for handling of urgent matters relating to national defense, security, natural disaster, epidemic diseases and scientific and technological development in Vietnam;

- Database of technological information provided and proposed by technology search experts;

c) Based on the provisions as set out in Point a, and at least one of the provisions as set out in Point b of this Clause, the ministries, regulatory bodies and local governments shall propose orders for technologies that need searching according to Form PDX-TKCN in the Appendix enclosed herewith and make submission to the Ministry of Science and Technology.

2. The Ministry of Science and Technology shall propose orders for technologies that need searching; organizing assessment and selection of pressing and feasible proposals for formulation and approval for the lists of technologies on order as foundations for selection of the tasks of searching and supporting offshore technology transfers.

a) Determination of the lists of technologies on order is instructed in the Ministry of Science and Technology’s Circular No. 07/2014/TT-BKHCN dated May 26, 2014 regulating sequence, procedures for determination of national science and technology tasks using state budget.

Lists of technologies on order shall be checked, assessed and supplemented on a six-month basis, or on request by the Ministry of Science and Technology.

Article 12. Organizing execution of the contract for implementation of the Program’s tasks

1. Based on the decision on approval for the Program’s tasks, the Ministry of Science and Technology shall organize entering the contract for implementation of the Program’s tasks with the presiding organization as prescribed. Specimen contract for the implementation of the Program’s tasks is prescribed in the Minister of Science and Technology’s Circular No. 05/2014/TT-BKHCN dated April 10, 2014 promulgating “Specimen contract for scientific research and technology development” (hereinafter referred to as the Circular No 05/2014/TT-BKHCN).

2. The presiding organization shall be responsible for organizing the implementation and development of the objectives, intent and progress and using the budget allocated under the contract.

Article 13. Adjustment, inspection and assessment of the implementation of the tasks

Adjustment, inspection and assessment are conducted in accordance the Minister of Science and Technology’s Circular No. 04/2015/TT-BKHCN dated March 11, 2015 regulating inspection, assessment, adjustment and termination of contract during the implementation of national science and technology tasks using state budget. The presiding organization shall be responsible for preparing and providing sufficient information relating to the Program’s tasks being implemented and creating favorable conditions for inspection and assessment.

Article 14. Termination of contract

Termination of contract and handling of subsequent relevant issues are instructed in the Circular No. 05/2015/TT-BKHCN.

Article 15. Assessment, inspection and recognition of the result of implementation of the Program’s tasks

The Ministry of Science and Technology shall organize assessment, inspection, recognition and announcement of the result of implementation of the Program’s tasks as prescribed in the Minister of Science and Technology’s Circular No. 11/2014/TT-BKHCN dated May 30, 2014 regulating assessment and inspection of the result of implementation of national science and technology tasks using state budget and relevant documents.

Article 16. Liquidation of contract and exploitation of the result of the Program’s tasks

1. The Ministry of Science and Technology shall organize liquidation of contract with the presiding organization as prescribed.

2. The presiding organization shall be responsible for managing, exploiting and handing over the result of the Program’s tasks according to the law provisions. Intellectual property rights, right to enjoyment of the result are exercised according to the laws on science and technology and intellectual property ownership.

3. Registration and retention of the result of the Program’s tasks are executed in accordance with the Minister of Science and Technology’s Circular No. 14/2014/TT-BKHCN dated June 11, 2014 regulating collection, registration, retention and announcement of information about science and technology tasks.

Article 17. Handling of properties

Handling of properties after the Program’s tasks are done is instructed in the applicable regulations.

Article 18. Budget for implementation of the Program

1. Budget from state budget for implementation of the Program shall be balanced in the cost estimates for annual scientific and technological causes allocated to the Ministry of Science and Technology for implementation. Budget from other sources shall be used according to applicable regulations.

2. Financial mechanism for the implementation of the Program shall be applied according to guiding documents issued by the Ministry of Finance and the Ministry of Science and Technology, and other relevant documents relating to management and implementation of science and technology tasks using state budget.

Chapter IV

IMPLEMENTATION

Article 19. Effect

This Circular takes effect since June 20, 2015.

Article 20. Implementation

1. Heads of affiliated units, heads of relevant agencies, organizations and individuals shall be responsible for executing this Circular.

2. Difficulties that arise during the implementation of this Circular should be reported to the Ministry of Science and Technology for study, consideration, amendments and supplements as appropriate./.

THE MINISTER

Nguyen Quan

APPENDIX

FORMS
(Enclosed with the Minister of Science and Technology’s Circular No. 08/2015/TT-BKHCN dated May 05, 2015)

1.Form A-SPDP:Explanation of the tasks of bilateral and multilateral research cooperation

2.Form B-TKCG:Explanation of the tasks of searching and supporting offshore technology transfers

3.Form C-QL:Explanation of the tasks of management and development of the Program

4.Form NXDTTKCN:Remark notes about registration documents of selection and appointment of organizations and individuals for presiding over component of technology search topic.

5.Form DGDTTKCN:Evaluation note about documented registration for selection and appointment of organizations and individuals for presiding over component of technology search topic.

6. Form NXDACGCN:Remark notes on documented registration for appointment of organizations and individuals for presiding over component of technology transfer support project.

7.Form DGDACGCN:Evaluation note ondocumented registration for appointment of organizations and individuals for presiding over component of technology transfer support project.

8.Form PDX-TKCG:Order form for technologies that need searching

Form A-SPDP
08/2015/TT-BKHCN

EXPLANATION OF THE TASKS OF BILATERAL AND MULTILATERAL RESEARCH COOPERATION

I. GENERAL INFORMATION

Task name (In Vietnamese and English)

Under the Program

(Specify name of the Program and code)

Implementation time

…. Months from.../...to.../...

Budget

Total budget:…………………VND million, including:- Budget for scientific causes:- Internal finance:- Other sources:

Fields of science and technology for research cooperation

The presiding organization

Name of the presiding organization:…………….Phone:…………………Fax:……………..E-mail:………………..Full name of head of the presiding organization:…………………….Budget code:…..

Director

Full name:………….Date of birth:…………….. Male/female:……………..Academic titles, degrees, majors:..................... Scientific research title: ……………………….………..Phone:……………..Fax:…………….. E-mail:……………..

Domestic organizations in coordination (if any)

Name of the organization:…..

Phone:…………….. Fax:……………..

E-mail:……………..

Address:…..

Foreign organizations in coordination (if any)

Name of the organization:…..

Phone:…………….. Fax:……………..

E-mail:……………..

Address:…..

Individuals taking part(Academic resume of members enclosed with the explanation)

No.

