Circular No. 04/2015/TT-BKHCN defining of contracts during performance of national science and technology

• Official number: 04/2015/TT-BKHCN
• Legislation Type: Circular
• Organization: The Ministry of Science and Technology
• Signer: Nguyen Quan
• Issued Date: 11/03/2015

MINISTRY OF SCIENCE AND TECHNOLOGY --------	SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom – Happiness ---------------
No: 04/2015/TT-BKHCN	Hanoi, March 11, 2015

CIRCULAR

DEFINING INSPECTION, ASSESSMEN, ADJUSTMENT AND TERMINATION OF CONTRACTS DURING PERFORMANCE OF NATIONAL SCIENCE AND TECHNOLOGY TASKS COVERED BY THE STATE BUDGET

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

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;

Pursuant to the Government's Decree No. 08/2014 / ND-CP dated February 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. 95/2014 / ND-CP dated October 17, 2014 on investment and financing mechanisms for science and technology activities;

At the request of the Director of the Department of Science and Technology of economic-technical sectors and the Director of the Legal Department;

The Minister of Science and Technology promulgates the Circular defining inspection, assessment, adjustment and termination of contracts during performance of national science and technology tasks covered by the state budget.

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GENERAL PROVISIONS

Article 1. Scope of regulation and regulated entities

1. This Circular defines inspection, assessment, adjustment and termination of contracts during performance of national science and technology tasks covered by the state budget commenced to perform through contracts of scientific research and technology development (hereinafter referred to as tasks)

2. Inspection, assessment, adjustment and termination of contracts during performance of national science and technology tasks covered by the state budget funded by funds in the field of science and technology shall not be under the scope of regulation of this Circular.

3. This Circular shall be applied to the management agencies of science and technology tasks, science and technology organizations, other related organizations and individuals.

Article 2. Interpretation of terms

In this Circular, the following terms shall be interpreted as follows:

1. Task-charging Ministry is the Ministry of Science and Technology or ministries, Ministerial-level agencies, Ministry, Governmental agencies assigned to take charge the performance of the tasks.

2. Task management unit is the focal point assigned to perform the functions of state management of tasks by the task-charging Minister, assisting the task-charging Ministry to commence the in accordance with objectives, contents and products of tasks.

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4. Professional management unit is the state management unit assigned to manage professional fields consistent with the scientific contents of the task.

Chapter II

INSPECTION, ASSESSMENT PROCESS DURING PERFORMANCE OF TASKS

Article 3. Contents of inspection, assessment

1. Scientific contents:

a) Contents that are completed;

b) Contents that are in progress;

c) Product that have been applied in practice

2. Progress

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a) Use of fund covered by the State budget;

b) Use of fund not covered by the State budget;

4. Other contents (if any)

Article 4. Principles of inspection and assessment

1. Based on signed contracts of scientific research and technology development; ensuring democracy, objectivity, fairness, honesty and accuracy.

2. Respect and restrict influences on normal operations of the organizations which are inspected

3. Only inspect under the plans or request of competent authorities or persons in accordance with law.

4. Comply with the contents, competence and processes

5. Ensure close cooperation between the agencies and units related to inspection, avoid duplication and overlap.

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1. Representatives of 01 leader and 01 expert of the task management unit.

2. Representatives of 01 leader and 01 expert of the fund management unit.

3. Representatives of professional management unit (if the task management unit is not the professional management unit).

4. Representatives of the agencies proposing orders.

5. Representatives of Southern work Department under the Ministry of Science and Technology for tasks taken charge and commenced by the Ministry of Science and Technology in the southern provinces as prescribed by the Minister of Science and Technology.

6. Other participants at the request of the Minister of task-charging.

Article 6. Time of inspection, assessment

1. Every 01 year from the time the contract takes effect.

2. Extraordinarily at the request of the Minister of task-charging.

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Funds for inspection and assessment during performance of tasks covered from the annual budget for science and technology budget shall be allocated to estimate to the Ministry of task-charging.

Article 8. Preparation of inspection, assessment contents

1. Lead organizations shall prepare reports and related documents for inspection and assessment:

a) Reports on progress of task performance in the Form A-2-BCTĐ, A-4-BCSPHT, A-5-BCSPUD in the Appendix enclosed herewith this Circular;

b) Reports on the use of funds in the form A-3-BCSDKP in the Appendix enclosed herewith this Circular;

c) Other related documents

2. Fund management unit shall fulfill the following responsibilities:

a) Receive reports and documents of the task-charging organization;

b) Arrange time and place of inspection, assessment and notify to the task-charging organization, the participants in inspection and assessment team before 05 working days.

