Circular No. 17/2017/TT-BKHCN dated December 29, 2017 of the Ministry of Science and Technology on management of intellectual property development program during 2017 - 2020

THE MINISTRY OF SCIENCE AND TECHNOLOGY

Circular No. 17/2017/TT-BKHCN dated December 29, 2017 of the Ministry of Science and Technology on management of intellectual property development program during 2017 - 2020

Pursuant to the Law on Science and Technology dated June 18, 2013;

Pursuant to the Law on Intellectual Property dated November 29, 2005 and the Law on amendments to some Articles of the Law on Intellectual Property dated June 19, 2009;

Pursuant to the Government’s Decree No. 08/2014/ND-CP dated January 27, 2014 elaborating and providing guidelines for some Articles of the Law on Science and Technology;

Pursuant to the Government’s Decree No. 95/2017/ND-CP dated August 16, 2017 defining functions, tasks, entitlements and organizational structure  of the Ministry of Science and Technology;

Implementing the Prime Minister’s Decision No. 1062/QD-TTg dated June 14, 2016 on approval for the intellectual property development program 2017 - 2020;

At the request of the Director of National Office of Intellectual Property of Vietnam and Director of Department of Legal Affairs,

The Minister of Science and Technology hereby promulgates a Circular on management of intellectual property development program during 2017 - 2020.

Chapter I

GENERAL PROVISIONS

Article 1. Scope of adjustment and subject of application

1. This Circular provides for compilation and approval for the list of assigned projects; selection/direct assignment of an organization presiding over a project (hereinafter referred to as “the presiding organization”); signing project execution contract; project inspection and adjustment; assessment and commissioning of project results (hereinafter referred to as “project assessment and commissioning”) and organization of general activities included in the intellectual property development program 2016 - 2020 approved in the Prime Minister’s Decision No. 1062/QD-TTg dated June 14, 2016 (hereinafter referred to as “the Program”).

2. This Circular applies to organizations and individuals executing and participating in the Program; regulatory authorities and relevant organizations and individuals.

Article 2. Tasks included in the Program

Tasks included in the Program include general activities and projects.

1. General activities included in the Program are proposing and performing the following tasks:

a) Tasks prescribed in Clauses 1 and 2 Section III Article 1 of the Prime Minister’s Decision No. 1062/QD-TTg dated June 14, 2016;

b) Provision of assistance in domestically registering protection of scientific research findings and  product design prescribed in Clause 2 Section II Article 1 of the Prime Minister’s Decision No. 1062/QD-TTg dated June 14, 2016;

c) Provision of counseling and assistance in establishment of intellectual property rights of individuals that have ideas, technical solutions and other achievements; honoring and rewarding individuals whose intellectual property and achievements are widely applied and bring real benefits to the community and society prescribed in Clause 4 Section II Article 1 of the Prime Minister’s Decision No. 1062/QD-TTg dated June 14, 2016;

2. Projects included in the Program are science and technology tasks and are aimed at performing the activities prescribed in Section II Article 1 of the Prime Minister’s Decision No. 1062/QD-TTg dated June 14, 2016, except for the tasks prescribed in Points b and c Clause 1 of this Article.

Article 3. Grouping projects included in the Program and code thereof

1. Grouping projects included in the Program

Projects included in the Program are divided into 2 groups:

a) The project under the management of the central government (hereinafter referred to as “the central government project”) is a project that is set up and executed using a typical or complicated and specialized model;

b) The project under the management of the local government (hereinafter referred to as “the local government project”) is a project that is set up and executed according to result of use of the model that are commissioned or aimed at addressing the issues concerning local business and production development and is within the local government’s capacity for management.

2. The Minister of Science and Technology shall decide to group projects according to comments from the advisory council on determination of the projects included in the Program (hereinafter referred to as “the advisory council on project determination”).

3. Code of projects included in the Program

Projects included in the Program shall be coded as follows:

SHTT.TW(DP).XX-20YY, where:

a) SHTT: general symbol for the project included in the Program;

b) TW: symbol for the central government project;

c) DP: symbol for the local government project;

d) XX: the ordinal number of the project;

dd) YY: the last two digits of the year in which the project starts to be executed.

Article 4. Rules and contents of Program management

1. Rules for Program management

a) The Program shall be executed and managed in a public and transparent manner and in accordance with regulations of law;

b) Information about the Program shall be published on the web portal of the Ministry of Science and Technology, National Office of Intellectual Property of Vietnam (hereinafter referred to as “the NOIP”) and Departments of Science and Technology of provinces and central-affiliated cities (hereinafter referred to as “the Department of Science and Technology);

c) Presiding organizations and persons shall register and retain project results as prescribed in the Circular No. 14/2014/TT-BKHCN dated June 11, 2014 of the Minister of Science and Technology.

2. Contents of Program management

a) Management of general activities included in the Program

The Ministry of Science and Technology and People’s Committees of provinces and central-affiliated cities (hereinafter referred to as “People’s Committees of provinces”) shall manage and organize performance of general activities prescribed in Clause 1 Article 2 of this Circular;

b) Management of projects included in the Program

Projects included in the Program shall be managed as follows: determination and approval for the list of assigned projects; selection/direct assignment of the presiding organization; appraisal of the project funding estimate; approval for result of selection/direct assignment of the presiding organization; signing project execution contract; project inspection and adjustment; assessment, commissioning and recognition of project results; contract completion and property disposal after project closure; dissemination and multiplication of project results.

Article 5. Program management structure

1. The Ministry of Science and Technology shall perform uniform management of the Program, determine and approve the list of assigned projects (including central and local government projects) and directly manage the central government projects.

