ANNEXES of Project Implementation Manual
Fostering Innovation through Research, Science and Technology - FIRST ANNEXES of Project Implementation Manual (issued under Decision No. 995/QĐ-BKHCH dated May 9, 2014 of the Minister of Science and Technology) FIRST Project Central Management Unit – May, 2014 ANNEXES Annex 3-1: Organization Chart of Ministry of Science and Technology Annex 3-2: Representatives of MOST in Other Countries City Country Chief of Representative Office Telephone Email Bangkok Thailand Lê Duy Diễn 0066915360573 [email protected] Tel Aviv Israel Chu Thanh Hải 00972544628966 [email protected] New Dehli India Phạm Văn Trung 00919871516868 [email protected] Guangzhou China Vũ Quang Hiếu 008613070211678 [email protected] Kunming China Phạm Minh Tiến 008618988412468 [email protected] Beijing China Hoàng Duy Cường 0018618381469 [email protected] Seoul South Korea Nguyễn Đình Tâm 008201047261964 [email protected] Tokyo Japan Vũ Ngọc Minh 008043365256 [email protected] Osaka Japan Vũ Việt Dũng 00818042492907 [email protected] Paris France Dương Đức Dũng 0033681588685 [email protected] Taipei Taiwan Đào Văn Thông 00886225036840 [email protected] Canberra Australia Vũ Văn Tới 0061423641975 [email protected] California USA Đỗ Hồng Nam 004158295369 [email protected] New York USA Nguyễn Hữu Hưng 009173990940 [email protected] Washington USA Trần Ngọc Ca 0012022563219 [email protected] Moscow Russia Đinh Quang Tuyến 0079629967932 [email protected] Berlin Germany Bạch Ngọc Dậu 004915203434168 [email protected] Annex 3-3: Subsidiary Project Management Unit for Sub-component 1.b For the implementation of the Sub-component 1.b, CPMU will work in cooperation with the Subsidiary Project Management Unit (SPMU) established at NASATI, who takes the leading role in the Sub-component. SPMU-NASATI will help improve implementation efficiency and ensure that expected outcomes and outputs will be achieved. In concrete, SPMU will be responsible for managing and implementing activities of the Sub-component 1.b, including 04 work packages: 1) Strengthen and improve STI statistics system in Vietnam based on international standards; 2) Develop monitoring and evaluation framework for S&T organization in Vietnam; 3) Develop technology map/roadmap for selected sector; and 4) Develop national STI databank. In order to implement above mentioned work packages, a variety of activities will be carried out, including workshops, trainings, events, study tours, etc. International and national consultants on STI statistics, M&E and technology mapping will be hired to provide professional expertise in respective fields. SPMU structure is described as follow: Director Deputy Director Coordinator Finance - Admin Procurement STI Statistics M&E Framework Technology Mapping STI Databases Personnels - Director: Dr. Le Xuan Dinh (NASATI) - Deputy Director: Mr. Dao Manh Thang (NASATI) - Coordinator: 01 National Consultant (ICS) - Finance - Admin. Dept.: 01 National consultant (ICS) + Chief accountant (NASATI) + 01 Admin/Translator/Cashier (ICS) - Procurement Dept.: 01 National consultant (ICS) - STI Statistics Dept.: 01 Program officer (ICS) + 01 NASATI staff - M&E Framework Dept.: 01 VISTEC staff - Technology Mapping Dept.: 01 SATI staff - STI Databases Dept.: 01 NASATI staff Besides, some staffs of NASATI may be mobilized to work part-time for the SPMU as required. During the implementation of the Sub-component, the SPMU may organize consultation meeting with leaders of relevant agencies namely NASATI, SATI, VISTEC, etc. to make sure that the Sub-component's activities are on track to achieved predefined goals and objectives as well as to advise on how to coordinate activities of the Sub-component with other components and related agencies for achieving overall goals of the FIRST project ultimately. The meeting will be organized annually or as needed. Organigram of SPMU arrangement The division of responsibilities between SPMU and CPMU will take the following form: (a) procurement responsibility lies with SPMUs, but contracts for more than a specified amount will be subject to prior review by the CPMU; and (b) internal audit responsibility will be retained by the CPMU. Annex 3-4: The key officers of CPMU No Name Job title Contact 1 Trần Quốc Thắng Project Director 091 359 9639/ [email protected] 2 Hoàng Minh Thức * Chief of Department of Planning and General Affairs – MOST; Project Vice Director 090 343 0336/ [email protected] 3 (Name to be identified by May 18, 2014) Project Vice Director 4 Nguyễn Ngọc Song * Chief of Department of Finance- MOST; Project Chief Accountant 090 326 2839/ [email protected] 5 Phạm Thị Thúy Diệp Project Coordinator 097 905 6688/ [email protected] 6 Phạm Văn Diễn * Head of General Department, NATEC – MOST 04. 39440144/ [email protected] 7 Trần Xuân Hồng * Director of National Center for Technological Progress 04.38251331 [email protected] 8 Đinh Việt Bách * Manager of Scientific Organization and Personnel Division, Department of Organization and Personnel Division – MOST 0168 955 5686/ [email protected] 9 Nguyễn Đức Hoàng * Manager of International Cooperation Division, SATI – MOST 098 208 6099/ [email protected] 10 Triệu Bảo Hoa * Deputy Manager of Asia and Africa Division, DIC – MOST 098 870 8518/ [email protected] 11 Nghiêm Quốc Đạt * Officer, DIC – MOST 098 358 0066/ [email protected] 12 Vũ Văn Sơn Procurement specialist [email protected] 13 Phan Thị Thu Hà Accounting and financial specialist 091 350 2356/ [email protected] 14 Lê Đình Quang Consultant for CoreTechLab component 093 894 6229/ [email protected] 15 Trần Thị Thanh Hà Officers for information, telecommunications 090 421 3020/ [email protected] 16 Lê Hoài Phương * Staff of Finance Department - MOST 097 657 4488/ [email protected] 17 18 Bùi Quốc Anh * Nguyễn T. Thu Phương Staff of Dept. of International Cooperation – MOST 098 610 9148/ Officers for M&E [email protected] [email protected] 19 Đặng Huyền Ngọc Procurement Assistant 093 402 0289 [email protected] 20 Bùi Tuấn Anh Component Consultant 090 220 2626 [email protected] *: Representatives from various MOST line departments supporting Project implementation Annex 3-5: TOR of key consultant positions Project Coordinator Fostering Innovation through Research, Science and Technology (FIRST) Project I. Objectives of the Services The Project Coordinator is responsible for assisting the Project Director in developing implementation plans for all related activities and tasks under FIRST project, on that basis, supervising, expediting, and coordinating activities performed by project consultants and staff, as well as working in collaboration with involved agencies (World Bank, involved ministries and sectors, departments and agencies under the Ministry of Science and Technology…) to ensure the accomplishment of project development objectives. II. Scope of the Services 1. Working in collaboration with relevant MOST Departments and component consultants to develop project implementation plan (by component or for the overall project), ensuring its relevance to project progress and objectives. 2. Based on the developed implementation plan, supervising and expediting the actual implementation of project assignments and tasks. 3. Coordinating relevant project staff and consultants to implement communication and knowledge management plans. 