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The inspection and assessment team shall perform their duties if the following conditions are met:

1. Receive all reports as defined in Paragraph 1 of Article 8 of this Circular.

2. Have at least 03 of the 04 members specified in clauses 1 and 2 of Article 5 of this Circular; representatives of professional management units as specified in paragraph 3 of Article 5 of this Circular and representatives of the leader of the task-charging organization.

Article 10. Procedures for inspection, assessment

1. The representative of the inspection and assessment team shall state reasons and introduce the members of the inspection and assessment team.

2. The representatives of the task-charging organization shall introduce participants in inspection of the unit.

3. The head of the inspection, assessment team shall take charge the meeting

4. The representative of leaders of charging organization shall briefly report on the commencement of the task

5. The head of the task and participants in performing the task shall add comments.

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7. The charging organization, the head of the task shall explain and receive opinions of the inspection and assessment team.

8. The head of the inspection and assessment team shall draw conclusions on scientific contents, progress, use of funds and petition for the task-charging organizations and record proposals of the task-charging organization ( if any)

9. The inspection and assessment record must be signed and certified by members participating in the inspection team and the Leader of the task-charging organization.

10. Inspection of documents and reports may be conducted at the charging organization or at the task-charging Ministry.

11. Inspection and assessment on location: For science and technology tasks with intermediary products or products being specific models, devices, products which may be tested, the inspection and assessment team shall go to the location to inspect and assess specifically the product quantity of the tasks. Where necessary, the inspection team may request to inspect the product quality in agencies with appropriate professional functions.

Article 11. Handling after end of inspection, assessment

1. The certification of workload of the tasks must be completed within 10 working days after the end of the inspection.

2. The certification of funding for performance of the tasks must be completed within 20 working days after the end of the inspection.

3. The adjustment, termination of the contract (if any) shall comply with the provisions of Chapter III and Chapter IV of this Circular.

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ADJUSTMENT DURING PERFORMACE OF TASKS

Article 12. Adjustment of performance time of tasks

1. The extension of time to perform the tasks shall only be carried out 01 time for each task. The extended period shall be within 12 months for tasks with performance time of more than 24 months and within 06 months for tasks with performance time of less than 24 months. Failures to comply with the above regulations shall be decided by the Minister of task-charging.

2. The extension of time to perform the tasks shall only be considered before the end of the contract for at least 01 month

3. The shortening of time shall only be considered after the completion of at least 2/3 of the content of the task.

Article 13. Adjustment of names, objectives, products of task

1. Tasks preformed under the form of total allocation shall not be allowed to adjust.

2. The tasks performed under the form of part allocation: The adjustment shall only considered after consulting the Advisory Board in the Form C-1-BBHDTV in Appendix enclosed herewith this Circular established by the Minister of task-charging and consent in writing of agencies proposing orders.

Article 14. Adjustment of task contents

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2. For the tasks performed under the form of part allocation: The task-charging organization must have a written report to the task-charging Ministry. The Minister of task-charging shall consider and decide the adjustment of the content for each particular case. Where necessary, the Minister of task-charging shall consult expert’s advice.

Article 15. Adjustment of task funding

1. The task-charging organization is entitled to request for adjustments of the task funding.

2. The adjustment of the task funding shall be made according to current regulations.

Article 16: Change of heads of tasks

1. The change of the head of the task shall only be made in the following cases:

a) The head of the task goes for long-term study, work in 06 consecutive months;

b) The head of the task is sick leading to inability to operate the research of the tasks (with written request for permission of the head of the task or certification of health facilities);

c) The head of the task dies; goes missing over 06 months;

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e) The head of the task does not complete the schedule and task content as ordered without good reason, violate the principles of financial management in accordance with the conclusions of the inspection team or be suspended his/her work.

2. The new head of the task must meet the requirements in Circular on selection, direct assignment of organization or individuals to perform national science and technology tasks covered by state budget.

Article 17: Change of task-charging organization

1. The task-charging organization shall only be changed in case of the decision of the competent authority of acquisition, division, dissolution of the task-charging organization.

2. The new head of the task must meet the requirements in Circular defining selection, direct assignment of organization or individuals to perform national science and technology tasks covered by state budget.

Article 18. Other adjustment of tasks

1. Adjustment of purchase of raw materials: The task-charging organization shall actively decide to adjust the plans for purchase and estimate the number, volume and types of the raw materials covered by the state budget and shall not increase the total expenditures for the approved raw materials. After the adjustment, the purchase of raw materials shall comply with current regulations.

2. Adjustment and adding participants in research: The task-charging organization shall actively change the participants in research to ensure the implementation of approved objectives, products of the tasks. The change of participants in research must have the consent of the added or replaced persons.