2. People’s Committees of provinces shall cooperate in managing the Program within their area (except for the task in determining and approving the list of assigned projects that is performed by the Ministry of Science and Technology) and directly manage the local government projects.

3. Project management authority

a) The NOIP (the central government authority in charge of project management) shall request the Office of Intellectual Development Program to assist the Minister of Science and Technology in performing the tasks specified in Clause 1 of this Article;

b) The Department of Science and Technology (the local government authority in charge of project management) shall be in charge of assisting the People’s Committee of the province in performing the tasks specified in Clause 2 of this Article.

Chapter II

COMPILATION AND APPROVAL FOR LIST OF ASSIGNED PROJECTS

Article 6. Rules for determining an assigned project

1. Tasks tackled by the project are urgent or serve the common need of regulatory authorities, community and enterprises and conform to policies for socio-economic, scientific and technological development.

2. Objectives of the project conforms to those of the Program, are clearly determined and quantifiable.

3. Contents of the project are conformable to those of the Program, remain clear, designed in manner that is relevant to current situation and ensures feasibility.

4. The execution plan is implemented in a scientific, appropriate and creative manner so that the tasks can be tackled.

5. Expected results and products of the project are conformable to objectives of the project and quantifiable.

6. The project ensures its sustainability and capacity for maintaining and multiplying results after it is closed.

7. Tasks of project do not overlap the ones that have been being performed and do not infringe upon intellectual property rights of other entities.

8. A project is executed within 24 months and closed by 2020, unless otherwise decided by the Minister of Science and Technology (regarding the central government project) or President of the People’s Committee of the province (regarding the local government project).

Article 7. Project proposal

1. Under the guidance of the Ministry of Science and Technology, each ministry, area, organization or individual shall submit an annual project proposal using the Form B1 hereof.

2. Receiving authority:

The National Office of Intellectual Property of Vietnam

386 Nguyen Trai, Thanh Xuan, Hanoi.

3. The receiving date is the date specified in postage stamp (in the case of submission of the proposal by post) or date stamp of the receiving authority (in the case of submission of the proposal in person).

Article 8. Determination of projects and approval for list of assigned projects

1. Within 07 working days after the deadline for submission of the project proposal under the guidance of the Ministry of Science and Technology prescribed in Clause 1 Article 7 of this Circular, the NOIP shall submit a consolidated list of proposed projects to the Minister of Science and Technology for considering organizing an advisory council on project determination.

2. The advisory council on project determination shall be established by Minister of Science and Technology and composed of 07 or 09 members, including President, Vice President, 02 critics, 01 secretary and other members. Council members must be experts in intellectual property and have experience in fields of the project, representatives of regulatory authorities or relevant organizations and individuals.

3. The council working methods are prescribed in Article 17 of the Circular No. 07/2014/BKHCN and Clause 13 Article 1 of the Circular No. 03/2017/TT-BKHCN.

The council working procedures are prescribed in Clauses 1, 2, 3, 4, 5 and 6 Article 18 of the Circular No. 07/2014/TT-BKHCN. Council members shall comment and assess the project proposal according to the rules prescribed in Article 6 and Form B2 hereof. The council shall agree to the "request for execution" conclusion if the project proposal is selected by 75% of total council members. The council shall propose project grouping (regarding the project management by the central or local government) and propose execution methods (selection or direct assignment).

The council shall prepare and approve the meeting minutes according to Form B3 hereof.

4. As requested by the President of the council and at least 01 critic, before organizing a council meeting, the NOIP shall carry out a site survey and work with the proposing unit and other relevant units to check and collect information and data, and determine the conformance of the entities whose intellectual property is protected, managed and developed to serve consideration and assessment of the project proposal.

5. Within 10 working days from the date on which the council approves the meeting minutes, the NOIP shall compile a list of assigned projects using the Form B4 hereof and submit it to the Minister of Science and Technology for approval.

Article 9. Publishing the list of assigned projects

1. Within 03 working days from the date of obtaining approval, the NOIP shall publish the list of assigned projects on the web portal of the Ministry of Science and Technology and the NOIP.

2. Within 05 working days from the date of obtaining approval, the Department of Science and Technology shall publish the list of the assigned projects under its management on its web portal.

Chapter III

SELECTION/DIRECT ASSIGNMENT OF PRESIDING ORGANIZATIONS

Article 10. Notice of selection/direct assignment of presiding organizations

1. The NOIP shall publish a notice of selection/direct assignment of an organization presiding over the central government project on the web portal of the Ministry of Science and Technology, the NOIP, Science and Development Newspapers and Business Forum Newspapers (online newspaper or printed newspapers).

2. The Department of Science and Technology shall publish a notice of selection/direct assignment of an organization presiding over the project under its management on the web portal of the Ministry of Science and Technology, Department of Science and Technology and local online newspaper or local printed newspapers.

3. A notice of selection/direct assignment of a presiding organization contains at least: name of the project; orientations and objectives of the project; products and requirements for products of the project; requirements for a dossier on selection/direct assignment of a presiding organization; date of submission of applications and receiving authority.

Article 11. Conditions that must be satisfied to be selected/directly assigned to preside over a project

1. An organization that applies to be selected/directly assigned to preside over a project must:

a) have its legal status and operate in a manner that is relevant to the fields of the project;

b) have capacity for raising reciprocal capital for the project;

c) not be one of the cases specified in Clause 2 Article 4 of the Circular No. 08/2017/TT-BKHCN dated June 26, 2017 of the Minister of Science and Technology.