4. Working with M&E consultant to compile and prepare project reports on implementation status (by component or for the overall project). 5. Working in collaboration with the Department of Finance, Department of Procurement to monitor contract implementation of national and international consultants. 6. Supervising and expediting the implementation of activities by involved project staff and experts. 7. Planning schedules and agenda for meetings between the Project Director with the Donor (World Bank) and participating Ministries, sectors and beneficiaries (ministries, research institutes, universities, firms). 8. Expediting and collaborating with project staff and experts to prepare and organize workshops, training courses, and events under the Project. 9. Any other duties as may be assigned by the Project Director. III. Experience and qualification requirements - Good health. - University degree in science/technical fields or economics. - At least 10 years of work experience. - Work experience with projects financed by World Bank or other international donors. - Experience in management and coordinating positions, writing reports and scientific documents (preferably experience in coordination on science and technology projects). - Fluent written and spoken English. - Good computer skills. IV. Deliverables and reporting duties Delivering reports as assigned under the Project Coordinator's Services or other reports as may be requested by the project director. V. VI. Inputs - Work full time at the project office (holidays are as prescribed by the Labour Law). - Full access to office equipment and stationery. - Work in collaboration with project staff and under direction of the project director, chief accountant and deputy directors. Terms of payment Payment is made on the basis of time-based contract. The expected work duration is not to exceed 60 months. Details on payment will be agreed upon by the two parties at contract negotiations and signing. Procurement Consultant – FIRST Project I. Objectives of the Services The Procurement Consultant is responsible for assisting the Project Director in coordinating and implementing all procurement work of the project (procuring goods and works, and selection of consultants) ensuring that they comply with World Bank's procurement procedures and regulations. II. Scope of the Services 1. Assisting the Project Director in developing, compiling and updating the Procurement Plan for the overall project (including both CPMU and beneficiaries) for submission to World Bank and MOST for review and approval. 2. Assist the PMUs to prepare procurement time schedule for implementation of the procurement plan to reflect the major stages in procurement process. 3. Assisting the project in procuring all procurement packages (goods, services, consultants) under the project as approved by MOST and WB in the Project Procurement Plan in compliance with WB's guidelines and the Vietnamese laws on procurement, and provisions in the Project Implementation Manual (PIM). 4. Assist PMUs in Procurement of goods/works and non-consulting services: a. Assist the agency in preparing the technical specifications of goods/works and cost estimate; b. Select applicable procurement methods in accordance with the legal documents of the Program; c. Assist in advertising of the Invitation for Bids; d. Identify the sources of supply, evaluate the eligibility and qualifications in order to prepare the list of suppliers/contractors for contracts procured using shopping in consultation with the agency; e. Prepare bidding documents/request for quotations using appropriate Bank’s Standard and Sample documents (SBD, NCB sample BD, sample RFQ), bids/quotations evaluation reports, draft contract including issues of performance guarantee, advance payment guarantee, insurance, liquidated damages, contract execution schedule, payments, delays, compensation events, contract extension, quality control, disputes, claims parties' obligations and so on in accordance with the sample documents applied for this Project; f. Assist PMUs in administering contract; 5. Assist PMU in Procurement of consulting services: a. Prepare/comment Terms of Reference (TORs), cost estimate, short-list of consultants, RFPs using appropriate Bank SRFP and sample RFP, draft contracts, etc. b. Prepare evaluation reports and contract negotiation with selected consultants; c. Monitor and supervise the contract implementation, including issues off claims and disputes, compensation events and so on. 6. Monitor, follow up and ensure timely responses to procurement comments provided by the Bank to the procurement transaction submitted by PMUs; 7. Assist the PMUs in early noticing the procurement implementation delay, identifying causes of delay and proposing measures to resolve the delay; 8. Supporting project beneficiaries (government research institutes (GRIs), NASATI, firms) in implementing procurement activities in accordance with the procedures and regulations of World Bank, Vietnamese Government and provisions in PIM. 9. Supporting and providing early warning for CPMU upon identifying indicators of fraud, collusion and misconduct during the process of procurement/selection; 10. Providing guidance in handling bidders’/consultants’ complaints in accordance with Bank Procurement/Consultants Guidelines and the Government’s Laws; 11. Assisting PMU in establishing bid evaluation criteria and methodologies in accordance with the Bank's guidelines on bid evaluation. 12. Assisting in filing and storage of procurement documents of the project in accordance with regulations of WB and Vietnamese Government for ensuring adequate support for the convenience of procurement post-review by World Bank or review by MOST or competent authority. 13. Delivery of reports on procurement implementation status in accordance with the guidelines and regulations of WB and Vietnamese Government. 14. Assisting in monitoring and supervising progress of procurement work and contract implementation at project beneficiaries, such as: procurement progress of GRIs, New Enterprises, Consortia, NASATI. 15. Handle procurement related exchanges with the World Bank and the interested bidders/consultants. 16. Maintain and update the procurement database, and working with other PMUs colleagues in monitoring the implementation of contracts; 17. Assist PMUs in any procurement audit, Bank procurement post review including making available all project related document and facilitating the process as may be required; 18. Participating in training courses on procurement capacity building organized for participating beneficiaries. 