3. Adjustment of the delegations:

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b) In case of adjustment of the destination countries, the number of participants in the delegations must have a written opinion of the Ministry of task-charging;

c) All cases of adjustment of the delegations shall not increase total funding for the approved items of the delegation.

4. Adjustment of the purchase of equipment and machinery: The task-charging organization must have a written report to the Ministry of task-charging for consideration and decision of adjustment for each specific case.

5. Adjustment of non-state budget estimates: The task-charging organization shall actively adjust the expenditure contents and plans, but not reduce total the approved non-state budget.

6. Other adjustment for contents other than those defined in paragraphs 1, 2, 3, 4, 5 of this Article decided by the Minister of task-charging.

Article 19. Competence in ADJUSTMENT DURING PERFORMACE OF national TASKS

1. The task-charging organization shall actively decide to adjust the contents specified in paragraph 1 of Article 14; Article 16; Paragraphs 1, 2 and Point a of Paragraph 3; Paragraph 5 of Article 18 of this Circular.

2. The Minister of task-charging shall consider and decide on the adjustment of the contents other than those under paragraph 1 of this Article.

Article 20. Procedures for adjustment

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a) Application for adjustments shall include: Official Dispatch of the task-charging organization; periodic or extraordinary inspection record (if any); expert’s opinions, meeting minutes of advisory board (if any); written consent of the Agency proposing orders in case of change of name, objectives, products of tasks; other relevant documents;

b) The Minister of task-charging shall decide the plans for adjustments for each particular case;

c) Within 30 days from the date of receipt of a satisfactory application, the Ministry of task-charging must make a written reply to the task-charging organization and clearly state the reasons;

d) The written adjustment shall be in the Form D1-QDDDDC or D2-1-CV-DDVCD, D2-2-CV-DDVKD in the Appendix enclosed herewith this Circular. The written adjustment shall be a part of the signed contract.

2. For contents actively adjusted by the task-charging organization:

a) Application and procedures for adjustment shall comply with the internal regulations of the task-charging organization;

b) In case of disagreement with the change of the head of the task, within 05 working days from receipt of changing documents, the Ministry of task-charging shall make written reply to the task-charging organization, stating clearly the reasons.

Chapter IV

TERMINATION OF CONTRACTS DURING PERFORMANCE OF TASKS

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Termination of contracts during performance of the tasks shall be applied to the cases prescribed in paragraphs 2, 3, 4 and 5 of Article 5 of the contract form enclosed herewith the Minister of Science and Technology’s Circular No. 05/2014 / TT-BKHCN dated April 10, 2014.

Article 22. Procedure and competence in termination of contracts

1. Making application for termination of the contract shall be as follows:

a) The task-charging organization shall make an application for termination of the contract in case of initiative request for termination of the contract;

b) Fund management unit shall make an application for termination of the contract in case there are sufficient grounds specified in Article 21 of this Circular.

2. Application for termination of the contract shall include:

a) An Official Dispatch of explanation and request for termination of the charging organization for the case specified at Point a, Clause 1 of this Article;

b) A proposal of the fund management Unit for cases prescribed at Point b, Clause 1 of this Article;

c) A signed contract between the charging organization and the Ministry of task-charging;

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e) A report on the use, payment and settlement of funds in the form A-3-BCSDKP in the Appendix enclosed herewith this Circular;

g) Other documents (if any)

3. Procedures and competence in contract termination shall be as follows

a) Within 07 working days from the date of receipt of a satisfactory application for termination of the contract, the Minister of task-charging shall consider and notify the temporary suspension of performance of the task;

b) The charging organization shall cease all related activities since the day of the notification of temporary suspension of performing the task, and report detailedly in writing to the Ministry of task-charging on performed contents, use of funds, raw materials, equipment;

c) The charging Ministry shall inspect, assess the application and the scene before the decision to terminate the contract. Where necessary, the charging Ministry shall consult the scientists, management experts. The decision of termination of the contract should specify the funds repaid the state budget, plans for handling of products, property made or purchased;

d) The fund management Unit funding shall terminate contracts with the task-charging organization under current regulations.