2. An individual that applies to be a presiding person must:

a) obtain at least a bachelor’s degree, have his/her qualifications relevant to and have engaged in the fields of the project in the last 05 years by the time of submission of dossier; or be the author of the subject matter specified in Article 3 of the Law on Intellectual Property who applies to preside over the project related to such subject matter of intellectual property rights;

b) be capable of directly organize performance of and presiding over the tasks of a presiding person within the prescribed time limit;

c) not be one of the cases specified in Clause 4 Article 4 of the Circular No. 08/2017/TT-BKHCN.

Article 12. Dossier on selection/direct assignment of a presiding organization

1. 01 original dossier (bearing seals and handwritten signatures) that is printed on A4 paper sheets using Vietnamese Unicode Character Set according to TCVN 6909:2001, size 14 and 01 electronic dossier (non password-protected) shall be submitted. A dossier includes:

a) An establishment decision or business registration certificate of the organization that applies to be presiding organization or other equivalent documents;

b) A charter of the organization that applies to be selected/directly assigned to preside over a project (if any);

c) An application form (Form B5 hereof);

d) A project interpretation (Form B6 hereof);

dd) A summary of science and technology activities performed by the organization that applies to be selected/directly assigned to preside over a project, which is prepared using the form provided in Clause 4 Article 5 of the Circular No. 08/2017/TT-BKHCN;

e) A profile of the presiding person, major members and secretary involved in project execution and a profile of the domestic/foreign expert, which are prepared using the form provided in Clauses 5 and 6 Article 5 of the Circular No. 08/2017/TT-BKHCN;

g) The cooperating authority’s written consent to cooperation in project execution prepared using the form provided in Clause 7 Article 5 of the Circular No. 08/2017/TT-BKHCN;

h) Quotation of major equipment and raw materials that need to be purchased and services that need to be rented to execute the project. The quotation shall be given within 30 days by the time of submission. It may be updated, adjusted or amended before a meeting about appraisal of the project funding estimate (if needed);

i) Last 2 years’ financial statement of the organization that applies to be selected/directly assigned to preside over a project;

k) A plan for raising reciprocal capital (if the project requires reciprocal capital) prescribed in Clause 10 Article 5 of the Circular No. 08/2017/TT-BKHCN.

2. The dossier must be sealed and specify the followings in its cover: name of the project, list of documents contained in the dossier; name and address of the organization that applies to be selected/directly assigned to preside over the project, name of the individual that applies to preside over the project and information about the contact person (telephone and email).

Article 13. Submission and receipt of dossiers

1. Regarding the central government project

a) Receiving authority:

The National Office of Intellectual Property of Vietnam

386 Nguyen Trai, Thanh Xuan, Hanoi.

b) The receiving date is the date specified in postage stamp (in the case of submission of the dossier by post) or date stamp of the receiving authority (in the case of submission of the dossier in person).

2. Regarding the local government project:

a) Receiving authority: announced by the Department of Science and Technology;

b) The receiving date is the date specified in postage stamp (in the case of submission of the dossier by post) or date stamp of the receiving authority prescribed in Clause 2 of this Article (in the case of submission of the dossier in person).

3. During receipt of dossiers, the organization that applies to be selected/directly assigned to preside over a project may withdraw, replace or amend the dossier that has been submitted. The amended document constitutes an integral part of the dossier that has been submitted.

Article 14. Opening, inspecting and verifying validity of the dossier on selection/direct assignment of a presiding organization

1. Within 05 working days after the deadline for submission of the dossier, the project management authority shall finish opening, inspecting and verifying validity of the dossier and make a dossier opening record using the Form B7 hereof.

2. The dossier is consider satisfactory if the project is included in the list published as prescribed in Article 9 and satisfies the requirements prescribed in Articles 11, 12  and 13 of this Circular.

3. Within 03 working days from the date on which the record is made, the project management authority shall send a notice of dossier opening to the organization that applies to be selected/directly assigned to preside over a project.

Article 15. Advisory council on selection/direct assignment of a presiding organization

1. Advisory council on selection/direct assignment of a presiding organization shall becomposed of 07 or 09 members, including President, Vice President, 02 critics, 01 secretary and other members. Council members must be experts in intellectual property and have experience in fields of the project, representatives of regulatory authorities or other relevant organizations, of which at least 02 members have joined the advisory council on project determination.

2. The individual that is mentioned in one of the cases specified in Clause 2 Article 8 of the Circular No. 08/2017/TT-BKHCN shall not join the council.

3. Power to establish the council

a) Regarding the central government project, Minister of Science and Technology shall establish the council;

b) Regarding the local government project, the President of the People’s Committee of the province shall establish or authorize the Director of the Department of Science and Technology to establish the council.

Article 16. Criteria and grading scale for assessing a dossier on selection/direct assignment of a presiding organization

A dossier shall be assessed by awarding points to the dossier assessment report that is prepared using the Form B8 hereof. The maximum points for a dossier are 100. To be specific:

1. Criterion for necessity and typicality of the project: up to 15 points.

2. Criterion for feasibility of the project: up to 50 points.

3. Criterion for effectiveness and sustainability of the project: up to 35 points.

Article 17. Working rules and procedures of the advisory council on selection/direct assignment of a presiding organization

1. Working rules of the council

a) The advisory council on selection/direct assignment of a presiding organization shall only hold a meeting with the participation of at least 05 members (if the council has 07 members) or 07 members (if the council has 09 members) of which the president or vice president and 02 critics must be present. The president shall preside over the meeting. In the case of absence, the president shall authorize the deputy president in writing to preside over the meeting using the Form B2-7-GUQ in the Appendix II enclosed with the Circular No. 08/2017/TT-BKHCN;

b) The council members shall assess the dossier in an honest, objective and fair manner, take personal responsibility for their assessment and take joint responsibility for the council’s conclusion.

