Circular 12/2013/tt-Bkhcn: Guide Review, Appraisal And Approval Of Projects Of Science And Technology In The Development Of National Products

Original Language Title: Thông tư 12/2013/TT-BKHCN: Hướng dẫn việc xét duyệt, thẩm định và phê duyệt dự án khoa học và công nghệ phát triển sản phẩm quốc gia

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CIRCULAR Guide review, appraisal and approval of projects of science and technology in the development of national products _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ the MINISTER of SCIENCE and TECHNOLOGY pursuant to Decree No. 81/2002/ND-CP dated 17 October 2002 from the Government detailing the implementation of a number of articles of the law on Science and technology;
Pursuant to Decree No. 28/2008/ND-CP dated 14 March 2008 of the Government functions, tasks, powers and organizational structure of the Ministry of science and technology;
Pursuant to decision No. 2458/QD-TTg dated 31 December 2010 of the Prime Minister approving the programme developed national product by 2020;
Pursuant to circular No. 10/2013/TT-BKHCN on 29 March 2013 of the Minister of science and technology on the program management guide product development countries by 2020;
Base circular No. 218/2012/TTLT-BTC-BKHCN on 20th December 2012 contact President's Finance Ministry-the Ministry of science and technology in financial management guide programme national product development to 2020;
Proposal of the Director of the science and technology of the technical-economic sector, Director of Legal Affairs;
The Minister of science and Technology Guide review, appraisal and approval of projects of science and technology in the development of national products.
Chapter I GENERAL PROVISIONS article 1. Scope and objects 1. This circular Guide review, evaluation and approval of the project science and technology product development country (abbreviated as KH project & CN) product development programs in the country by 2020.
2. This circular apply to agencies, organizations and individuals related to the management and implementation of the KH project development programme in INDUSTRIAL & national product (abbreviated as SPQG) by 2020.
Article 2. General principles 1. The coordination of agencies, organizations and individuals involved in the process of building the Organization, review, appraisal and approval of projects under the provisions of the CN, KH & chapter III of circular No. 10/2013/TT-BKHCN on 29 March 2013 of the Minister of science and technology on the guide program manager national product development to 2020 (abbreviated Circular No. 10/2013/TT-BKHCN).
2. The project review KH KH & tasks & CN and CN (task) of the KH project & CN do SPQG Administration (ministries, the provinces and cities under central) lead carried through by the review Council heads the governing body SPQG established.
3. The evaluation of projects and tasks in INDUSTRIAL & KH project KH & CN by Ministry of science and technology chaired made through authority by the Minister of science and technology established.
4. The principle of work of the Council and Council review appraisal: a) the Council of work according to democratic principles, to ensure objectivity and collective responsibility of the General conclusions of the Council.
b) Board members bear personal responsibility about objectivity, accuracy with regard to the comments received, reviews; the members and the Administrative Secretary of the Board, participants are responsible for maintaining the confidentiality of the information involved in the process, review the appraisal.
c) official session the Council considered to be present at least 2/3 of members of the Board, which must be the Chair or the Vice Chair and the Commissioners review. The formal sessions of the authority must present at least 2/3 of members of the Board, which must have a Chairman and Vice Chairman. Comments of members absent only the reference value.
d) Executive Chairman of the session of the Council, in the case of absence of the President, the Vice President is responsible for Executive session of the Board.
5. where necessary, heads the governing body SPQG has the right to obtain the opinion of the expert, independent advice organisations (hereinafter referred to as independent consultants) before or after the meeting of the Council.
Chapter II the KH PROJECT REVIEW & CN article 3. Profile and preliminary project list KH & CN 1. The implementation of registration and building demonstration project KH & follow SUN prescribed in clause 2 article 7 of circular No. 10/2013/TT-BKHCN.
2. Project profile KH & CN consists of the original records and 01-01 pdf files contain the following documents: a) 1 registration form the registered organization's presiding;
b) 1 a general presentation of the project the main KH & CN form B5-DAKHCN-SPQG defined in annex 2 circular No. 10/2013/TT-BKHCN;
c) 01 copy decided to set up registration, KH & CN, sign production, business activities (for the business) of the registered organization chaired;
d) 1 a summary of the main activities of KH trading, manufacturing INDUSTRIAL & of registered organization chaired;
DD) 1 a curriculum vitae summary administration of individual registration project KH & CN; e) 01 copy of financial statements 3 years of registered organizations host KH & CN.