Chapter V

RESPONSIBILITIES AND RIGHTS ORGANIZATIONS AND INDIVIDUALS

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1. Responsibility for budget management units:

a) Appoint representatives to be the chief of the teams and take charge to inspect and assess;

b) Receive periodic reports and other documents;

c) Actively formulate plans for cooperation work with the involved functional units during inspection and assessment;

d) record, summarize opinions of the members of the inspection and assessment team, and explanation, petition of the charging organization, the head of the task and participants in research;

e) Complete inspection and assessment records in the Form C-2-BBKTDDG in Appendix enclosed herewith this Circular. Send copies to the charging organization chair, the head of the task and units coordinating in inspection and assessment;

g) Check vouchers requested for settlement, certify the use of funds for performance of tasks in the Form B-2-XNSDKP in the Appendix enclosed herewith this Circular at least 20 days after the end of the inspection and assessment; be responsible for issues related to funding;

h) Take charge and cooperate with relevant agencies to handle issues related to the adjustment of funding, termination of the contract and adjust the contents other than those at Point c, Clause 2 of this Article (if any) ;

i) Report on the inspection and assessment of the tasks under their management to the Minister of task-charging every 06 months;

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2. Responsibilities of task management Unit

a) Appoint representatives to be the deputy chief of the inspection and assessment teams;

b) Inspect and assess the implementation of the content of science and technology under the approved explanation and complete certifying the workload in the Form B-1-XNKLCV in the Appendix enclosed herewith this Circular at least 10 working days after the end of the inspection and assessment;

c) Take charge and cooperate with relevant units to handle issues relating to adjustment of the scientific contents, objectives, products of the tasks (if any);

d) Appoint representatives to participate in the inspection and assessment teams for tasks taken charge by Ministries, branches upon request.

3. Responsibilities of professional management units

a) Participate in the inspection and assessment team;

b) Implement the contents specified in points b, c, d, Clause 2 of this Article in case the task management unit is not the professional management unit;

c) Cooperate with relevant units to handle issues related to adjustment, termination of the contract (if any)

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Appoint representatives to participate in the inspection and assessment team; promptly report and propose the commencement of conclusion of the inspection and assessment team, assess the tasks managed by the Ministry of Science and Technology in the Southern provinces defined by the Minister of Science and Technology.

Article 24. Responsibilities and rights of task-charging Ministry

1. Assign units of fund management, task management and professional management to implement to contents prescribed in paragraphs 1, 2 and 3 of Article 23 of this Circular. The assignment of responsibilities between task management units and fund management unit in inspection, assessment, adjustment and termination of the contract during performance of science and technology tasks at national level shall be decided by the Minister of task-charging.

2. Invite representatives of the Ministry of Science and Technology to participate in inspection and assessment team under their management where necessary.

Article 25. Responsibilities and rights of agency proposing order

1. Appoint representatives to participate and fulfill the responsibilities of members of the inspection team when required.

2. Have written opinions for cases of change of names, objectives, products of the tasks where necessary.

Article 26. Responsibilities and rights of charging organization and head of task

1. Prepare periodic reports in the Form A-1-BCDDK, A-4-BCSPHT, A-5-BCSPUD in the Appendix enclosed herewith this Circular and sent to the task-charging Ministry every 06 months since the contract takes effect.

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3. Report fully, truthfully on the commencement, the difficulties, problems and propose solutions to the task. Explain the requirements of the inspection and assessment team.

4. Be responsible for product quality of the task

5. Send the written adjustment to the task-charging Ministry for the contents allowed to adjust prescribed in Clause 1, Article 19 of this Circular within 05 working days after the decision to adjust.

6. Fulfill fully the requirements in accordance with the conclusions of the inspection team. In case of inconsistency, report to the superior competent agency to solve as prescribed.

7. Comply with the decision of the task-charging Ministry in case of adjustment, termination of the contract.

Article 27. Responsibilities and rights of inspection and assessment teams.

1. Take charge to inspect, assess, give conclusions (the Chief)

2. Take charge to inspect, assess, give conclusions on behalf of the Chief if the Chief is absent (Deputy Chief)

3. Inspect and assess and give comments on inspected and assessed content. (Members)

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5. Transfer the application to the competent authorities if the task has signs of law violations after the end of the inspection and assessment.

6. Take responsibility before the head of the task-charging Ministry and before the law for inspection and assessment and conclusions of their inspection, assessment.

7. Provide information in case of adjustment, termination of the contract (if necessary).

Chapter VI

IMPLEMENTATING PROVISIONS

Article 28. Application of Circular

Ministries, ministerial-level agencies, Governmental agencies, People’s Committee in central-affiliated cities and provinces may apply provisions of this Circular or issue a separate document in accordance with the conditions and characteristics of Ministries, sectors and localities to perform the inspection and assessment during commencement of science and technology tasks at ministry, province level covered by the State budget under their management.

Article 29. Effect and implementation responsibilities

1. This Circular takes effect from May 01, 2015. Provisions on taking charge in inspection in Point dd, Clause 1 and cooperation in inspection in Point dd, Clause 2, Article 13 of Circular No. 09/2014 / TT-BKHCN dated May 27, 2014 of the Ministry of Science and Technology defining management of national science and technology tasks shall expire after the date of this Circular takes effect.

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MINISTER




Nguyen Quan