2. Working procedures

- A council meeting shall be organized within 15 working days from the date on which the dossier opening record specified in Clause 1 Article 14 of this Circular is made. Working procedures are specified in Article 11 of the Circular No. 08/2017/TT-BKHCN;

- A vote counting record and council meeting minutes shall be made using the FormB9and FormB10hereof respectively.

3. Completing the project dossier according to the council’s conclusion

a) Within 03 working days from the date on which the council approves the meeting minutes, the project management authority shall send a notice of meeting result to the organization that applies to be selected/directly assigned to preside over a project.

b) In the case of a dissenting opinion about the meeting result, the organization that applies to be selected/directly assigned to preside over a project shall send a written opinion to the project management authority within 07 working days from the date of signing the notice of meeting result.

c) Within 20 working days from the date on which the council approves the meeting minutes, the presiding organization and presiding person that are requested to be selected/directly assigned to preside over a project shall submit the following documents to the project management authority:

- The project dossier that has been completed according to the council’s conclusion;

- An explanation for the completion confirmed by the council president.

Article 18. Conditions to be satisfied by a dossier on selection/direct assignment of a presiding organization

1. A dossier on selection/direct assignment of a presiding organization will be considered satisfactory if it:

a) gets at least 70 assessment points on average;

b) gets at least 40 assessment points on average for feasibility;

c) gets at least 25 assessment points on average for effectiveness and sustainability.

2. If multiple dossiers satisfy the conditions specified in Clause 1 of this Article, the dossier that gets the highest points on average will be considered satisfactory.

3. If multiple dossiers satisfy the conditions specified in Clause 1 of this Article and get equal points on average, the following order of priority will be applied:

a) The dossier that gets higher points on average for feasibility;

b) The dossier that gets higher points for effectiveness and sustainability on average;

In the cases where such dossiers get equal points on average for the 02 aforementioned criteria, the president shall preside over or authorize the vice president to preside over a meeting for decision.

Article 19. Independent consultants on assessment of the dossier on selection/direct assignment of a presiding organization

1. Within 05 working days from the date on which the written opinion prescribed in Point b Clause 3 Article 17 of this Circular is received, the Minister of Science and Technology shall submit a consolidated list of proposed projects to the Minister of Science and Technology or the President of the People’s Committee of the province shall decide on seeking opinions of at least 02 independent experts.

2. Conditions to be satisfied by independent consultants, procedures for seeking opinions and responsibilities of independent consultants are set forth in Article 18, Clause 2 Article 19 and Article 20 of the Circular No. 08/2017/TT-BKHCN.

3. Within 03 working days from the date on which opinions of the independent consultants are obtained, the project management authority shall send a written notice to the organization that applies to be selected/directly assigned to preside over a project in writing and instruct the organization requested to be selected/directly assigned to complete the project dossier according to opinions of the independent consultants (if any).

4. Within 20 working days from the date on which the project management authority signs the written notice prescribed in Clause 3 of this Article, the organization that is requested to preside over the project and presiding person shall submit a complete dossier to the project management authority (if any).

Article 20. Appraising the project funding estimate

1. The project funding estimate shall be appraised by a funding appraisal team. A funding appraisal team shall be composed of 05 members, including a head who is the leader of the project management authority, vice head who is a representative of the planning-finance authority, 01 member who is the president or vice president or a critic of the advisory council on selection/direct assignment of the presiding organization, 01 member who is an accountant of the project management authority and 01 member who is an official responsible for project management.

2. The Minister of Science and Technology shall establish a team appraising the estimate of funding for the central government project and a team appraising the estimate of dedicated funding for the local government project that is covered by the central government budget for science and technology. The President of the People’s Committee of the province shall establish or authorize the Director of the Department of Science and Technology to establish a team appraising the estimate of funding covered by the local government budget for science and technology.

3. Working rules and procedures and responsibilities of an appraisal team are prescribed in Articles 13 and 14 of the Circular No. 08/2017/TT-BKHCN.

4. Appraising the estimate of funding for the central government project

a) Within 07 working days from the date on which the dossier prescribed in Clause 3 Article 17 or Clause 4 Article 19 of this Circular is received, the NOIP shall organize a meeting to appraise the estimate of funding for the central government project;

b) Within 03 working days from the date on which the team responsible for appraising the central government project approves the meeting minutes, the NOIP shall notify result of funding estimate appraisal to the presiding organization.

5. Appraising the estimate of funding for the local government project

a) Within 03 working days from the date on which the dossier prescribed in Clause 3 Article 17 or Clause 4 Article 19 of this Circular is received, the Department of Science and Technology shall submit the dossier to the NOIP. Within 07 working days from the date on which the dossier is received, the NOIP shall organize a meeting to appraise the estimate of dedicated funding for the local government project that is covered by the central government budget for science and technology;

b) Within 03 working days from the date on which the team appraising the estimate of dedicated funding for the local government project that is covered by the central government budget for science and technology approves the meeting minutes, the NOIP shall notify result to the Department of Science and Technology that is assigned to manage the project;

c) Within 07 working days from the receipt of result of appraisal of the estimate of dedicated funding for the local government project that is covered by the central government budget for science and technology, the Department of Science and Technology shall appraise the estimate of funding that is covered by the science and technology budget. The estimate of state funding for project execution shall ensure the percentage between the dedicated funding covered by the central government budget for science and technology and funding covered by the local government budget for science and technology as prescribed in the Circular on guidelines for management of funding for the Program promulgated by the Ministry of Finance;

d) Within 03 working days from the date on which the team appraising the estimate of funding that is covered by the central government budget for science and technology approves the meeting minutes, the Department of Science and Technology shall notify the result of funding estimate appraisal to the presiding organization.