Full name, academic titles, degrees

Business agency

Tasks

Implementation time

…

II. OBJECTIVES, INTENT AND SOLUTIONS

Objectives

Foundations for proposals for the formulation of the explanation of the tasks

a) Clarify foundations for proposals for research cooperation (document of research cooperation with foreign partners; results of previous research cooperation; international programs/projects…) b) Clarify process of coordination between the presiding organization and foreign partners in the formulation of the explanation of the tasks (process of exchange of information; surveying, learning about the partners’ capability; hand-over of research findings…)

Overview of research, interpretation of research content

13.1

Overview of situations in the country

a) Analyze and assess research situations in the country with respect to matters requiring research cooperation in five most recent years of which some achieved outstanding results must be specified.

b) Clarify some difficulties faced by the country in the development of matters requiring research cooperation (research methods; technological know-hows; facilities serving analysis of samples; conducting complicated research activities; human resources…).

c) Interpret the necessity of cooperating with foreign organizations in research cooperation;

13.2

Global trend and capacity of foreign organizations for cooperation and implementation

a) Analyze and assess global trends of scientific research and technological development towards research cooperation issues;

b) Clarify qualification of foreign organizations for coordination of the tasks of which some outstanding results (five most recent years) in connection with research cooperation issues must be specified; experience and position of strength of foreign organizations in handling research cooperation issues (research method; technological know-how; facilities serving sample analysis; performance of complicated research activities; human resource training…)

13.3

Interpretation of research content

a) Interpretation of the tasks ensures settling at least one of the following main issues:- Issue 1: Strategic and long-term scientific and technological issues of the country- Issue 2: Focal scientific and technological issues directly serving national product development program to 2020, national hi-tech development program to 2020, national technological innovation program to 2020.- Issue 3: Scientific and technological issues developed in international research programs and projects, scientific and technological investment projects in the world and in the region aimed at creating a breakthrough and enhancing scientific and technological potentialities in Vietnam. b) Clarify results (planned) of performance of the tasks;

c) Explain and clarify qualification of the presiding organization;

d) Explain and clarify qualification of foreign organizations for cooperation and implementation

dd) Analyze method of coordination with foreign partners in the implementation of the tasks, using and exploiting result of research cooperation (using facilities, raw materials, human resource for implementation of the tasks…); specifying responsibilities and interests of the parties involved; method of coordination in the employment and exploitation of research cooperation results.

e) Assess applicability and method of transferring research cooperation results:

- Method of applying and transferring research cooperation results (full-package technology transfers, trained technology transfers, technology transfers in the form of amortization by revenue percentage; making connection with businesses for production or contribution of capital; establishment of businesses on the basis of created research results…).

- Capacity for association with businesses at home and abroad for production and trading products after the end of research cooperation tasks.

- Domestic and international market potentials of the products created from the tasks;

13.4

Implementation progress

Main tasks to be performed

Results to be achieved

Time (start – end)

Individuals and agencies involved

Issue 1:

…

Issue 2:

…

Implementation solution

Following issues must be clarified:

a) Solution for mobilization of capital sources for implementation of the tasks: Capital source mechanism; budget from foreign partners (if any); Principles of capital mobilization; capital mobilization progress;

b) Solution for task development phases (explain highly feasible development phases); mobilization of human resource to take part in the tasks (plan for mobilization and development of human resource for the tasks).

c) Solution for information communication; international cooperation;

d) Method of production and business from the technology transferred; method of coordination with research organizations and domestic production facilities;

III.

EXPECTED RESULTS

Key scientific and technological products and quality requirements

a) Result of task performance is new technology; scientific and technological products and services of high value; research organizations and teams, strong and advanced in the region.

b) Other products (if any):

- Form 1: Product model; products (goods consumable in the market); materials; equipment; machinery; production lines; plant varieties; domestic animal breeds; other types.,

- Form 2: Principles of application; method; standard; norm; computer softwares; design drawings; technology process; charts, maps; figures, database, analytical reports; forecasting documents (method, process, model…); projects, planning; economic and technical evaluation, feasibility study report and other products.

- Form 3: Press articles and reference books

- Form 4: Training/exchange of staff, experts

Form 1:Samples; products (goods consumable in the market); materials; equipment; machinery; production lines; plant varieties; domestic animal breeds; other types.,

No.

Product name and product quality norms

Units of measurement

Quality level

Planned quantity/scale of products created

Expected

Similar models (according to latest standards)

At home

Abroad

iii

vii

…

Form 2:Principles of application; method; standard; norm; computer softwares; design drawings; technology process; charts, maps; figures, database, analysis report; forecast documents (method, process, model…); project, planning; economic and technical evaluation, feasibility study report and other products.

No.

Product name

Scientific requirements

Notes

iii

…

Form 3: Press articles and reference books

No.

Product name

Quantity

Scientific requirements

Expected place of announcement (Magazines, publishing house)

Notes

iii

…

Form 4: Training/exchange of staff, experts

No.

Staff, experts

Time

Description

Notes

iii

Products with expected registration for protection of intellectual property rights (if any)

Efficiency of task performance

- Assess scientific and technological outcomes

- Assess socio-economic outcomes

IV. EXPECTED BUDGET FOR IMPLEMENTATION

(Cost estimates for bilateral and multilateral research cooperation tasks detailed in the appendices)

Budget:…………………(VND million)

Budget source

Total amount

Breakdown

Pay

Raw materials, energy

Equipment, machinery

International cooperation

Other expenses

iii

vii

viii

Budget for scientific cause

Own capital

Other sources:

No.

Items

Quantity

Amount

Items of which Vietnam is a beneficiary

Staff, graduate student, Vietnamese students training

Organizing conferences, scientific workshops, platforms, exhibition…

Overseas travel expenses for Vietnamese staff

Expenses for analysis of samples, facilities received

Computer softwares, materials, scientific and technological publications...

Other expenses

Total

Expected expenses from foreign partners

- From the Government:…. USD

- Existing sources:… USD

- Other sources: USD

Date ……………..

Chairman

(Full name and signature)

Date ……………..

The presiding organization

(Full name, signature and stamp)

Date ……………..

The Ministry of Science and Technology

(Name, signature and stamp)

Date ……………..

Head of governing body

(Full name, signature and stamp)

orHead of the Program

(Full name, signature and stamp)

APPENDIX

COST ESTIMATES FOR THE TASKS OF BILATERAL AND MULTILATERAL RESEARCH COOPERATION
(Enclosed with the explanation of the tasks of bilateral and multilateral research cooperation)

Unit: VND million

No.	Items	Total amount		Capital sources
		Budget	Percentage (%)	Budget for scientific cause		Own capital	Others
		Budget	Percentage (%)	Total	Budget for piecework
1	Pay (scientific, common labor)
2	Raw materials, energy
3	Equipment, machinery
4	International cooperation (Delegations traveling to and from the country, conferences, workshops)
5	Conducting investigation, sociological interviews (if any)
6	Other expenses
Total

EXPLANATION OF EXPENSES

Item 1: Pay (scientific, common labor)

Unit: VND million

No.	Description	Total amount		Capital sources:
		Items	Total	Budget for scientific cause		Own capital	Others
		Items	Total	Total	Prescribed expenses
1	Issue 1:

2	Issue 2:

3	Issue 3:

Total

Item 2: Raw materials, energy

Unit: VND million

No.	Description	Units of measurement	Quantity	Unit price	Amount	Capital sources:
						Budget for scientific cause		Own capital	Others
						Total	Prescribed expenses
1	Raw materials

2	Laboratory tools, spare parts

3	Essential energy, fuel

4	Essential books, material, figures

Total

Item 3: Equipment, machinery

Unit: VND million

No.	Description	Units of measurement	Quantity	Unit price	Amount	Capital sources:
No.	Description	Units of measurement	Quantity	Unit price	Amount	Budget for scientific cause	Own capital	Others
1	Purchase of technological equipment

2	Purchase of testing & measurement equipment

3	Equipment rental (Specify name of equipment and rental time)

4	Transport & installation

Total

Item 4: International cooperation

Unit: VND million

No.	Description	Quantity	Limit	Amount	Capital sources:
No.	Description	Quantity	Limit	Amount	Budget for scientific cause	Own capital	Others
I	Delegation traveling overseas (for exchange, analysis of samples, learning, research and practice…)
	Delegation 1: (purpose) + (venue) + (time) + (number of people)
	Expenses for airplane tickets, accommodations, traveling and other relevant expenses.
	Delegation…: (purpose) + (venue) + (time) + (number of people)
	Expenses for airplane tickets, accommodations, traveling and other relevant expenses.
II	Delegations traveling from overseas (for research, conferences, workshops, training…)
	Delegation 1: (purpose) + (venue) + (time) + (number of people)
	Expenses for airplane tickets, accommodations, traveling and other relevant expenses.
	Delegation…: (purpose) + (venue) + (time) + (number of people)
	Expenses for airplane tickets, accommodations, traveling and other relevant expenses.
iii	International conferences, workshops
	Workshop 1: (topic) + (venue) + (time) + (number of people)
	Detailed estimation of expenses relating to organization of conferences, workshops
	Workshop …: (topic) + (venue) + (time) + (number of people)
	Detailed estimation of expenses relating to organization of conferences, workshops
IV	Others
	Employment of foreign experts, conducting sample analysis from abroad…
Total

Item 5: Other expenses

Unit: VND million

No.	Description	Quantity	Limit	Total budget	Capital sources:
					Budget for scientific cause		Own capital	Others
					Total	Prescribed expenses	Own capital	Others
1	Domestic business trip fees
-	Trip 1: (purpose, venue, time, number of people)
-	Trip 2: (purpose, venue, time, number of people)
2	Conferences, workshops, short-term training in the country
-	Workshop 1: (topic, venue, time, number of people)
-	Workshop 2: (topic, venue, time, number of people)
3	Management budget(by the presiding organization or organization employed for task management)
4	Expenses for assessment, inspection and acceptance of facilities
5	Allowances for chairman
6	Other expenses
-	Printing documents, stationery
-	Translation
-	Registration for protection of intellectual property rights
-	Placement of public announcement on international magazine
-	Others
Total

Form B-TKCG
08/2015/TT-BKHCN

EXPLANATION OF THE TASKS OF SEARCHING, SUPPORTING OFFSHORE TECHNOLOGY TRANSFERS

PART I. GENERAL INFORMATION

1	Task name(In Vietnamese and English)

2	Under the Program
	(Specify name of the Program and code)
3	Implementation time
…. Months From.../...to.../...
4	Component of the tasks of searching, supporting offshore technology transfers
□ Component of the topic of technology search (Fill up information as prescribed in Section II.A) □ Component of technology transfer support project(Fill up information as prescribed in Section II.B)

5	Budget:
	Total budget:…………………VND million, including: - Budget for scientific cause:… - Own capital:… - Other sources:…
6	Method of piecework:
	□ Form of piecework applied to final product			□ Piecework in stages, including: - Budget for piecework…………………VND million - Budget outside piecework…………………VND million
7	The presiding organization
	Name of the presiding organization:……………. Phone:…………….. Fax:…………….. Address:…..Full name of the presiding organization:…………………….Budget code:…..
8	Chairman
	Full name:…………. Date of birth:…………….. Male/female:…………….. Academic titles, degrees, majors:..................... Scientific research title: ……………………….……….. Phone:……………..Fax:…………….. E-mail:……………..
9	Information about technology search experts (if any)
	Full name:…………. Date of birth:…………….. Male/female:…………….. Academic titles, degrees, majors:..................... Scientific research title: ……………………….……….. Title: ..................... Phone……………..Fax :.....................................E-mail :....................... Address:…..
10	Domestic and foreign organizations in coordination (if any)
	Name of the organization:….. …………….. Phone:…………….. Fax:…………….. E-mail:…………….. ………………………….. Address:…..
11	Individuals taking part (Academic resume of members enclosed with the explanation)
TT	Full name, academic titles, degrees	Business agency	Tasks		Implementation time
1
2
…
12	Information about the tasks of searching, supporting offshore technology transfers
	Describe and clarify some basic information about technologies that need searching, supporting transfers, particularly as follows: a) Clarify innovativeness, high competitiveness, breakthrough impacts of product and market accelerating socio-economic development, serving national defense and security of the technology that needs searching and supporting transfers. b) Current conditions of the research and application of technologies that need searching, supporting transfers in Vietnam. c) Origin of technologies that need searching, supporting transfers; entities holding technologies; d)Some outstanding features of technologies that need searching and supporting transfers (technical requirements, technology process, new and creative points, main advantages of technologies via specific assessment factors (working cycle, simple features..).in comparison with existing technologies) dd) Phases of development of technologies that need searching, supporting transfers (what phase is the technology developed?) Example: phase of research, experiment; analysis of technical practices; performance; commercialization…). g) Conditions, orientation and determination of capacity of technology transfers and other relevant technological information. e) Scope of application, use of technologies that need searching, supporting transfers in the tasks;

PART II. EXPLANATION OF COMPONENTS OF THE TASKS

A. COMPONENT OF TECHNOLOGY SEARCH TOPIC

A1. Objectives of the topic:

(Develop and realize orientation of the objective according to the order)

A2. Overview of research, interpretation of objectives and research matters of the topic

a) Overview of research situation within the technology that needs searching

(Conduct description, analysis and full and assessment of success, constraints of related domestic and foreign research projects and latest research results in the technology that needs searching)

b) Interpretation of the necessity, urgency, and scientific and practical meanings of the topic

(Based on the overview of research situation, origin, development phases, scope of application, breakthrough impacts of product and market accelerating socio-economic development of the technology that needs searching for transfers, willingness to receive the technology transferred of organizations coordinating participation in the topic, interpretation of the necessity, urgency, scientific and practical meanings of the topic, clarification of grounds for realizing objectives and orientations that need to be done)

A3. Make a list of research works, topic-related documents when general assessment is conducted;

(Name of the works, author, place and year of announcement)

A4. The topic’s research issues

(Make clear, systematic, logical and appropriate identification of the research issues that need to be done to achieve set objectives)

Issue 1

Issue 2

Issue 3

A5. Activities serving the topic’s research issues

(Explanations and necessary activities undermentioned serving the topic’s research issues)

- Collect and update information about technology via association between experts at home with technology search experts and a network of Vietnamese scientific and technological representative agencies abroad;

- Compile and translate documents serving the research (main documents)

- Scientific workshops/discussions (quantity, topic, purpose and requirements)

- Training to serve the topic

- Employment of experts in technology consultancy and invention analysis…

- Surveying, participation in overseas exhibitions, trade fairs on technology (scale, purpose/requirements, main subjects)

- …..