19. Other duties as may be assigned by the Project Director. III. IV. Experience and qualification requirements - Good health - University degree in science/technical fields or economics. - At least 10 years of work experience in procurement. - Work experience in procurement with at least one project financed by World Bank (experience in working on science, technology and innovation projects is an asset). - Fluent written and spoken English. - Good computer skills. - High ethical standard. Deliverables and reporting duties Delivery of reports as assigned under the Procurement Consultant's Services or other reports as may be requested by the Project Director. V. VI. Inputs - Work full time at the project office (holidays are as prescribed by the Labour Law) - Full access to office equipment and stationery - Work in collaboration with project staff and under direction of the project director, chief accountant and deputy directors. Terms of payment Payment is to be made on the basis of time-based contract. The expected work duration is not to exceed 60 months. Details on payment will be agreed upon by the two parties at contract negotiations and signing. General Accounting and Financial Consultant – FIRST Project I. Objectives of the Services - The General Accounting and Financial Accountant is responsible for assisting the Project Director and Chief Accountant in coordinating, managing and monitoring activities regarding accounting, disbursement, and financial management under the project in compliance with the regulations of World Bank and the Ministry of Finance (MOF). - Ensuring the filing and storage system of accounting books, records and reports in line with the regulations of World Bank, Vietnamese Government and MOF. II. - Scope of the Services Act as the Co-ordinator of Financial Management for the project. o Co-ordinate of the financial management and accounting works of the project o Review the expenditure claims/ vouchers o Review the FMM and other FM related documentation to ensure those are timely updated o Participate in the assessment of the proposal submitted for grants o Co- ordinate the monitoring activities of the review/ inspect of the beneficiaries of grants. - Responsible for implementing and coordinating general activities relating to accounting and financial management of the accounting section. - Compiling and monitoring preparation of financial plans, preparing monthly and quarterly disbursement plans for the loan proceeds and counterpart funds to submit to MOST/Project Director for review and approval. - Establishing the system of accounting books and required accounts for ensuring adequate recording of accounting in accordance with regulations of the Vietnamese Government, Ministry of Finance and World Bank. - Compiling and completing financial reports for the overall project in accordance with regulations of the Ministry of Finance and World Bank. - Ensuring the filing and storage of accounting records in accordance with existing regulations. - Monitoring funds to make sure the project expenditures are in line with the intended purposes and funding allocation; - Monitoring and supporting in accounting and disbursement work at project beneficiaries (government research institutes (GRIs), universities, firms…) in accordance with the financial management and disbursement requirements specified in the Project Implementation Manual (PIM). - Participating in training courses organized for project beneficiaries to support implementation of accounting and disbursement in line with guidelines under PIM. - Making payment for transactions upon approval from competent authority; directly involved in accounting and recording of expenditures and disbursements; preparing periodic financial and accounting reports… in accordance with regulations of World Bank and Vietnamese Government. - Monitoring project expenditures and ensuring receipts and documents for payment complying with regulations of World Bank, Vietnamese Government and Ministry of Finance. - Supporting independent audits and internal audits, making sure that the identified accounting errors/mistakes are appropriately rectified; - Performing inventory and evaluation of project assets, preparing plans for returning the assets after project closure; - Organizing and maintaining a financial recording system for ease of access by CPMU and stakeholders; - Other tasks and duties as may be assigned by the Project Director. III. IV. Experience and qualification requirements - University degree in economics/finance or accounting/audit. - At least 8 years of experience in audit, accounting and finance (chief accountant certificate is an asset) - Work experience in accounting or audit with projects funded by World Bank, ADB or international audit firms (preferably work experience with WB funded projects). - Good computer skills (Microsoft Word, PowerPoint, Excel, Internet); - Fluent written and spoken English. Deliverables and reporting duties Fulfilling the tasks and delivering reports as assigned under the Consultant's Services or other reports as may be requested by the Project Director. V. VI. Inputs - Work full time at the project office (holidays are as prescribed by the Labour Law) - Full access to office equipment and stationery. - Work in collaboration with project staff and under direction of the project director, chief accountant and deputy director. Terms of payment Payment is to be made on the basis of time-based contract. The term of contract is two years renewable depending on performance. Details on payment will be agreed upon by the two parties at contract negotiations and signing. Annex 5-1: RFP of Foreign Talent Grants THE MINISTRY OF SCIENCE AND TECHNOLOGY PROJECT MANAGEMENT UNIT - "FOSTERING INNOVATION THROUGH SCIENCE, RESEARCH AND TECHNOLOGY" PROJECT ------------------------------------ REQUEST FOR PROPOSALS Instructions, Templates and Forms for Preparing Proposals Foreign Talents Science, Technology and Innovation Grants "Fostering Innovation through Research, Science and Technology (FIRST)" Project (Credit No.5257-VN funded by World Bank) Request for Proposals Instructions For preparation of Foreign Talents STI Proposals Organizations and individuals interested in submission of Foreign Talents STI Proposals under FIRST project need to follow the instructions and requirements provided in the following parts. Part 1. Description of Foreign Talents STI Grants of FIRST project 1. Background The Government of Vietnam (GOV) received funding for the "Fostering Innovation through Research, Science and Technology" (FIRST) project from World Bank under the Financing Agreement signed on July 25, 2013 (Credit No.5257-VN). The Ministry of Science and Technology (MOST) is authorized by GOV to be the line ministry for implementing and providing guidance for the project towards the specific objectives of supporting science and technology (S&T) development and fostering innovation via: (i) designing and piloting new policies to improve the national policy framework for S&T; (ii) capacity building for Government Research Institutes (GRIs) towards further linkages with enterprises and market demands; (iii) promoting innovation in enterprises, and encouraging the development of S&T enterprises. The total project cost financed by WB is USD 100 million during the implementation period commencing October 22, 2013 through June 30, 2019. MOST has established a Project Management Unit (PMU) - FIRST for coordinating the overall project and implementing its activities. 2. Content and requirements of Foreign Talents STI Grants The Foreign Talents STI Grants under component 1.a of FIRST project seeks to provide support in research on, and developing and piloting the implementation of policies for attracting talented experts residing abroad, including Vietnamese overseas to work in Vietnam. Through these Grants, the project aims at promoting the engagement of foreign talents, especially overseas Vietnamese to provide support for and collaborate with local scientific and research institutions in Vietnam to implement joint research projects. 