Article 21. Approving result of selection/direct assignment of the presiding organization

1. Within 15 working days from the date on which the project management authority signs the notice of result of funding estimate appraisal, the presiding organization and presiding person shall complete the project interpretation according to the appraisal team’s conclusion and return it to the project management authority after obtaining confirmation of the head of the team.

2. Within 05 working days from the receipt of the project dossier prescribed in Clause 1 of this Article:

a) The NOIP shall submit it to the Minister of Science and Technology for consideration and approval for result of selection/direct assignment of the organization presiding over the central government project;

b) The Department of Science and Technology shall submit it to the President of the People’s Committee of the province for consideration and approval for result of selection/direct assignment of the organization presiding over the local government project.

3. A dossier submitted for approval for the result of selection/direct assignment of the presiding organization includes:

a) Report on result of selection/direct assignment of the presiding organization;

b) Dossier on selection/direct assignment of the presiding organization prescribed in Clause 1 Article 12 of this Circular, including the adjusted project interpretation prescribed in Clause 1 of this Article;

c) A decision on approval for the list of assigned projects, decisions on establishment of the advisory council and funding estimate appraisal team;

d) A dossier opening record;

dd) Advisory council and funding estimate approval team meeting minutes;

e) A draft of the decision on approval for the presiding organization, presiding person, funding and time for project execution.

Article 22. Approval for dedicated funding covered by the local government budget for science and technology

1. Within 05 working days from the receipt of the decision on approval for the result of selection/direct assignment of the presiding organization issued by the People’s Committee of the province, the NOIP shall submit it to the Minister of Science and Technology for approval for dedicated funding for the local government project that is covered by the local government budget for science and technology.

2. A dossier submitted for approval for dedicated funding covered by the central government budget for science and technology includes:

a) A decision on approval for the list of assigned projects issued by the Minister of Science and Technology;

b) A decision on approval for the presiding organization, presiding person, funding and time for execution of the local government project issued by the People’s Committee of the province;

c) An appraisal team’s decision on establishment of the appraisal team and minutes of the meeting about approval for dedicated funding for the local government project that is covered by the central government budget for science and technology;

d) A draft of the decision on approval for dedicated funding for the local government project that is covered by the central government budget for science and technology.

Article 23. Publishing result of selection/direct assignment of the presiding organization

1. Within 05 working days from the date on which the Minister of Science and Technology approves the result of selection/direct assignment of the organization presiding over the central government project or approves dedicated funding for the local government project that is covered by the local government budget for science and technology, the project management authority shall notify the presiding organization and presiding person of the result of selection/direct assignment of the presiding organization and publish it on the web portal of the Ministry of Science and Technology, the NOIP (in the case of the central government project) and website of the Department of Science and Technology (in the case of the local government project).

2. The published contents include: name of the project; name and address of the presiding organization, name of the presiding person, summary of objectives; expected results and products of the project and time limit for project execution.

Chapter IV

SIGNING PROJECT EXECUTION CONTRACT, CARRYING OUT INSPECTIONS AND MAKING ADJUSTMENTS DURING PROJECT EXECUTION

Article 24. Signing project execution contract

According to the approval decision issued by the Minister of Science and Technology or President of the People’s Committee of the province, the project management authority shall sign a project execution contract with the presiding organization and presiding person using the Form B11 hereof.

Article 25. Inspecting and reporting project execution<0}

1. From the date of initial advance of funding by the project management authority, the presiding organization and presiding person shall submit periodic reports (biannual and annual) or ad hoc reports (at the request of the project management authority) on project execution and use of funding for the project using Forms B12 and B13 hereof.

2. The NOIP shall take charge and cooperate with the Department of Science and Technology where the project is executed in carrying out periodic or ad hoc inspections and assessments of project execution and use of central government project funding. The Department of Science and Technology shall take charge and cooperate with the NOIP in carrying out periodic or ad hoc inspections and assessments of project execution and use of local government project funding.

3. Procedures for inspecting project execution

a) Inspected contents:

- Completed contents and contents in progress;

- Use of funding: state funding and reciprocal capital;

- Completed products and product in progress;

- Other contents (if any).

b) Inspection frequency:

Project execution shall be inspected:

- every 06 months from the date of initial advance of funding by the project management authority;

- on an ad hoc basis at the request of the project management authority.

c) Members of the inspectorate:

- Leader of the project management authority or individual authorized by the project management authority to act as a head of the inspectorate;

- 01 official responsible for management of professional tasks;

- 01 accountant of the project management authority;

- 01 member of the advisory council on project determination or advisory council on selection/direct assignment of presiding organizations (if any);

- Other members at the request of the project management authority.

d) Inspection procedures are set forth in Article 10 of the Circular No. 04/2015/TT-BKHCN dated March 11, 2015 of the Minister of Science and Technology.

Where necessary, the inspectorate may request inspection of product quality and specifications by a licensed authority. To be specific:

- Funding for inspection of quality and specifications of the product of the central government project shall be covered by the funding for performance of general activities included in the Program at central government level;

- Funding for inspection of quality and specifications of the product of the local government project shall be covered by the funding for performance of general activities included in the Program at local government level;

dd) Result of the inspection shall be processed as prescribed in Clauses 1 and 2 Article 11 of the Circular No. 04/2015/TT-BKHCN.