3. preliminary list of projects KH & CN: a) for national product because the ministries manage: SPQG management unit, in collaboration with the unit functions of governing body SPQG, Ministry of science and technology review, choose the profile that meets the requirements specified in decision No. 2458/QD-TTg dated 31 December 2010 of the Prime approving the programme developed national product by 2020 (decision No. 2458/QD-TTg), circular No. 10/2013/TT-BKHCN and other related documents to the preliminary list building the KH project & CN meet the requirements according to the prescribed form (A1-DMSB-DAKHCN-SPQG in annex 1) the heads of SPQG Governing Body decided to put off the review Council.
b) for national products by the Ministry of science and technology management: the Chairman of the program Committee Chair, in coordination with the functional unit of the Ministry of science and technology review, choose the profile that meets the requirements specified in decision No. 2458/QĐ-TTg, circular No. 10/2013/TT-BKHCN and other related documents to build the preliminary list KH project & CN meet the requirements according to the prescribed form (A1-DMSB-DAKHCN-SPQG in annex 1), the Minister of science and technology decided to take out the browser.
For the records do not meet the prescribed requirements, the Chairman of the program Committee or SPQG management unit is responsible for notifying the registered organization chaired know.
Article 4. Project review KH & CN 1. Council organization: a) project review board KH & CN do the heads SPQG governing body established on the basis of the proposal of SPQG management unit. The Council is responsible for advising the heads SPQG governing body reviews project profile KH & CN.
b) component the Council has from 11 to 15 members including the Chairman, Vice-Chairman and members is the scientific experts, managers, economic experts, business representatives, in which the number of administration officials, economic experts, business representatives constitute 40-50%. Individuals expected to do project KH & missions, Chairman of CN in the KH project is not CN & Board members.
c Administrative Secretary), the Council has from 2 to 3 people in SPQG management unit and the functional unit in the body SPQG.
d) SPQG management unit is responsible for the Organization of the session of the Council.
2. Delegates were invited to attend meetings of the Council are: the Chairman of the program Committee representative; representing the functional unit of the Ministry of science and technology, the Ministry of finance; representing the functional unit in the body SPQG.
3. Materials provided to the members of the Board include: 1 project profile KH copy & CN prescribed in clause 2 of article 3; Preliminary list of the KH project & CN (A1-DMSB-DAKHCN-SPQG in annex 1); 1 Council decision; 1 a copy of the document, the relevant legal texts; Comment votes, reviews the KH project profile & CN, Votes, reviews the tasks according to the prescribed form CN & KH (A2-PĐG-TMDAKHCN-SPQG, PĐG-NVDAKHCN-SPQG-A3 in Appendix 1). The documentation provided to the participants of the meeting include: 1 project profile KH copy & CN prescribed in clause 2 of article 3; Preliminary list of the KH project & CN (A1-DMSB-DAKHCN-SPQG in annex 1).
4. where necessary, the management unit SPQG SPQG governing body recommendations invite independent consultant reviews the KH project profile & CN before or after the meeting of the Council.
Article 5. The order and content of the meeting of the Council 1. Preparatory session: a) The members of the Board and delegates receive the documentation specified in paragraph 3 of this article;
b) SPQG management unit representatives claimed the reason for the meeting, read decided to set up the Council, introduced the members of the Board and delegates; SPQG governing body representative statements of opinion, stated requirements for the Board (if any);
c) Executive Chairman of the meeting, the Council President for January election of members of the Board of the Scientific Secretary;
d) registered individual owner or representative organizations presenting overall project presentation KH & CN; DD) preliminary discussions Council, outlined the questions suggested clarification of the information, the content of the project General presentation KH & CN; e) election Council members 2nd do experts criticizing the KH project profile & CN; g) unified Council session meeting schedule the next.