A6. Approaches, research methods and use techniques:

(Interpretation of research approaches, research methods, use techniques; making comparisons against other similar handling methods and conducting analysis to clarify advantages of the use techniques)

a) Approaches:

b) Research methods and use techniques:

A7. Method of coordination with domestic research organizations

(Explanations of coordination methods: names of main organizations involved (including organizations using research results) and subject matters of the tasks; contribution of human and financial resources (if any)

A8. Methods of international cooperation (if any)

(Explanations of coordination methods: names of foreign partners; cooperated issues (with respect to partners of previous cooperation); issues to be cooperated within the topic; implementation manners; Clarify reasons for cooperation and expected cooperation results, impacts of cooperation on topic results)

A9.Implementation plan

Time for implementation of the technology search topic is not in excess of 12 months

Main issues of the tasks that need implementing; key evaluation milestones

Results to be achieved

Time

Time (start – end)

Individuals and agencies involved*

Expected budget for implementation

Issue 1

- Task 1

- Task 2

……

Issue 2

- Task 1

- Task 2

………

A10. Key products of the topic and quality requirements

Scientific report of the topic (general report on research result, proposals); technology documentation reports; principal agreement with partners who have technologies that need searching; draft explanation of technology transfer support project.

No.

Product name

(Specify product name)

Scientific requirements

Notes

A11. Benefits of the topic and research result transferring method

a) Benefits:

- Positive impacts on society, branches and scientific fields (new contributions, bringing about new industries, products via technologies to be received and transferred)

- Make contributions toward enhancing qualifications of organizations, individuals for technological analysis via participation in the implementation of the topic

b) Methods of transferring and using research results of the topic

(Interpretation of demands of organizations/agencies that apply; feasibility of the method of transferring and using research results)

A12. Budget for implementation of the topic (unit: VND million)

(Cost estimates for implementation of technology search topic detailed in the Appendix)

Budget source

Total amount

Breakdown

Pay (scientific, common labor)

Raw materials, energy

Equipment, machinery

Construction, minor modifications, repairs

Other expenses

Total budget

Including:

Budget for scientific cause

- First year*

- Second year*

Other sources (mobilized capital…)

Date ……………..

Chairman

(Full name and signature)

Date ……………..

The presiding organization

(Full name, signature and stamp)

Date ……………..

The Ministry of Science and Technology

(Name, signature and stamp)

Date ……………..

Head of governing body

(Full name, signature and stamp)or Head of the Program

(Full name, signature and stamp)

APPENDIX

COST ESTIMATES FOR TECHNOLOGY SEARCH TOPIC
(Enclosed with explanation of the topic)

Unit: VND million

No.	Items	Total amount		Capital sources:
		Budget	Percentage (%)	Budget for scientific cause						Others
		Budget	Percentage (%)	Total amount	Prescribed expenses*	First year*	Prescribed expenses*	Second year	Prescribed expenses*
1	2	3	4	5=(7+9)	6=(8+10)	7	8	9	10	11
1	Pay (scientific, common labor) Issue 1 Issue 2 Issue 3
2	Raw materials, energy
3	Equipment, machinery
4	Other expenses Including -Domestic business trip fees (venues, time) -International cooperation (countries, number of people)
	Total

* Cost estimation is made if the topic is approved (under applicable regulations on funding mechanism with respect to topics, projects of test production)

EXPLANATION OF EXPENSES

Item 1: Pay (scientific, common labor)

Unit: VND million

No.	Description	Total amount		Capital sources:
		Items	Budget for scientific cause	Budget for scientific cause						Others
		Items	Budget for scientific cause	Total amount	Prescribed expenses*	First year*	Prescribed expenses*	Second year	Prescribed expenses*
1	2	3	4	5=(7+9)	6=(8+10)	7	8	9	10	11
1	*Issue 1*
	- Product 1
	- Product 2
2	*Issue 2* - Product 1
	- Product 2
	Total

* Cost estimation is made if the topic is approved (under applicable regulations on funding mechanism with respect to topics, projects of test production)

Item 2: Raw materials, energy

Unit: VND million

No.	Description	Units of measurement	Quantity	Unit price	Amount	Capital sources:
						Budget for scientific cause						Others
						Total amount	Prescribed expenses*	First year*	Prescribed expenses*	Second year	Prescribed expenses*
1	2	3	4	5	6	7	8	9	10	11	12	13
1	Raw materials Detailed cost estimates in order of research issues specified in the explanations


2	Essential energy, fuel


3	Purchase of books, material, figures


Total

* Cost estimation is made if the topic is approved (under applicable regulations on funding mechanism with respect to topics, projects of test production)

Item 3: Equipment, machinery

Unit: VND million

No.	Description	Items	Units of measurement	Quantity	Unit price	Amount	Capital sources:
							Budget for scientific cause			Others
							Total	First year*	Second year
1	2		3	4	5	6	7	8	9	10
1	Existing equipment for implementation of the project (only remaining equipment and value are specified without addition to total budget of Item 3)


2	New equipment


3	Equipment rental (Specify name of equipment and rental time)


Total

Cost estimation is made if the topic is approved (under applicable regulations on funding mechanism with respect to topics, projects of test production)

Item 4: Other expenses

Unit: VND million

No.	Description	Total amount		Capital sources:
		Items	Total	Budget for scientific cause						Others
		Items	Total	Total amount	Prescribed expenses*	First year*	Prescribed expenses*	Second year	Prescribed expenses*
1	2	3	4	5	6	7	8	9	10	11
1	Domestic business trip fees(venues, time, number of people)
2	International cooperation
A	Delegations traveling overseas (destination countries, number of people, number of days, number of travels)
B	Delegations entering the country (number of people, number of days, and number of travels…)
3	Management budget (of the presiding organization)
4	Expenses for assessment, internal inspection and acceptance at levels
	- Expenses for internal inspection
	- Expenses for intermediary inspection
	- Expenses for internal acceptance
	- Expenses for acceptance at topic management level
5	Other expenses
	- Workshops
	- Printing documents, stationery
	- Translation
	- Registration for protection of intellectual property rights
	- Others
6.	Allowances for chairman
7	………..
	Total

* Cost estimation is made if the topic is approved (under applicable regulations on funding mechanism with respect to topics, projects of test production)

B. COMPONENTS OF TECHNOLOGY TRANSFER SUPPORT PROJECT

B1. Origin

Specify origin of projects from one of the following sources:

a) From results of technology search topic (technology documentation report and relevant documents) evaluated and accepted by Science and Technology Council at state level accompanied by the record of inspection assessment; Decision on recognition of inspection assessment result issued by competent authorities.

b) From technology documentation reports appraised and approved by the Ministry of Science and Technology. Technology documentation report is formulated from overseas scientific and technological results (contract for technology transfers; diplomas, degrees, date of issuance (if any); origin and other relevant documents).