2.1. Eligible applicants for submitting the Foreign Talents STI Proposals Eligible beneficiaries of the Foreign Talents STI Grants are: research institutions, universities and/or enterprises (whether public of private) and/or individual researchers or groups thereof, which jointly with similar talents overseas to apply for the Foreign Talents STI Grants to carry out joint research projects, for mentorship programs, to foster the transfer (local acquisition) or the development of research and know-how, and to encourage research/scientific investment in Vietnam. The partnering Vietnamese research institution, enterprise or university shall also serve as financial agent for the purposes of administering the Foreign Talents STI Grant funds. Moreover, the applicant shall not have political, ethnically discriminatory, sectarian or exclusionary purposes, nor be publicly associated therewith. Eligible institutions/individuals as defined above may participate in more than one proposal but presenting different activities. 2.2. Supported activities The submitted Foreign Talents STI Proposals need to cover one of the following activities: - Knowledge generation and dissemination (organizing workshops/conferences, training sessions and teaching courses in Vietnam or abroad to build research and innovation capacity of institutions/individuals working in the fields of research, science and technology in the pre-identified priority sectors) - Implementing research and development (R&D) projects with the objective of developing any innovative product, service or process. - Entrepreneurship development. FIRST project assigns priority to proposals whose scope of activities falls within the five identified sectors below: (a) Information Technology and Communications; (b) Bio-technology and Agriculture; (c) Advanced materials; (d) Mechanical manufacturing and Automation; (e) Public goods including geodesics, cartography, metrology, hydrology, environmental protection, meteorology and climate change. 2.3. Implementation period The implementation period is not to exceed 24 months since the date of signing of Foreign Talents STI Grant Agreement and needs to end before the Project Closing Date of June 30, 2019. 2.4. Grant ceiling FIRST Project will finance 100 percent of the cost under the Foreign Talents STI Grants with maximum of USD 200,000 covering the reasonable cost of consultants’ services, non-consultant services, goods, training, workshops, conferences, online services including network search and connection incurred, or to be incurred, in the implementation of a Proposal. Eligible incremental operational costs will also be financed. Individual and organization applicants need to ensure that their proposed activities under the Foreign Talents STI Grants have not been granted any fund from the Vietnamese Government budget, or other sponsoring organizations and individuals providing funding in Vietnam. In the case that the Foreign Talents STI Proposal is a related part of another funded project, it may still be considered acceptable to FIRST Project provided that all proposed activities under the Proposal in question have not been granted any fund. Part 2. Instructions for preparing grant proposals In preparing Foreign Talents STI Proposals, applicants need to ensure the compliance with the requirements set forth in Part 1 and complete the application including sufficient information and materials specified below: 1. Proposal application letter Applicants are required to complete the application letter for submission of the Foreign Talents STI Proposals - FIRST Project using the form in Section A attached to these Instructions. 2. Proposal content Content of a proposal submitted for the Foreign Talents STI Grants will incorporate the following information: 2.1. Background - Proposal title - Sector - Time frame - Proposed grant amount - Name of participating organizations and individuals (including the organization for administering the grant funds) 2.2. Grant windows - Four windows (up to USD 20,000; 20,000-50,000; 50,000 - 100,000; 100,000 -200,000) - Objectives and outputs of the Project Innovation Feasibility Systemic Impact Criticality Capacity Transparency Networking Environmental and social safeguards 2.3. Detailed description Applicants will be requested to provide information in Section B – Proposal Content. The application also includes Section C which is a complete implementation plan including detailed activities and relevant human resources to implement such proposal. For environmental and social safeguards issues, applicants need to ensure compliance with provisions in the "Environmental and Social Management Framework" of FIRST Project and complete the safeguard checklist in the attached Section D. 3. Supporting information Applicants will be requested to provide information about participating and implementing organizations and individuals using the attached forms as instructed below: - Information about national organizations/agencies participating in the Proposals (including legal status, experience, and financial capacity with supporting documentation for evidence) using Section E. - Curriculum Vitae (CVs) of national and international experts using Section F – CV Forms (with demonstration of experience in similar assignments, and other research outputs, achievements, and awards, if any). 4. Copyright Applicants for Foreign Talents STI Grants need to ensure that any content related to research and development (R&D) activities under the Proposal will not violate intellectual property rights (copyrights, trademarks, patents, utility solutions, industrial design…). Participating organizations and individuals will be held liable for any allegation made by a third party. 5. Cost estimates Funding is provided for the following eligible costs: consultants’ services, non-consultant services, goods, training, workshops, conferences, online services including network search and connection incurred, or to be incurred, in the implementation of a proposal. Eligible incremental operational costs will also be financed (However, use of funding for any activity related to civil works and land acquisition is not permitted). Cost estimation for the grant funds will follow the form in Section G. 6. Language of the Proposal Applicants may choose to prepare their proposals in Vietnamese or English. 7. Submission procedures Applicants will be required to complete the online application which will be made available on the project website: www.first-most.vn during the submission period from ________ to _________. It is also required that a hard copy of the full proposal application (including original signature contained in the form of Section A attached to these Instructions) to be sent to FIRST project before _________ to the address below: Project Management Unit - "Fostering Innovation through Research, Science and Technology (FIRST)" Project – The Ministry of Science and Technology Address: 15th Floor – Thang Long Tower, 98A Nguy Nhu Kon Tum, Thanh Xuan District, Hanoi - Vietnam. Tel: 04-62864961 - Fax: 04-62864956 Project Director: Trần Quốc Thắng - Email: [email protected] Project Office E-mail: [email protected] (Label the envelope: "Foreign Talents STI Proposals" – FIRST Project) 8. Costs for preparing proposals All costs associated with preparation of proposals will be covered by applicants. 