Adjustment during project execution (if any) shall be made as prescribed in Articles 26, 27 and 28 of this Circular.

Article 26. Adjusting time limit for project execution

1. The presiding organization may request the Minister of Science and Technology or the People’s Committee of the province in writing to consider extending or shortening the time limit for project execution.

2. Within 15 working days from the receipt of the written request specified in Clause 1 of this Article, the project management authority shall consider and appraise the reason for extension and shortening and submit it to the Minister of Science and Technology (regarding the central government project) or the People’s Committee of the province (regarding the local government project) for approval.

3. The time limit of each project shall be extended once and for no more than 06 months. In special case, the Minister of Science and Technology (regarding the central government project) or President of the People’s Committee of the province (regarding the local government project) shall decide to extend the time limit for project execution.

4. The shortening of project execution shall be only considered if at least 2/3 of the assigned tasks are completed.

Article 27. Other changes and adjustments

1. Change of the presiding organization

The presiding organization shall be only changed if a competent authority issues the decision on consolidation, merger, full division, partial division, conversion and dissolution of the presiding organization. The new presiding organization shall satisfy the conditions specified in Clause 1 Article 11 of this Circular.

2. Change of the presiding person

The presiding person shall be changed in the cases specified in Article 16 of the Circular No. 04/2015/TT-BKHCN. The new presiding person shall satisfy the conditions specified in Clause 2 Article 11 of this Circular.

3. Name, objectives, products and contents of a project, state funding for project execution, funding for project execution not covered by state budget and for purchase of raw materials, equipment and machines shall be adjusted as prescribed in Articles 13, 14, 15 and 18 of the Circular No. 04/2015/TT-BKHCN.

Article 28. Power of and procedures for making changes and adjustments

1. The new presiding organization shall decide to adjust the contents specified in Clause 1 Article 19 of the Circular No. 04/2015/TT-BKHCN.

2. The Minister of Science and Technology (regarding the central government project) or President of the People’s Committee of the province (regarding the local government project) shall consider deciding to adjust the contents that are not mentioned in Clause 1 of this Article.

3. Adjustment procedures are specified in Article 20 of the Circular No. 07/2014/TT-BKHCN.

Article 29. Termination of contract during project execution

1. Cases in which the contract is terminated during project execution are prescribed in Article 21 of the Circular No. 04/2015/TT-BKHCN.

2. Power of and procedures for contract termination

a) Power to terminate the contract:

- The Minister of Science and Technology (regarding the central government project) or President of the People’s Committee of the province (regarding the local government project) shall decide to terminate the contract. The decision on contract termination shall specify the funding that must be returned to the state budget and a plan for handling of the product/property formed or purchased during project execution;

- The project management authority shall complete the contract with the presiding organization and presiding person in accordance with applicable regulations.

b) Contract termination procedures are specified in Article 22 of the Circular No. 04/2015/TT-BKHCN.

Chapter V

PROJECT ASSESSMENT AND COMMISSIONING

Article 30. Project self-assessment

The presiding organization and presiding person shall carry out project self-assessment using the Form B14 hereof before submitting the assessment and commissioning documentation to the project management authority.

Article 31. Assessment and commissioning documentation

The assessment and commissioning documentation includes:

1. A presiding organization’s written request for assessment and commissioning made using the Form 2 in the Appendix enclosed with the Circular No. 11/2014/ BKHCN dated May 30, 2014 of the Minister of Science and Technology.

2. Consolidated and brief reports on project execution prepared using the Form B15 hereof.

3. Products and results of the project under the project execution contract and approved project interpretation.

4. Report on use of funding for the project prepared using the Form B13 hereof.

5. A report on self-assessment of project results prepared using the Form B14 hereof.

6. Other documents (if any).

Article 32. Submission of the assessment and commissioning documentation

1. 01 original documentation (bearing seals and handwritten signatures) that is printed on A4 paper sheets using Vietnamese Unicode Character Set according to TCVN 6909:2001, size 14 and 01 electronic documentation (non password-protected) shall be submitted.

2. The documentation shall be submitted and received as prescribed in Article 13 of this Circular.

3. Deadline for submission and verification of validity of the documentation are specified in Clauses 1 and 3 Article 7 of the Circular No. 11/2014/TT-BKHCN.

Article 33. Advisory council on project assessment and commissioning

1. An advisory council on commissioning and assessment on project results (hereinafter referred to as “the advisory council on commissioning and assessment”) shall be composed of 07 or 09 members, including President, Vice President, 02 critics, 01 secretary and other members. Council members must be experts in intellectual property and have experience in fields of the project, representatives of regulatory authorities or other relevant organizations, of which at least 01 member has joined the advisory council on project determination or advisory council on selection/direct assignment of presiding organizations.

2. The individual that is mentioned in one of the cases specified in Clause 5 Article 9 of the Circular No. 11/2014/TT-BKHCN shall not join the council.

3. Power of and time limit for establishment of an advisory council on assessment and commissioning

a) Power to establish a council:

- Regarding the central government project, the Minister of Science and Technology shall establish a council;

- Regarding the local government project, the President of the People’s Committee of the province shall establish or authorize the Director of the Department of Science and Technology to establish a council.

b) A council shall be established within 15 working days from the date on which the project management authority receive the satisfactory assessment and commissioning documentation.