B2. Interpretation of necessity, feasibility and efficiency (based on technology documentation reports appraised and approved)

a) Clarify selected technologies (new features, advantages (compared with existing technologies in Vietnam), capacity for development of the technologies in the country, suitability of technologies for production methods and market demands…)

b) Economic benefits, marketability and competitiveness of products (Economic efficiency is brought about when project results are applied; expansibility at home and abroad; specifying main factors that increase competitiveness in quality, cost price of products compared with products of the same type, example: using domestic raw materials, low-cost labor, low transport cost, advantages of technologies…).

c) Impacts of project results on socio-economic development, national defense and security (Impacts of project products on socio-economic development, environment, creation of jobs, new industries, human health and national defense and security...)

d) Capacity for project implementation (Level of commitment and capacity of main organizations for project implementation; scientific and technological qualifications of persons in charge and facilities, commitments (in the form of contracts) to level of contribution, use of facilities, labor, product consumption, division of benefits of exploitation of intellectual property rights, risk-sharing).

dd) Capacity for applying, transferring and expanding project results (specify plans for production organization; expansion and transfers of technology; establishment of new enterprises for production and business…).

B3. Objectives

a) Objectives of technology transfer support project (receive and control technologies on the basis of test production scale)

b) Objectives of production after technology transfers (product quality; industrial production scale (if any))

B4. Content

Technology transfer support project is implemented with a number of matters as follows:

a) Description of technology, chart or technology process for implementation in the project

b) Analyzing matters that need handling for reception, completion and control of the technology (current conditions of technology, completion and testing; having a thorough grasp and control of technology process and technical specifications; stabilization of quality of products, product categories; increasing quantity of products that need test production to affirm technologies and project scale in actual conditions in Vietnam.

c) List and describe issues, steps that need to be taken for handling issues including training for staff and technical workers to meet project implementation;

B5. Deployment plan

a) Plan for organizing test production, industrial production (if any)

- Implementation plan:

(The presiding organization needs to clarify capacity for reception, completion and control of technologies under project objectives; plans for joint-venture, cooperation with science and technology organizations, partners that own technologies in completing, developing technologies in actual conditions in Vietnam, particularly readiness and plans for technology transfers with the presiding organization by foreign partners).

- Description, analysis and assessment of conditions for project deployment:

+ Project implementation location (specify address, advantages and disadvantages of traffic, communication, electricity and water infrastructural systems in the administrative division); existing workshops (m²), planned renovation and expansion...;

+ Main facilities to guarantee project deployment (specify available facilities (including facilities of joint-undertaking with participating units), facilities to be purchased, or self- designed, manufactured; capacity for supplying facilities to the project...);

+ Raw materials (capacity for supplying main raw materials via test production process for reception and control of technologies transferred; clarifying raw materials that need to be imported from overseas…);

+ Human resource required for project deployment: number of staff and qualified workers involved; plans for human resource organization; demands for training to serve the project (number of staff, technical workers, workers);

+ Environment (assessment of environmental impacts of project deployment and remedial solutions)

b) Financial plans (Financial analysis and calculation during project implementation)

+ Total investment for project deployment of which fixed capital, working capital for a quantity of products, specimens necessary for reception, completion and control of technologies for next stable production must be specified.

+ Plans for mobilization and employment of capital sources outside state budget for implementation of the project (accompanied by legal documents proving mobilization of capital sources: enterprises financial reports in three most recent years; loan commitment or financial guarantee issued by the banks; commitments to capital contribution of organizations participating in the project…);

+ Plans for using capital sources from state budget (expenses from this source)

+ Calculation and analysis of cost price of project products (according to each type of product (if any)); capital divestment time;

c) Forecasts about market demands and business plan for project products;

+ Forecasts about market demands (forecasts about general demands and lists of orders, or contract for purchase of project products);

+ Plans for marketing of project products (communication, advertising, construction of website, participation in trade fairs, exhibitions, performance of technology, and distribution of leaflets…);

+ Conduct analysis of planned cost price, sale price of products during test production; sale price during stable production (in comparison with price of imported products, current domestic market price; forecast trends of product price in the coming years); modes of supporting project product consumption;

+ Plans for product distribution network organization when industrial production is developed.

B6. Project products

(Conduct analysis and clarify specifications, make comparisons against products of the same type in the country, in the region and in the world: (i) Production lines, equipment, technology process stabilized (scale, specifications and technical standards); (ii) Products under registration for protection of industrial property rights, plant variety rights; (iii) printed documents; (iv) staff training; (v) products of test production (categories, quantity, quality standards)).

B7. Plans for project development after reception and control of technologies

a) Deployment method

(Clarify plans for deployment and selection of the following forms: (i) put into industrial production by enterprises; (ii) expansion and transfers of project results; (iii) joint-ventures, associations: (iv) establishment of new science and technology enterprises for production and business; (v) Other forms (to be specified).

b) Production scale (technology, human resources, products…)

c) Total capital of production projects

B8. Analysis of project’s finance

Total investment budget required for deployment of technology transfer support project = fixed capital for new investments (excluding value of existing equipment, facilities) + expenses for purchase of technology (expenses to be paid to owners of technology (if any)) + working capital (Only expenses for production of a quantity of products, specimens necessary for reception, completion and control of technologies are taken into account).

* Fixed capital of production project (i) Existing equipment, machinery (remaining value); (ii) new equipment, machinery; (iii) existing facilities (remaining value); (iv) completely constructed or renovated facilities; Expenses for purchase of technology (expenses to be paid to owners of technologies – if any).

* Working capital: Only expenses for production of a quantity of products in a production cycle, and then the next cycle…are taken into account.

Table 1. Total budget for project deployment

(Cost estimates for technology transfer support project detailed in the Appendix)

Unit: VND million

	Capital sources	Total	Breakdown
			Fixed capital			Working capital
			New equipment, machinery	Completely constructed or renovated facilities	Expenses for technology	Pay for labor	Raw materials, energy	Equipment, facility rental	Others
1	2	3	4	5	6	7	8	9	10
1	*Budget for scientific cause* - First year: - Second year: - …..
2	*Other capital sources* 2.1. Own capital - First year: - Second year: - ….. 2.2. Others (mobilized capital…) - First year: - Second year: - ……
Total

Table 2. Total expenses and cost price of test product

(During the implementation of technology transfer support project)

	Description	Total expenses (VND 1,000)	Breakdown by product			Notes
1	2	3	4	5	6	7
A	Direct expenses
1	Raw materials, packages					Item 5
2	Electricity, water, fuel…					Item 6
3	Pay for labor					Item 4
4	Repairs, maintenance of equipment					Item 7
5	Management expense					Item 7
B	Indirect expenses and fixed asset depreciation
6	Equipment depreciation for project - Depreciation of used equipment - Depreciation of new equipment					Item 1
7	Depreciation of facilities - Depreciation of used facilities - Depreciation of new facilities					Item 2
8	Equipment rental					Item 1
9	Facility rental					Item 2
10	Expenses for technology					Item 3
11	Marketing, advertising					Item 7
12	Others (payment of loan interests, fees, charges…)
- Total expenses for test production (A+B);
- Cost price of a product unit:

Notes

- Depreciation of equipment and fixed assets:according to state regulations on each type of equipment of respective economic sectors.