9. Exchange of information during preparation Participating organizations and individuals may contact FIRST project via: Fax: 04-62864956 or e-mail ([email protected]) to have support in preparation of the proposals. Part 3. Evaluation and selection of proposals 1. Technical Evaluation Committee The Ministry of Science and Technology will establish a Technical Evaluation Committee - TEC consisting of prestigious and experienced experts in related fields (science & technology, finance, and procurement) for evaluation and selection of "Foreign Talents STI Proposals" for award of grants. Based on the recommendations of the TEC, MOST will review and approve the winning proposals for Foreign Talents STI Grants. Any deviation of MOST’s choice from the rank order established by the Evaluation Committee will need to be communicated to the Association in writing, including the entire application package of the relevant cases. 2. Selection criteria 2.1. Evaluation of eligibility All proposals will be checked against eligibility criteria including the compliance of the proposal with the environmental and social standards set forth in the Environmental and Social Management Framework. 2.2. Evaluation of technical proposals Proposals will be evaluated using scoring with the maximum score of 70 points. The score will be assigned as follows: Criteria Description Total Score (Min 0 – Max 70) Innovation Extent to which the idea is innovative and varies from current approach being used in Vietnam Min 0 – Max 10 Feasibility Extent to which the proposed budget is relevant to the proposed activity Min 0 – Max 10 Systemic impact Extent to which project will contribute to the long term development of science, technology and innovation in Vietnam Min 0 – Max 10 Criticality Extent to which the foreign talent is critical for the implementation of the project Min 0 – Max 10 Capacity Adequate capacity of the partnership to undertake the proposed project Min 0 – Max 10 Transparency Authorization for public disclosure of the proposal except for financial details Not authorized: 0 Extent to which project supports the formation or strengthening of STI network in the particular sector/field Min 0 – Max 10 Networking 2.3. Authorized: 10 Evaluation and ranking The TEC will review and evaluate the submitted proposals based on the above said criteria and arrive to a ranking of the evaluated proposals. The TEC will generate a ranking of the proposals. MOST will determine the final award based on the recommendation of the TEC. Any deviation of MOST’s choice from the rank order established by the Evaluation Committee will need to be communicated to the Association in writing, including the entire application package of the relevant cases. 3. Exchange of information during evaluations During the evaluation of proposals, at the TEC's request, PMU-FIRST may require the applicants to supply further information for clarification of the proposals regarding technical contents, proposed financed costs, and procurement plan. Information may be exchanged via written correspondence, email, or in-person communication at PMU-FIRST Office. 4. Disclosure of selection results Within two weeks from the date of signing of the Grant Agreements, PMU-FIRST will announce the results on FIRST website: www.first-most.vn and MOST website: www.most.gov.vn Information includes: List of submitted proposals (including names of applicants and short description of proposals) List of winning proposals (including titles of winning proposals and grant amounts) Part 4. Grant agreement The Foreign Talents STI Grant Agreements with the winning applicants will be signed upon MOST's approval. The form of this Agreement is included in Section H attached to these Instructions and the applicants need to review carefully and accept the Terms and conditions before submitting their Proposals. Part 5. Application Forms Section A: Proposal Application Letter Section B: Proposal Content Section C: Implementation Plan Section D: Environmental and Social Safeguards Checklist Section E: Information about Participating Local Agencies/Organizations Section F: CVs of Participating Local and Foreign Experts Section G: Cost Estimates for Grant Expenditures Section H: Grant Agreement SECTION A PROPOSAL APPLICATION LETTER “Foreign Talents STI Grants” Date: ________________ To: Project Management Unit-FIRST Project – Ministry of Science and Technology Having examined the Instructions for submission of the "Foreign Talents STI Proposals" under FIRST Project, we would like to submit with this letter our proposal to FIRST Project as follows: - Proposal title: - Names of participating organizations and individuals: - Name of the designated financial agent for administering the grant funds: Should our Proposal be selected, we are committed to implementing the Proposal in adherence to the proposed contents and in compliance with the provisions set forth under the Grant Agreement. We, the undersigned, certify that to the best of our knowledge and belief, all information contained in the Proposal is true and correct. We certify that we have reached an agreement with the foreign talents included in the Proposal. Applicant Representatives - Name, title, signature, and stamp of the legal authorized official of the organization in charge of administering the grant funds. SECTION B PROPOSAL CONTENT FOREIGN TALENTS STI GRANTS Note: - Applicants should carefully study the Instructions for preparing Foreign Talents STI Proposals before filling in this form. - The information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Proposal Background 1. Title of the proposed project: 2. Type of collaboration (applicants may check more than one box) Knowledge generation and dissemination Implementing research and development (R&D) projects Entrepreneurship development 3. Grant window (select the range of the amount of grants you are applying for) up to USD 20,000 USD 20,000-50,000 USD 50,000 - 100,000 USD 100,000 -200,000 4. Brief description of the Proposal (including objectives, outputs, methodologies/approaches and sustainability of the Proposal; not to exceed 1500 characters) 5. Time frame: From …………….. (month/year) To ………………. (month/year) 6. Requested amount: In figures In words 7. Names of participating organizations and individuals 7.1. Names of participating Vietnamese organizations (including basic information about legal status, fields of work, number of years of experience, briefly present information (if available) about resources, cooperation with foreign research institutions, research outputs and works) 7.2. Name of Vietnamese organization designated to administer the grant funds (briefly present about experience in financial management for other grant funds, if available) 7.3. Name(s) of participating foreign expert(s) II. Description of the Project 1. What are the objectives and outputs of the Project? (As the outputs of the project, what will be generated as results when the project is completed/papers, intellectual property, entrepreneurial ventures, etc.; maximum of 300 characters) 2. What is the rationale of the Project? (Why is this project needed? identify the project beneficiaries, identify the contributions to the development of science, technology and innovation in Vietnam) 3. What are the main activities and time frame of this project? 