2. The session determined the KH project portfolio of CN and & mission project in KH & CN: a) the expert review, members of the Board present reviews, reviews of the record, the KH project General presentation & CN and the list of tasks in the KH project & CN; Secretary of the Council read the comments received , reviews of the absent members (if any);
b) discussion about suitability analysis, the name, objective, content mostly, expected products, feasibility, effectiveness of the KH project & CN; for comments about the capacity registered organizations, individuals register project KH & CN; c) discussion review Council analysis of the necessity, suitability of name, objectives, contents, products primarily expected of each task in the project KH & CN; d) consultation Council of delegates attending the meeting;
DD) Council voted reviews project profile KH & CN, reviews the list of tasks in the KH project & CN; e) Council elections Board votes to include 12 members including the Chairperson and two Commissioners. Results of the votes are aggregated according to the prescribed form (A4-BBKP-TMDAKHCN-SPQG, A5-BBKP-NVDAKHCN-SPQG in annex 1);

g) the Council announced the results tally reviews. KH project CN adopted & must be at least 2/3 of the total number of Board members present vote "meets requirements". The task of the KH & Council recommended SUN put on the list must be at least 2/3 of the Board members present voted to "recommend". Comment votes of absent members only have reference value;
h) where KH project CN adopted &: Council concluded the profile content, captions should edit, Supplement to perfection; The Board assigned 10 deep understanding of professional members do review Commissioner for each task in the project. The CN & KH Where necessary, management unit SPQG SPQG governing body recommendations invite more experts independent review before or after the meeting of the Council. The Commissioner, expert review is responsible for building the content for each task under model provisions (A6-PĐH-PHONE-SPQG, PĐH-DASXTN-SPQG-A7 in annex 1) to take out the discussion in the next session. Order content for the subject's identifying name, target oriented, expected products and duration (start/end); for the test project (SXTN project) is to define the name, objectives, main products, the technical-economic indicators required and duration (start/end);
I) where KH project not passed then the CN & Council unity petition one of three treatment: delivery organizations registered host prepare records; other organizations build traffic records; the proposal does not make. The Chairman of the program Committee or SPQG management unit is responsible for notification in writing to the registered individuals and organizations host know.
3. content building session for the tasks in the project: SUN a) & KH Commissioner, expert review presented the draft content for the tasks assigned;
b) discussion boards, feedback, improve the content order and voting through each task according to the principle of having at least 1/2 the total number of Board members present voted through;
c) Scientific Secretary, created a work of Council according to the prescribed form (BBHĐ-DAKHCN-SPQG-A8 in annex 1) attached to the project's task list KH & CN was the Council through the prescribed form (A9-DMNV-DAKHCN-SPQG in annex 1);
d) unified Council recommendations on direct delivery or take out a selection of individual organization chaired each project task KH & in CN stated in point c). Where necessary, the Council invited the international expert recommendations, the expert was the overseas Vietnam join the research task solving. For the tasks that the Council has not yet determined the intended delivery organization directly presided over or found there many institutions capable of implementing the recommendations apply selection form.
Article 6. Approved project list KH & and tasks in INDUSTRIAL project KH & CN 1. On the basis of the results of work of the Council project review KH & CN and research reports by independent consultants (if there), SPQG management unit, in collaboration with the unit functioning of the governing body of your SPQG project list KH & and tasks in INDUSTRIAL projects were INDUSTRIAL Council & KH suggested implementation.
2. Heads the Governing Body decision SPQG approved the KH project portfolios and the Mission in the SUN & project KH & CN after the opinion of the Ministry of science and technology.
3. Pursuant to the decision of approval, SPQG management unit to notify the Organization of the project and guide the KH & CN build register records the KH project tasks & CN (subject, SXTN project) to participate in a selection or direct delivery according to the regulations of the Ministry of science and technology guidance on recruitment direct communication, organization and individual host performs scientific research and technological development, trial production project.
Article 7. The Mission of the project review KH & CN 1. Council organization: a) the Council review of demonstration projects in the mission by CN heads & KH governing body SPQG established on the basis of the proposal of SPQG management unit. The Council is responsible for advising the head of governing body SPQG reviews the registration profile chaired the Mission of the Organization and the individuals directly or join selection. An Assembly can have some missions review the content expert in the same field of specialization;
b) the Council has 10 or 11 members, including the Chairman, Vice-Chairman and the Commissioner. The members of the Council's scientific experts, have appropriate qualifications, economic experts, financial professionals and managers with experience mission-related practices in the KH project & CN. Officers in the organization chaired the task can be Board members, but not more than 1 person. Project KH & is a member of the mandatory INDUSTRIAL Council. Individuals registered as Chairman of the mission, the officers involved were not performing their duties as members of the Board;
c Administrative Secretary), the Council has from 2 to 3 people in SPQG management unit and the functional unit of the SPQG governing body;
d) SPQG management unit is responsible for the Organization of the session of the Council.
2. Delegates to the meeting of the Council include: the Chairman of the program Committee representative; representing the functional unit of the Ministry of science and technology; SPQG management unit representatives; represents the units functions of governing body SPQG.
3. meeting documents, sequence, contents and working methods of the Council apply according to the regulations of the Ministry of science and technology guidance on recruitment, direct delivery organizations and individuals host performs scientific research and technological development, trial production project.