Article 34. Working procedures and contents of the advisory council on assessment and commissioning

1. The council meeting shall be organized within 30 working days from the date on which the decision on council establishment is obtained and shall be only conducted if the following requirements are satisfied:

a) The project management authority has received written comments of the 02 critics and comments of the expert team at least 01 working day before the council meeting;

b) The meeting shall be attended by at least 05 members (if the council has 07 members) or at least 07 members (if the council has 09 members) of which the President or Vice President and 02 critics must be present.

2. Working procedures

a) Working procedures are specified in Clause 5 Article 10 of the Circular No. 11/2014/TT-BKHCN;

b) Council members shall assess project results by awarding points to the assessment report that is prepared using the Form B16 hereof;

c) The council shall prepare and approve the meeting minute according to Form B17 hereof.

3. Regarding the project that includes on-site activities, intermediate products, models, equipment, and products that are not required to be tested and measured. Where necessary, the project management authority shall request the council to carry out on-site inspections and assessments of the site where the project is executed or carry out inspections and assessments of product quality and specifications at a licensed authority.

Article 35. Rules and funding for assessment and commissioning

1. Rules for assessment and commissioning are prescribed in Article 3 of the Circular No.11/2014/TT-BKHCN.

2. Funding for assessment and commissioning:

a) Funding for assessment and commissioning of result of central government project execution shall be covered by the covered by the funding for performance of general activities included in the Program at central government level;

b) Funding for assessment and commissioning of local government project results shall be covered by the funding for performance of general activities included in the Program at local government level;

c) Cost incurred to complete products and commissioning documentation at the request of the council shall be covered by the presiding organization and presiding person themselves.

Article 36. Contents and methods for assessment and level of assessment and classification by council

1. Contents and criteria for assessment

a) Time limit for submission of the assessment and commissioning documentation;

b) Level of completion of tasks of the project;

c) Reasonableness and scientism of the execution plan;

d) Level of completion of results and products: quantity of results and products compared to the project interpretation and project execution project; level of conformity of each product and result compared to the imposed technical norms and criteria;

dd) Effectiveness and sustainability (protected by intellectual property rights and/or capacity for practical application of results and products) of the project;

e) Other contents and criteria prescribed in Article 12 of the Circular No. 11/2014/TT- BKHCN.

2. Methods for assessment and level of project assessment and classification by council

Project assessment and classification shall be carried out according to the assessment points on average awarded by council members that join the meeting. To be specific:

a) A project will be assessed and classified as "No commissioning" if the assessment points on average awarded by the council members are under 50;

b) A project will be assessed and classified as "Commissioning" if the assessment points on average awarded by the council members are at least 50. To be specific:

- The commissioning will be considered “Satisfactory” if the assessment points on average awarded by the council members are from 50 to under 70;

- The commissioning will be considered “Good” if the assessment points on average awarded by the council members are from 70 to under 90;

- The commissioning will be considered “Excellent” if the assessment points on average awarded by the council members are from 90 to 100;

3. Regarding the project that is assessed and classified as “Commissioning” as prescribed in Point b Clause 2 of this Article, within 30 working days from the date on which the council approves the meeting minutes, the presiding organization and presiding person shall submit complete assessment and commissioning documentation to the project management authority after obtaining confirmation of the president of the council.

4. Regarding the project that is assessed and classified as “No commissioning” as prescribed in Point a Clause 2 of this Article, regulations of the Joint Circular No. 27/2015/TTLT-BKHCN-BTC dated December 30, 2015 of the Minister of Science and Technology and Minister of Science and Technology shall be complied with.

Article 37. Expert team and independent consultants in charge of project assessment and commissioning

1. The expert team in charge of project assessment and commissioning shall be established and operate as prescribed in Article 9 of the Circular No. 11/2014/TT-BKHCN.

2. Opinions of independent consultants in charge of project assessment and commissioning shall be sought as prescribed in Articles 14 and 22 of the Circular No. 11/2014/TT-BKHCN.

Article 38. Recognition of project results

1. Power to recognize project results

a) The Minister of Science and Technology shall issue the decision on recognition of central government project results;

b) The President of the People’s Committee of the province shall issue the decision on recognition of local government project results.

2. Documents about recognition of project results include:

a) Minutes of the project assessment and commissioning council meeting;

b) A copy of the certificate of registration of result of task performance;

c) A report on completion of the assessment and commissioning documentation prepared using the Form 10 enclosed with the Circular No. 11/2014/TT-BKHCN;

d) Opinions of the expert team or independent consultants (if any);

dd) A draft of the decision on recognition of project results prepared using the Form 11 enclosed with the Circular No. 11/2014/TT-BKHCN.

3. Within 05 working days from the receipt of all documents specified in Clause 2 of this Article, the project management authority shall submit them to the Minister of Science and Technology or the People’s Committee of the province for decision on recognition of project results.

Article 39. Contract completion and property disposal after project closure

1. The project management authority shall complete the project execution contract with the presiding organization and presiding person using the Form B18 hereof.

2. Intellectual property rights to and ownership of project results shall be managed in accordance with regulations of law on science and technology and intellectual property.

3. The presiding organization and presiding person shall manage and use project results in accordance with applicable regulations. Property formed from project execution shall be disposed in accordance with applicable regulations on management and use of property formed from performing science and technology tasks funded by the State.