4. What is innovative about this project? (Extent to which the idea is new and varies from current approach; the higher the amount applied for, the more innovative the proposal idea is expected to be) 5. How did you arrive at the cost estimation? (Extent to which the proposed budget is relevant to the proposed activity, the higher the amount applied for, the more detail is expected in the budget presented) ) 6. What will your project contribute to the development of science, technology and innovation in Vietnam? (Lower the cost of adoption of new technologies by others in the industry, movement up the value chain) 7. Explain why the foreign talent is important for the implementation of the project (Have you tried to find the talents in Vietnam? Talents available in Vietnam but expensive and inaccessible to you) 8. How does your project aid in the formation of networking opportunities in the future? (Does it generate investment opportunities from foreign investors? Does it encourage knowledge exchange with international talent networks?) 9. Is the project in compliance with the Environmental and Social Safeguards (Briefly demonstrate the compliance with environmental and social safeguards provisions of FIRST project) 10. Do you authorize the FIRST Project to release the information (except for financial information) about your application? Yes No 11. Other relevant information, if any SECTION C IMPLEMENTATION PLAN FOR FOREIGN TALENTS STI PROPOSAL Note: Applicants should carefully study the Instructions on preparing Foreign Talents STI Proposals before filling in this form. Description of activity Start Date End Date Beneficiary Outputs SECTION D ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST "Foreign Talents STI Grants" For the purpose of screening for determining the eligibility of proposals, applicants need to provide true and sufficient information as required in the table below. PMU-FIRST will review and evaluate the proposal, by indicating "Yes" to any safeguard policy other than Environment Assessment – OP 4.01, the proposal will be considered as not eligible (based on the approved Environmental and Social Management Framework of the FIRST project). Safeguard Policy Identification of Possible Safeguard issue(s) Please check on box Environmental Does the project have the potential for adverse environmental or Assessment social risks and impacts in its area of influence? No Natural Habitats No The Bank does not finance projects that degrade or convert critical habitats (protected areas or sites important for biodiversity). Do the project activities have the potential to cause significant conversion (loss) or degradation of non-critical natural habitats? (The loss can occur either directly e.g. construction activities) or indirectly (through human activities induced by the project) Yes If Yes, indicate here the potential severity for the impact and proposed project design elements that will help prevent potential adverse impacts Yes Provide your response here, if applicable Pest management Are any pesticides or procurement of pesticide equipment being financed by the project No Does the project introduce new pest management practices or expand or alter existing pest management practices? No Are there other project activates that may lead to substantially increased pesticide use? No Does the project include the manufacture or disposal of environmentally significant quantities of pest control products? No Does the project have the potential to have an impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests? No Yes Does the project aim to bring about changes in the management, protection, or utilization of natural forests or plantations? No Yes Safety of Dams Are any project activities related to the construction for a largescale dam? No Yes Cultural property Would project activities likely adversely affect physical cultural resources? No Yes No Yes Forests Yes These could be temples, burial sites, or archeological sites. Projects in international Waterways Are project activities being conducted in international waterway Involuntary Resettlement Is there any possibility that project activities would displace persons involuntarily? Please note that loss of land or other assets caused by: (i) relocation or loss of shelter; (ii) loss access to assets in protected areas resulting in adverse impacts on livelihoods; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. If Land is acquired and no person is involuntarily displaced, the policy is not triggered. No Yes Indigenous peoples (ethnic minorities) Would the project likely have negative impacts on ethnic minorities or have the potential to bring positive benefits to ethnic minorities? No Yes SECTION E INFORMATION ABOUT LOCAL ORGANIZATION/AGENCIES PARTICIPATING IN THE FOREIGN TALENTS STI PROPOSALS Note: - Applicants should carefully study the Instructions on preparing Foreign Talents STI Proposals before filling in this form. - Information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Background Information 1. Type of organization Research institute University Enterprise 2. Registered name 3. Transaction name (if any) 4. Name of legal representative 5. Contact address 6. Organization start date 7. Functions and fields of work SECTION F CURRICULUM VITAE OF FOREIGN EXPERT Participating in the Foreign Talents STI Proposals Note: - Applicants should carefully study the Instructions for preparing Foreign Talents STI Proposals before filling in this form. - Information provided in this form may be forwarded to a third party for the purposes of evaluation. I. Personal Information 1. Full name 2. Date of birth 3. Gender 4. Nationality 5. Languages and proficiency II. Education and Qualifications 1. Educational background 2. Training courses, other skills III. Employment records and working experience IV. Publications, works and products 1. Journal articles and papers 2. Published books and book chapters 3. Patents and recognized patterns 4. Business achievements (if applicable) 5. Awards (if any) 6. Other evidence for competency to contribute in the Proposal (if any) SECTION G COST ESTIMATES FOR GRANT EXPENDITURES "Foreign Talents STI Grants" The applicants need to prepare cost estimation in the following form covering the activities of: i) organizing conferences, workshops, and events locally, ii) traveling expenses: foreign experts going to Vietnam, iii) travelling expenses: national experts going abroad, iv) other related eligible expenditures, and v) goods and services No. 1 Description of Activity and Cost Category Organizing local conferences, workshops, and events [List names of conferences, workshops, and events to be organized locally, if any, and number of attendants]1 Venue rental Accommodation Travelling expenses Per diem Refreshment Stationery Printing and photocopying Other costs Total 2 Travelling expenses: foreign experts going to Vietnam2 Airfare Transportation to and from airport Daily transportation Phone, telex, fax, Internet expenses Baggage, document fees Insurance fees Accommodation expenses Per diem Visa fees Cost contingency Other costs Total 1 2 Cost norms as per regulations of the Ministry of Finance Costs based on actual situations and market price No. of days Amount Note 3 Travelling expenses of overseas work trips for local experts3 Airfare Transportation to and from airport Daily transportation Phone, telex, fax, Internet expenses Baggage, document fees Insurance fees Accommodation expenses Per diem Visa fees Cost contingency Other costs Total 4 5 Goods and services Other associated eligible costs [photocopy and printing, rental of transportation vehicles, local travelling expenses, per diem, stationery....]4 Total Note: 1) The above estimated costs cover all associated fees and taxes payable by the applicant to carry out the activities. 