-Expenses for technology: to beallocated to cost price of product according to life cycle of technology (planned)

Table 3. Total revenues

(During the implementation of technology transfer support project)

No.	Product name	Unit	Quantity	Unit price (VND 1,000)	Amount (VND 1,000)
1	2	3	4	5	6

Total

Table 4. Total revenues

(For one year after production technology is stabilized)

No.	Product name	Unit	Quantity	Unit price (VND 1,000)	Amount (VND 1,000)
1	2	3	4	5	6

Total

Table 5. Preliminary calculation of economic efficiency of the project

(stable production technology is controlled)

No.	Description	Amount (VND 1,000)
1	2	3
1	Total investment capital
2	Total expenses (for one year)
3	Total revenues (for one year)
4	Gross interest (3) – (2)
5	Net interest: (4) - (tax + loan interest + fees, charges…)
6	Depreciation of equipment, fundamental construction and expenses for technology for one year
7	Capital divestment time T (year, estimated)
8	Ratio of net interest to investment capital, % (estimated)
9	Ratio of net interest to total revenues, % (estimated)

Notes:

- Total investment capital includes: total value of existing equipment, machinery and facilities + total value of new equipment, machinery, facilities (including renovated ones) + expenses for technology;

- Tax includes enterprise income tax, value added tax and other taxes (if any) for one year;

- Loan interest is the interests of loans for one year

Capital divestment time T=

Total investment capital

…year

Net interest + depreciation

Ratio of net interest to investment capital =

Net interest

x 100

= ….%;

Total investment capital

Ratio of net interest to revenues =

Net interest

x 100

= ….%

Total revenues

B9. Socio-economic efficiency

(Raw materials, energy are saved, cost price reduced, competitiveness of products increased, imports reduced, jobs created and environmental protection ensured...)

Date……

Chairman of the project

(Full name and signature)

Date……

The presiding organization

(Full name, signature and stamp)

Date……

The Ministry of Science and Technology

(Full name, signature and stamp)

Date……

Head of the governing body

(Full name, signature and stamp)

orChairman of the Program

(Full name, signature and stamp)

APPENDIX

COST ESTIMATES FOR TECHNOLOGY TRANSFER SUPPORT PROJECT
(accompanied by the explanation of technology transfer support project)

Unit: VND million

No.	Items	Total amount		Capital sources
		Budget	Percentage (%) (%)	Budget for scientific cause								Own capital	Others
		Budget	Percentage (%) (%)	Total amount	Prescribed expenses *	First year:	Prescribed expenses *	Second year:	Prescribed expenses *	Third year:	Prescribed expenses *
1	2	3	4	5	6	7	8	9	10	11	12	13	14
1	New equipment, machinery
2	Completely constructed or renovated facilities
3	Expenses for technology (purchase, completion, control)
4	Pay for labor
5	Raw materials, energy
6	Equipment, facility rental
7	Other expenses
	Total

* Cost estimation is made only if the project is approved.

EXPLANATION OF EXPENSES

Item 1: Requirements for equipment, machinery

Unit: VND million

1. Existing equipment (remaining value)

No.	Description	Unit	Quantity	Unit price	Amount
1	2	3	4	5	6
I	Technological equipment
1
2
3
4

II	Testing & measurement equipment
1
2
3
4

Total

2. New equipment added, rented

No.	Items*	Description	Unit	Quantity	Unit price	Amount	Capital sources
							Budget for scientific cause				Own capital	Others
							Total amount	First year:	Second year:	Third year:
1	2	3	4	5	6	7	8	9	10	11	12	13
1		Purchase of technological equipment
2		Purchase of testing & measurement equipment
3		Purchase of computer softwares
4		Transport & installation
5		Equipment rental (specify required equipment required into column 7)
	Total

Notes: State budget only supports purchase of the CBU of equipment, machinery

* Cost estimation is made only if the project is approved.

Item 2: Investment in infrastructure

Unit: VND million

1. Existing facilities(remaining value)

No.	Description	Unit	Quantity	Unit price	Amount
1	2	3	4	5	6
1
2
Total A:

2. Completely constructed or renovated facilities

No.	Items*	Description	Budget	Capital sources
				Budget for scientific cause				Own capital	Others
				Total amount	First year:	Second year:	Third year:
1	2	3	4	5	6	7	8	9	10
1		Completely constructed facilities
2		Expenses for repairs, renovation
3		Expenses for installation of electricity system
4		Expenses for installation of water system
5		Other expenses
		Total B:

* Cost estimation is made only if the project is approved.

Item 3: Expenses for technology

Unit: VND million

No.	Items*	Description	Notes	Capital sources
				Budget for scientific cause				Own capital	Others
				Total amount	First year:	Second year:	Third year:
1	2	3	4	5	6	7	8	9	10
A		Expenses for technology (purchase, completion, control of technological items)
1		- Expenses for purchase of technology, patent rights
2		- Completion, thorough grasp and control of technology process
3		- Completion of technical specifications
4		- Stabilize specifications and quality of incoming raw materials
5		- Stabilize product quality; quality assessment and construction of product criteria
6		………
B		Expenses for training in technology
1		- Technological staff
2		- Technical workers
		Total

* Cost estimation is made only if the project is approved.

Item 4: Expenses for labor

(For production of a quantity of products, specimens required for reception, completion and control of technology)

Unit: VND million

No.	Items*	Description	Number of people	Number of months	Expenses (VND million/person/month	Amount	Capital sources
							Budget for scientific cause				Own capital	Others
							Total amount	First year:	Second year:	Third year:
1	2	3	4	5	6	7	8	9	10	11	12	13
1		Chairman of the project
2		Engineers
3		Technical staff
4		Workers
		Total

* Cost estimation is made only if the project is approved.