4. where necessary, the management unit SPQG SPQG governing body recommendations invited independent consultants evaluate demonstration projects in mission KH & CN before or after the meeting of the Council.
5. The head of the governing body approved SPQG hosted and successful individual made in KH project tasks & CN on the basis of the results of work of the Council and the opinion of the independent consultants (if there).
Chapter III PROJECT EVALUATION KH & CN article 8. Evaluation profile 1. Evaluation profile the Mission of the project consists of the copies SUN & KH: a) demonstration mission complete attached: a explanation about receiving comments, the conclusion of the review Council; the category lists the text regulations, norms and the relevant text is used to build the Mission's budget estimates; prices of raw materials, equipment, technology, copyright, contract specialists and other relevant quotes;
b) Board meeting minutes review of missions;
c) plans to mobilize financial resources duties meet the requirements prescribed in clause 2 article 4 of circular No. 218/2012/TTLT-BTC-BKHCN on 20th December 2012 contact President's Finance Ministry-the Ministry of science and technology in financial management guide programme national product development to 2020 (circular No. 218/ 2012/TTLT-BTC-BKHCN);
d) text comments of independent consultants (if there).
2. project appraisal records KH & CN includes the following copy: a) General presentation of the project CN had perfected on KH & facility receiving comments, the conclusion of the project review board KH & CN; b) Board meeting minutes project review KH & CN; c) decided to approve the list of projects and INDUSTRIAL tasks & CUST in the KH project & CN of SPQG governing body;
d) decided to approve the successful list of tasks in the KH project governing body's Sun & SPQG;
Board meeting minutes) the evaluation of the tasks in the project the KH & CN; e) plans to mobilize the financial resources of the project KH & CN; g) text comments of independent consultants (if there).
Article 9. Project appraisal Council KH & CN 1. Project appraisal Council KH & CN by the Minister of science and technology founded on the basis of proposals by the Chairman of the program Committee. The Council is responsible for appraising records, content, cost of the tasks of the project CN and KH & project General KH & CN to advise the Minister of science and technology.
2. composition the Board consists of 9 members: a) the President is the Chairman of the program Committee members, is responsible for the overall operating.
b) Two Vice Presidents are: 1 leadership Service; 1 leadership in financial planning or leadership Office of the national program of science and technology.
c) The Commissioner is: 1 the representative governing body SPQG; 1 economic, financial experts; 1 expert review board representative presentation task (when evaluating the subject project, SXTN) or the representative of the Council project review KH & CN (when KH project appraisal & CN); 1 expert in financial planning, the Ministry of science and technology; 7 expert Service, the Ministry of science and technology; 1 officer in the Office of the national programme on Science and technology Secretariat and Secretary-General of the Council.
3. where necessary for the subject, the SXTN project has complex contents, peculiarities of technology, copyright technology or other content related to foreign experts, the Board Chairman of the proposed programme, the recommendations of the Ministry of science and technology invited independent consultants. The independent counsel made according to the regulations of the Ministry of science and technology.
4. the Chairman of the program Committee is responsible for organizing the sessions of the Council.
Article 10. Content appraisal in project task profile KH & CN 1. The evaluation of the profile, content and cost of the project CN made in KH & current regulations of the Ministry of science and technology.
2. content and costs pursuant to circular No. 218/2012/TTLT-BTC-BKHCN.
Article 11. Content appraisal project profile KH & CN 1. Evaluation of the KH project profile of your ad: & sex full, valid and perfected by the prescribed records.

2. Evaluation of the project General presentation KH & CN: reviewing the level of completeness of the content of the presentation, the list of eligible missions implemented in years of planning, the list of tasks scheduled to perform next, the total cost of implementation, the total funding support from the State budget have been appraised. Make sure it meets the requirements specified in decision 2415/QĐ-TTg, circular No. 10/TT-BKHCN 2013, circular No. 218/2012/TTLT-BTC-BKHCN.
3. Evaluation methods of mobilizing the financial resources of the project the KH of your ad: & legally, feasible financial sources.
Article 12. The Organization of the meeting of Council of appraisal 1. SPQG management unit is responsible for checking the adequacy, the profile of the evaluation provided for in article 8, finalising the number of records sent to the Chairman of the program Committee. The Office of the national program of science and technology have the responsibility to provide the records appraisal for the assessment Board members a minimum of 5 working days prior to the evaluation.