2) The above items are general suggestions only, applicants may add more details to the items in the cost estimate table if necessary and eligible. 3 4 Cost norms as per regulations of the Ministry of Finance Cost norms as per regulations of the Ministry of Finance SECTION H GRANT AGREEMENT “Foreign Talents STI Grants” Date_______________________ Grant Agreement No.: ------ /FIRST/FT/GRANT Proposal Title: _________ [Title of Proposal] Under the Project: FIRST (Credit No. 5259-VN) - Pursuant to the Financing Agreement dated July 25, 2013 (Credit No. 5257-VN) between the Government of Vietnam and the International Development Association ("Association") for the financing of the "Fostering Innovation through Research, Science and Technology (FIRST)" Project. - Pursuant to Decision No. [reference number and date of the Decision] of the Ministry of Science and Technology for approval of [Name of the winning applicant] for implementation of the Proposal; - Pursuant to the Ministry of Science and Technology's selection of [Name of the winning applicant] for award of the Foreign Talents STI Grants; - Pursuant to the provisions of the "Project Implementation Manual" ("PIM") This Grant Agreement is entered by and between: Project Management Unit of FIRST Project (Benefactor) Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Grant Awardee _______ (Beneficiary) [Names of participating organizations and/or individuals] Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Now therefore in consideration of the mutual covenants between PMU-FIRST and the Beneficiary [Name of applicant], the parties hereby agree as per the terms and conditions detailed hereunder for the Foreign Talents STI Proposal entitled [Name of the winning proposal]: Article 1. Financing PMU-FIRST agrees to extend to the Beneficiary a grant for implementation of the Proposal [Name of the winning Proposal]. Contents of the Beneficiary's Proposal constitute Appendix 1 attached to this Agreement. Total grant amount: Implementation period: Article 2. Beneficiary's obligations Section 1. Proposal implementation The Beneficiary is responsible for implementation of the Proposal in adherence with the contents of the Proposal (see details in the attached Appendix 1) and in accordance with the provisions of the Financing Agreement dated July 25, 2013 (Credit No.5257-VN) between the Government of Vietnam and the International Development Association, and the "Anti-Corruption Guidelines" which means "Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants" dated October 15, 2006 and Revised in January, 2011. The Beneficiary shall also commit to the implementation of the Proposal in compliance with the provisions and guidelines in the "Project Implementation Manual" of FIRST Project as approved by MOST on [Decision reference number and date of MOST's approval] including compliance with safeguards provisions under the "Project Environmental and Social Framework" as approved by MOST on April 1, 2013 under Decision No. 683/QD-BKHCN. Each organization and individual participating in the Proposal is responsible for fulfilling the duties and tasks as assigned under the Proposal. Section 2. Entity serving as financial agent for administering the grant funds The Beneficiary hereby designates [name of the agency designated to be financial agent for administering the grant funds for implementation of the Proposal]. Accordingly, the designated agency shall commit to (i) appointment (and training) of qualified financial management staff; (ii) adoption of the Project Implementation Manual; (iii) having an acceptable accounting systems (including the use of FIRST Project's accounting software). Section 3. Grant amount and financial administering of the grant funds. The Benefactor shall extend to the Beneficiary a grant in an amount equal to [total grant amount] for implementation of the Proposal. The Beneficiary, through the agency designated under Article 2, Section 2, shall maintain records and accounts adequate to reflect, in accordance with sound accounting practices, the operations, resources and expenditures incurred in the implementation of its Proposal. There will be a release of up to 50% of the funds upon signature of the grant agreement, and then the remaining 50% will be released upon presentation by the beneficiary of a progress report on the implementation of the financed activities. The Beneficiary shall submit financial reports to the Benefactor for each reporting period as specified in PIM (the chapter of Financial Management Manual). Upon the Benefactor's or the Association's request, the Beneficiary shall have its records and accounts audited in accordance with appropriate auditing principles consistently applied. Section 4. Procurement Procurement must comply with World Bank's provisions and procedures in the "Guidelines on Procurement of Goods, Works and Non-consulting Services under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Procurement Guidelines) and "Guidelines on Selection and Employment of Consultants under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Consultant Guidelines), and the guidelines in the Project Implementation Manual (PIM). Section 5. Reporting and supervision Reporting on proposal implementation progress: the Beneficiary is responsible to prepare reports on the progress of the implementation of the activities. For grants below US$ 50,000, the Beneficiary shall submit a report on completion of its project under the Foreign Talents STI Grant. For grants ranging US$ 50,000 – 100,000, the Beneficiary shall submit a mid-term report and a final report. For grants ranging US$ 100,000 – 200,000: the Beneficiary shall submit a report every six months. The project progress reports will also contain a financial section to be submitted to the Benefactor. The Beneficiary shall: (i) establish and/or maintain policies and procedures that would allow the Benefactor and/or the Association to carry out supervision and monitoring activities of the Beneficiary's implementation of the financed Proposal; (ii) prepare and furnish to the Benefactor and/or the Association, all such information that the Benefactor, and/or the Association, shall reasonably request in relation to the Proposal; and (iii) accept random and/or unannounced physical or documentary inspections by the Benefactor and/or the Association. Article 3. Right to suspend and terminate the Grant Agreement Section 1. The Benefactor shall