Item 5: Demands for raw materials

(For production of a quantity of products, specimens required for reception, completion and control of technology)

Unit: VND million

No.	Items*	Description	Unit	Quantity	Unit price	Amount	Capital sources
							Budget for scientific cause								Own capital	Others
							Total amount	Prescribed expenses*	First year:	Prescribed expenses*	Second year:	Prescribed expenses*	Third year:	Expenses*
1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16	17
1		Essential raw materials

2		Secondary raw materials

3		Cheap tools, spare parts

	Total

* Cost estimation is made only if the project is approved (under applicable regulations on funding mechanism with respect to test production topics, projects)

Item 6: Demands for electricity, water, fuel…

(For production of a quantity of products, specimens required for reception, completion and control of technology)

Unit: VND million

No.	Items*	Description	Unit	Quantity	Unit price	Amount	Capital sources
							Budget for scientific cause
							Total amount	Prescribed expenses *	First year:	Prescribed expenses *	Second year:	Prescribed expenses *	Third year:	Prescribed expenses *	Own capital	Others
1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16	17
1		*Electricity:*	kW/h
		- Electricity for production Total capacity of equipment, machinery…kW
2		*Water:*	m³
3		*Petroleum, fuel:*	L
		- For production equipment….tons
		- For transport vehicles….tons
	Total

* Cost estimation is made only if the project is approved (under applicable regulations on funding mechanism with respect to test production topics, projects)

Item 7: Other expenses

Unit: VND million

No.	Items*	Description	Amount	Capital sources
				Budget for scientific cause								Own capital	Others
				Total amount	Prescribed expenses *	First year:	Prescribed expenses *	Second year:	Prescribed expenses *	Third year:	Prescribed expenses *
1	2	3	4	5	6	7	8	9	10	11	12	13	14
1		Business trip fees - Domestic business trips - Overseas business trips
2		Management fees - Administrative management
3		Repairs, maintenance of equipment
4		Expenses for inspection, assessment and acceptance: - Expenses for intermediary inspection - Expenses for inspection (grass-root level)
5		Other expenses - Workshops, conferences - Registration for protection of intellectual property - Communication, marketing, advertising, product consumption support - General reports - Printing - Allowances for chairman of the project
		Total

* Cost estimation is made only if the project is approved (under applicable regulations on funding mechanism with respect to test production topics, projects)

Implementation progress

No.	Description	Months
No.	Description	1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16	17	18	19	20	21	22	23	24
1	Repairs and construction of facilities
2	Completion of technology
3	Manufacture, purchase of technological equipment
4	Installation of equipment
5	worker training
6	Test production (phases)
7	Model experiment
8	Adjustment of technology
9	Inspection assessment

Market acceptability

1. Market demand

No.	Product name	Unit	Quantity consumable in a year			Notes:
No.	Product name	Unit	20..	20..	20..
1	2	3	4	5	6	7

2. Product plan

No.	Product name	Unit	Quantity produced in a year			Total amount	Consumption facilities
No.	Product name	Unit	20..	20..	20..
1	2	3	4	5	6	7	8

3. List of product quality norms

No.	Product names and essential quality norms	Unit	Level of quality			Notes
			Satisfactory	Similar to samples
			Satisfactory	Domestic	Overseas
1	2	3	4	5	6	7

Form C-QL 08/2015/TT-BKHCN

EXPLANATION

TASKS OF SERVING MANAGEMENT AND DEPLOYMENT OF THE PROGRAM

I. GENERAL INFORMATION

Task names

Under the Program

(Specify name of the Program and code)

Implementation time

…months

From…/….to…/….

The presiding organization

Name of the presiding organization....................

Telephone:………………..Fax:…………………. Telephone:………………..Fax:………………E-mail:….

Full name of head of the presiding organization....................

Budget code:…………….

Chairman

Full name:………..

Date of birth:……….. Male/female:……………

Academic titles, degrees, majors:……

Scientific research title:………………

Telephone:………………..Fax:………………….

Organizations, agencies in coordination (if any)

Name of organization:

Telephone:………………..Fax:…………………. E-mail………………….

Address:

Individuals participating in implementation of the tasks(Resumes of members sent accompanied by the explanation).

No.

Full name, diplomas, degrees

Agency name

Tasks

Implementation time

…

II. OBJECTIVES, CONTENT AND SOLUTIONS

Objectives

Overview of research situation, interpretation of research matters

9.1

Overview of research situation, necessity of implementing research matters

a) Conduct analysis, overview assessment of research situation in the country (of which some specific results achieved must be specified); clarify some difficulties in the deployment of research matters (research methods; facilities; human resource...).

b) Conduct analysis and assessment of global real situations and trends in research with respect to the tasks’ areas;

c) Interpret necessity of performing research matters (specify shortcomings, specific constraints, from which new solutions can be found and set targets of the tasks can be realized in order to deploy the objectives, content and solutions to the Program)

9.2

Interpretation of research matters

a) Interpretation of the tasks must ensure handling at least one of the following essentials:

- Issue 1: Form organizations, groups that have potential to perform the tasks of bilateral and multilateral research cooperation according to prioritized targets of the Program through participation in projects and programs of international cooperation;

- Issue 2: Construct a network of technology search experts;

- Issue 3: Organize international conferences, workshops in Vietnam on scientific and technological issues of importance, topical interest, urgency, interbranch and interregion;

- Issue 4: Organize training and learning about technology, short-term research cooperation overseas;

- Issue 5: Construct special mechanism, policies for international integration of science and technology;

b) Specify results (planned) of task implementation

c) Explain and clarify qualification of the presiding organization

d) Analyze plans for coordination with domestic and foreign partners (if any) in the employment and exploitation of task results; clarify responsibilities and interests of the parties involved;

9.3

Implementation progress

II.	Essential issues, tasks to be implemented	Results to be achieved	Time (start – end)	Individuals and agencies involved
I	Issue 1:
1
2
II.	Issue 2:
1
2
III. EXPECTED RESULTS

Main scientific and technological products and quality requirements

a) Task results are scientific reports, forecasts, draft projects; proposals for mechanism, policies; models, process; new research methods; database; development of potential research organizations, groups and other products.

b) Other products of the tasks (if any);

+ Form 1: Principles of application; methods; standards; norms; computer softwares; design drawings; technology process; charts, maps; figures, database; analytical reports; forecasting documents (methods, process, model…); projects, planning; economic-technical evaluation, feasibility study report; and other products;

+ Form 2: Training/exchange of staff, experts

Form 1:Principles of application; methods; standards; norms; computer softwares; design drawings; technology process; charts, maps; figures, database; analytical reports; forecasting documents (methods, process, model…); projects, planning; economic-technical evaluation, feasibility study report; and other products;

No.	Product name	Scientific requirements	Notes
i	ii	iii	iv

Form 2: Training/exchange of staff, experts

No.	Staff, experts	Time	Description	Notes
I	ii	iii.	iv	v

Modes of transferring and using research findings

IV. EXPECTED BUDGET FOR IMPLEMENTATION(accompanied by detailed appendices)

Budget for implementation of the tasks (VND million)

(Accompanied by the appendices of cost estimates for the tasks of management and deployment of the Program)

II	Budget sources	Total amount	Breakdown
II	Budget sources	Total amount	Pay for labor	International cooperation		Other expenses
i	ii	iii	iv		v	vi
1	Budget for scientific cause
2	Own capital
3	Other capital sources
*Total*

Date……

Chairman of the project(Full name and signature)