Chapter VI

IMPLEMENTATIONPROVISIONS

Article 40. Responsibilities of the Ministry of Science and Technology

1. Organize execution and perform uniform management of the Program as assigned by the Prime Minister in the Decision No. 1062/QD-TTg dated June 14, 2016. To be specific:

a) Provide guidelines for proposing projects, compiling and approving the list of assigned projects in conformity with objectives and contents of the Program, and grouping central and local government projects;

b) Select and directly assign organizations presiding over the central government projects;

c) Approve result of selection/directly assignment of organizations presiding over the central government projects;

d) Approve funding for execution of central government projects, funding for performance of general activities included in the Program at central government level and dedicated funding for the local government project that is covered by the central government budget for science and technology.

dd) Aggregate funding for the Program with the total annual funding for science and technology; provide funding for performance of general activities included in the Program at central government level and funding for central government project; cooperate with the Ministry of Finance in balancing the dedicated funding for the local government project that is covered by the central government budget for science and technology;

e) Take charge of inspecting execution and decide on the adjustments made during execution of central government projects, cooperate with the People’s Committee of the province in inspecting local government projects;

g) Approve the plan for selection of contractors for the contract packages for purchase of machines, equipment, goods, raw materials and services of projects with funding for central government project that is covered by the central government budget for science and technology.

h) Settle funding for central government projects and funding for performance of general activities included in the Program at central government level. Assess, commission and recognize project results and dispose the property under the management of the central government. Organize dissemination and multiplication of results of projects included in the Program;

i) Organize annual assessment of project results, carry out preliminary reviews and reviews of the Program;

k) Organize performance of general activities included in the Program at central government level.

2. The NOIP shall take charge and cooperate with relevant units in assisting the Minister of Science and Technology in performing the tasks specified in Clause 1 of this Article.

Article 41. Responsibilities of People’s Committees of provinces

1. Organize execution of the Program as assigned by the Prime Minister in the Decision No. 1062/QD-TTg dated June 14, 2016. To be specific:

a) Consolidate projects proposed by organizations and individuals and directly propose projects relevant to the contents and objectives of the Program to the Ministry of Science and Technology;

b) Select/directly assign organizations presiding over local government projects on the list of assigned projects approved by the Minister of Science and Technology. Approve result of selection/directly assignment of organizations presiding over the central government projects;

c) Approve funding for local government projects that is covered by the science and technology budget, reciprocal capital (if any) for central government projects that is covered by the local government budget; aggregate funding for performance of Program tasks that is covered by the local government budget and balance it in the local government s total annual budget;

e) Take charge of inspecting and addressing issues that arise during execution of local government projects; cooperate in inspecting and addressing issues that arise during execution of central government projects within areas;

dd) Approve the plan for selection of contractors for the contract packages for purchase of machines, equipment, goods, raw materials and services of projects with funding for local government projects that is covered by the budget for science and technology;

e) Settle funding for local government projects and reciprocal capital for central government projects (if any) and funding for performance of general activities included in the Program at local government level. Organize assessment and commissioning of local government project results, recognize project results and dispose the property under the management of the local government;

g) Formulate assistance polices and organize dissemination and multiplication of results of projects included in the Program;

h) Organize integration of contents of the projects included in the Program into those of other local socio-economic development projects and schemes, providing sufficient funding for project execution by mobilizing other capital resources and using state funding for project execution;

i) Submit an annual report on result of execution, preliminary and review of the Program executed within their area or ad hoc reports at the request of the Ministry of Science and Technology.

k) Organize performance of general activities included in the Program within their area.

2. The Department of Science and Technology shall take charge and cooperate with relevant units in assisting the People’s Committees of provinces in performing the tasks specified in Clause 1 of this Article.

Article 42. Responsibilities of presiding organizations

1. Sign the project execution contract and contract completion record as prescribed in Articles 24 and 39 of this Circular.

2. Cooperate with the project management authority in complying with regulations specified in Clauses 3, 5, 7, 10 and 11 Article 15 of the Circular No. 18/2016/TT-BKHCN dated September 01, 2016 of c the Minister of Science and Technology.

3. Comply with regulations specified in Clauses 1, 2, 6, 9, 11, 12, 13 and 14 Article 15 of the Circular No. 18/2016/TT-BKHCN.

4. Submit consolidated reports on apportionment, use and settlement of funding projects to the Ministry of Science and Technology (the NOIP) and People s Committees of provinces.

Article 43. Responsibilities of presiding persons

1. Sign the project execution contract and contract completion record as prescribed in Articles 24 and 39 of this Circular.

2. Take responsibility for legality of subject matter of intellectual property rights prescribed by the Law on Intellectual Property (if the presiding person is the author of subject matter of intellectual property rights specified in Article 3 of the Law on Intellectual Property).

3. Organize execution and take responsibility for results, products and effectiveness of a project; introduce plans for application of results or commercialization of products.

4. Use funding for right purposes and in an effective manner; submit reports, manage funding and finalize projects in accordance with applicable regulations.

5. Propose adjustments to contents, products, funding and progress of tasks of the project to the presiding organization.

6. Inspect and encourage organizations and individuals to participate and cooperate in executing projects under contracts; submit periodic and ad hoc reports on use of project funding.

Article 44. Effect

1. This Circular takes effect on February 11, 2018.

2. Selection/direct assignment of organizations presiding over projects on the list of assigned projects that have been approved before the effective date of this Circular shall continue to be carried out as prescribed in the Circular No. 03/2011/TT-BKHCN dated April 20, 2011 of the Minister of Science and Technology.

Article 45. Implementationorganization

1. Any difficulties arising in the course of implementation of this Circular should be promptly reported to the Ministry of Science and Technology for consideration.

2. People’s Committees of provinces shall, according to regulations of this Circular, apply or promulgate documents providing for management of intellectual property development program within their area./.

 For the Minister

The Deputy Minister

Pham Cong Tac