2. Members of the Board are responsible for evaluation a review of records by the votes verified according to form prescribed (B1-PTĐ-PHONE-SPQG, PTĐ-DASXTN-SPQG-B2, B3-PTĐ-DAKHCN-SPQG in annex 2) before the session.
3. The order and content of the evaluation meeting, the Executive Chairman of the session of the Council the following sequence: a) the Chairman of the KH project tasks & CN or project KH & CN justification about the currency board's comments in the review is the perfect profile , presentation;
b) members are representatives of the Council of the review of reviews, reviews of the level of perfection of the demonstration project in mission KH & General presentation or INDUSTRIAL project KH & comments by CN, the conclusions of the Council;
c) Secretary of the Council read the opinion of expert independent evaluation (if available);
d) Exchange Council, discusses the issues related to the procedure, the profile, the scientific content and the cost of the Mission in the KH project General presentation or CN & project KH & CN; DD) Chairman of the KH project tasks & CN or project KH & answered the questions of the CN Board of evaluators;
e) Council meeting in private to discuss and determine the contents, the funds needed to carry out the task in the project or project KH KH & CN CN &; g) Secretaries are responsible for recording opinions of the Board members and delegates; record appraised according to the prescribed form (B4-BBTĐ-Tel-SPQG, B5-BBTĐ-DASXTN-SPQG, BBTĐ-DAKHCN-SPQG-B6 in Appendix 2).
4. In the process of assessing if there are problems and obstacles inconsistency was the President of the Council of the Minister of science and technology review, decision.
Chapter IV the KH PROJECT APPROVAL & CN article 13. The profile for approval 1. The Chairman of the program Committee Chair, in coordination with the management unit SPQG, KH project organization and prepare the CN & 01 record specified in item 2 of this article and the process of approval according to the prescribed form (C1-TTr-DAKHCN-SPQG in annex 3) attached to the draft decision of approval according to the model regulations (Schedule C2-QD-DAKHCN-SPQG in annex 3), the Minister of science and Technology review, approval.
2. the record of approval include: a) 1 a general presentation of the project the main KH & CN has improved after appraising;
b) 1 main decision approving a project list KH & and tasks in INDUSTRIAL project KH & CN of SPQG governing body;
c) 1 a decision to approve the main category and the successful organization of the individual presiding over the implementation of the tasks of the project CN, KH KH & & CN of SPQG governing body;
d) 01 a Administration Board decided to establish the KH project appraisal of Ministry of science and INDUSTRIAL & technology;
DD) 01 copy of Board meeting minutes project appraisal KH & CN; e) 01 copy methods of mobilizing the financial resources of the project CN Board were & KH appraisal through;
g) 1 a's main governing body SPQG (case no SPQG governing body is the Ministry of science and technology) project approval recommendation KH & CN; h) text comments of independent consultants (if there).
Article 14. Project approval KH & CN 1. The Minister of science and technology review, approval of the KH project presentation enclosed SUN & generalized KH project specified form CN & (C2-QD-DAKHCN-SPQG, TMTQ-C3-DAKHCN-SPQG in annex 3).
2. additional approval for the Mission in the KH project & unincorporated INDUSTRIAL review, evaluation and approval of expense: a) on the progress made, the Governing Body held SPQG review of duties as defined in article 6; The Ministry of science and technology evaluation organizations the duty under the provisions of article 7, article 8, article 9 of this circular.
b) approval process additional records include: 1 a copy of the text of the decision approving the project process sheet of KH & CN; the Chairman of the Board of the program; draft decision on the additional task approval; 1 the original decision approving the category organization and successful individuals chaired the task of governing body SPQG; 1 a copy of the decision to establish the Council meeting minutes and evaluation missions; 1 the original dispatch of the governing body SPQG (case no SPQG governing body is the Ministry of science and technology) to recommend approval of the mission.
c) based on the profile approval process, the Minister of science and technology approved additional tasks to perform.
Chapter V IMPLEMENTATION and ENFORCEMENT of the TERMS of article 15. Implementation 1. Agencies, organizations, individuals related to the management and execution of the project CN based on KH & guide of this circular to implementation.
2. the Chairman of the program Committee, SPQG management unit is responsible for managing the entire original record and the main text in the process of reviewing, appraising and approving the KH project management jurisdiction CN &.
Article 16. Terms of implementation 1. This circular has the effect after 45 days from the date of signing.
2. During the implementation process if there are obstacles suggest that the agencies, organizations, personal reflections on the Ministry of science and technology to study the amended and supplemented accordingly.