Date……

The presiding organization(Full name, signature and stamp)

Date……

The Ministry of Science and Technology(Full name, signature and stamp)

Date……

Head of the governing body(Full name, signature and stamp)orChairman of the Program(Full name, signature and stamp)

APPENDIX

COS ESTIMATES FOR THE TASKS OF MANAGEMENT AND DEVELOPMENT OF THE PROGRAM
(Accompanied by explanations of the tasks of management and development of the Program)

Unit: VND million

No.	Items	Total amount		Capital sources
		Budget	Percentage (%) (%)	Budget for scientific cause		Own capital	Others
		Budget	Percentage (%) (%)	Total	Budget for expenses
1	Pay (scientific, common labor)
2	International cooperation (delegations traveling overseas, entering the country, conferences, workshops)
3	Investigation, Sociological interviews (if any)
4	Other expenses
Total

EXPLANATION OF EXPENSES

Item 1: Pay (scientific, common labor)

Unit: VND million

No.	Labor	Total amount		Capital sources
		Items	Total	Budget for scientific cause		Own capital	Others
		Items	Total	Total	Prescribed expenses
1	Issue 1:

2	Issue 2:

3	Issue 3:

Total

Item 2: International cooperation

Unit: VND million

No.	Description	Quantity	Limit	Amount	Capital sources
No.	Description	Quantity	Limit	Amount	Budget for scientific cause	Own capital	Others
1	Delegation traveling overseas
-	Delegation 1: (Purpose) + (Venue) + (time) + (Number of people)
+	Airplane tickets, accommodations and other relevant expenses
-	Delegation…: (Purpose) + (Venue) + (time) + (Number of people)
+	Airplane tickets, accommodations and other relevant expenses
2	Delegations entering the country
-	Delegation 1: (Purpose) + (Venue) + (time) + (Number of people)
+	Airplane tickets, accommodations and other relevant expenses
-	Delegation…: (Purpose) + (Venue) + (time) + (Number of people)
+	Airplane tickets, accommodations and other relevant expenses
3	International workshops, conferences
-	Workshop 1: (Content) + (Venue) + (Time) + (Number of people)
+	Cost estimates for conferences, workshops
-	Workshop…: (Content) + (Venue) + (Time) + (Number of people)
+	Cost estimates for conferences, workshops

Total

Item 3: Other expenses

Unit: VND million

No.	Description	Quantity	Limit	Total budget	Capital sources
					Budget for scientific cause		Own capital	Others
					Total	Prescribed expenses
1	Domestic business trip fees
-	Trip 1: (Purpose) + (Venue) + (time) + (Number of people)
-	Trip 2: (Purpose) + (Venue) + (time) + (Number of people)
2	Domestic short-term workshops, training
	Trip 1: (Purpose) + (Venue) + (time) + (Number of people)
-	Trip 2: (Purpose) + (Venue) + (time) + (Number of people)
3	Management expenses
4	Expenses for inspection, assessment and acceptance
5	Allowances for chairman
6	Other expenses
-	Printed documents, stationery
-	Translation
-	Others
Total

Form NXDTTKCN08/2015/TT-BKHCN

THE MINISTRY OF SCIENCE AND TECHNOLOGY ADVISORY BOARD FOR SELECTION AND APPOINTMENT FOR SCIENTIFIC AND TECHNOLOGICAL TASKS -------	SOCIALIST REPUBLIC OF VIETNAM Independence – Freedom - Happiness ---------------
	….., date…

REMARK NOTE

DOCUMENTATION OF REGISTRATION FOR SELECTION, APPOINTMENT OF ORGANIZATIONS AND INDIVIDUALS FOR PRESIDING OVER COMPONENTS OF TECHNOLOGY SEARCH TOPIC

Experts/critics
Board executives

Full name of expert:

1. Topic name:

2. Name of organization/individual registering presiding:

Name of organization:

Full name of individual:

Assessment criteria	*Comments made by staff, experts*
Assessment criteria	4	3	2	1	0
1. Overview of research situation[Sections 12, A2 and A3]	□	□	□	□	□
- Carry out thorough calculation and latest updates on technology, research situations at home and abroad.	□	□	□	□	□
- Scientific and practical interpretation of realization of targets and matters of research to satisfy orders and clarify necessity of searching technologies;	□	□	□	□	□
Comments on Criterion 1:
2. Content and activities supporting research[Section A4 and A5]
- Logicality, sufficiency and clarity of research matters	□	□	□	□	□
- Logicality and feasibility of activities serving research matters	□	□	□	□	□
Comments on Criterion 2:
3. Approaches and research methods[Section A6]
- Approaches to topics of technology search, research	□	□	□	□	□
- Research methods and use techniques appropriate for research and finding matters	□	□	□	□	□
Comments on Criterion 3:
4. Feasibility of the plan and budget[Sections A7, A8, A9, A12 and explanations of expenses]
- Plans for coordination of domestic and foreign organizations, individuals and implementation plan	□	□	□	□	□
- Locality of cost estimation for research matters appropriate for limits of expenses according to applicable regulations	□	□	□	□	□
Comments on Criterion 4:
5. Innovative features of technology, benefits of topic and plans for employment of results, commitments to application by enterprises involved in the search[Sections A10, A11]
- Products expected to meet requirements of orders	□	□	□	□	□
- Impacts on society, branches, fields (making contributions to creating new branches, products through technologies to be transferred; making contribution to increasing research qualifications of organizations, individuals)	□	□	□	□	□
- Plans for using results and commitments to application by enterprises involved in the search	□	□	□	□	□
Comments on Criterion 5:
6. Qualifications of organizations, individuals[Section 11, qualification documentation and resume of individuals involved]
- The presiding organization and main organizations to implement the topic	□	□	□	□	□
- Research qualifications and achievements of the presiding organization and members involved;	□	□	□	□	□
Comments on Criterion 6:
General evaluation	□	□	□	□	□

Notes: Marks for evaluation by experts as follows:

4= Excellent; 3 = Good; 2 = Average; 1=Poor; 0=Very poor

Comments by experts(Mark X)

□ 1. Requests for implementation:

1.1. Funding to the final products 1.2. Partial funding

□ 2. Requests for adjustments as follows:

□ 3. No implementation (General evaluation as “Poor” or “Very Poor”)

Comments, explanations for abovementioned requests:

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

Date ………..

(Signed with full name by the expert)

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Circular No. 08/2015/TT-BKHCN dated May 05, 2015 of the Ministry of Science and Technology prescribing regulations on implementation of bilateral and multilateral cooperation program for scientific and technological research to 2020 and program for offshore technology transfer and search to 2020

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Circular No. 13/2015/TT-BNNPTNT dated March 25, 2015 of the Ministry of Agriculture and Rural Development guiding the procedure for recognition of new technological advances in agriculture and rural development

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Decision No. 66/2014/QD-TTg dated November 25, 2014 of the Prime Minister approving the list of high technologies prioritized for development investment and the list of hi-tech products eligible for development promotion