have the right to suspend or terminate the right of the Beneficiary to use the proceeds of the Foreign Talents STI Grants upon the failure of the Beneficiary to perform its obligations under the Foreign Talents STI Grant Agreement. Section 2. In the case of termination or suspension of the right to withdraw the loan proceeds out of the Vietnam designated account under the Financing Agreement for any reasons thereof, the Grant Agreement shall also be terminated or suspended accordingly. Article 4. Modifications of the Grant Agreement During the execution of the Grant Agreement, any modification or revision to the contents related to the Proposal shall be agreed by the two parties by written consent. The signed document thereof shall be deemed an Addendum to the Grant Agreement. Article 5. Other conditions Section 1: Applicable Law This Agreement shall be governed by the Vietnamese Law and in accordance with the Financing Agreement signed between the Government of Vietnam and the Association. During the execution of this Grant Agreement, any disputes arising out of this Agreement shall be handled and settled by the related parties through negotiations. Any dispute cannot be settled amicably shall be subject to resolution by the Vietnamese Law. Section 2. Effectiveness of the Grant Agreement. This Grant Agreement shall be effective upon signature by both Parties and made into [number] copies of equally legal effect. The Benefactor shall keep [indicate the number] copies and the Beneficiary shall keep [indicate the number] copies Legal representative of FIRST-PMU Legal representative of Beneficiaries [Name, title, sign and stamp] [Name, title, signature and stamp by the legally authorized person of the organization designated to administering the grant funds ] Annex 5-2: Request for Expression of Interest – GRI Short List Selection APPLICATION LETTER FOR EXPRESSIONS OF INTEREST (Applicable to short list selection) Subject: Short list selection of GRIs – "Fostering Innovation through Research, Science and Technology (FIRST)" project To: Project Management Unit – FIRST project, The Ministry of Science and Technology After studying the request for expressions of interest of the FIRST-PMU regarding invitation to participate in short list competitive selection of GRIs under FIRST project, [Name of your institute] confirms our participation and submits with this letter the application for expression of interest for the above said selection. Thank you very much for your support. [Head of Institute] (Sign and seal) [GRI NAME] SOCIALIST REPUBLIC OF VIETNAM Independence – Freedom - Happiness Date: …………………. EXPRESSION OF INTEREST APPLICATION FOR GRI SHORT LIST UNDER FIRST PROJECT GENERAL INFORMATION Name: Line ministry: Address: Telephone: Registered sector: Contact person: Fax: Email: Telephone: PART A: CONVERSION PLAN STATUS UNDER DECREE 1151: A. Converted B. Under conversion C. Not converted 1 If your institute's status is described as either A or B, please furnish legal documents to prove the status of conversion. Ex: Approval decisions, application dossiers for conversion, conversion plan… For option C: GRIs that do not implement conversion plan following Decree No. 115/2005/ND-CP will not be considered eligible for participating in FIRST project's selection for award of grant) PART B: INFORMATION ON PHYSICAL FACILITIES AND RESEARCH CAPACITY 1. Physical facilities 1.1. Land area (unit: m2) Area of laboratories : Total area : Area of workshop: Area of office : 1.2. Total value of assets up to 2013 (unit: million VND) Item Total value: Of which: - Investment from state budget (annual directly allocated resources) - Investment from other sources Value of basic constructions Value of equipment Rate (%) 100 1.3. Current human resources Total number of staff: Of which: Professor/Associate Professor: Master's: Others: PhD: B.A: 2. Lists of operating budget in the last 3 years 2.1. State budget (unit: million VND) 201... 201.... 201... Total annual budget - Budget for current expenditures - Budget for investment in basic construction Budget for investment in machinery and equipment Others 2.2. Funding from research and development programs and projects (unit: million VND) 201... 201... 201... Total annual revenue - Revenue from programs - Revenue from projects ( pilot production, international cooperation...) 3. Scientific works under registered sector 3.1. Inspected research programs chaired by your institute in the last 3 years No. 1 2 3 ... Program title Program type Funding for Implementation - State level - Ministerial level and relevant (affiliated program under state –level and local – level program) - Organization level project 3.2. National and International Scientific Publications 3.2.1. Lists of national publications in the registered sector in the last 3 years No. Title Author Journal Name ISSN code of the journal Number and year of publication 1 2 ... * Each article is to be accompanied by cover page, table of contents of the relevant journal and first page of the article ** List of some typical articles (maximum of 5 articles) 3.2.2. Lists of international publications in the registered sector in the last 3 years No. Title Author Journal Name ISSN code of journal Number and year of publication 1 2 ... * Each article is to be accompanied by cover page, table of contents of the journal and first page of the article ** List of some typical articles (maximum of 5 articles) 3.2.3. List of scientific papers in the registered sector published in national conference proceedings No. Paper Title 1 . Conference Name Venue Year of publication 2 ... * Each paper is to be accompanied by a copy of the cover page, table of contents of the proceeding and records and first page of the paper. 3.2.4. List of scientific papers in the registered sector published in international conferences proceedings No. 1 2 ... Paper Title Conference Name Venue Year of publication * Each paper is to be accompanied by a copy of the cover page, table of contents of the proceeding and records and first page of the paper. 3.3. List of inventions and utility solutions under protection No. Name of Inventions and Utility Solutions Country of Registration Year of Grant Patent Reference Number *Accompanied by copies PART B: COMMERCIALIZATION AND TECHNOLOGY TRANSFER ACTIVITIES (Including co-operations with enterprises) 4. List of technology transfer activities and science and technology services in the last 3 years 4.1. List of technology transfer from your scientific products No. Name of Technology/Product Recipient Contract value (million VND) Year of Implementation 1 2 ... Total *Brief description of some typical transferred equipment and technology( maximum of 5 products/technologies) 4.2. List of science and technology services No. Name of Service Recipient Contract value Year of (million VND) Implementation 1 2 ... Total 5. Reinvestment rate of your institute’s technology transfer and science and technology services in the last 3 years No. 201... 201... 201... (%) (%) (%) Category 1 Training 2 Physical facilities 3 Human resources 4 Others (welfare...) PART C: IDEA OF THE PROJECT PROPOSED FOR FUNDING 6. Summary of conversion plan under Decree 115/2005/ND-CP (maximum of three A4 pages) - Objectives - Difficulties/Challenges - Implementation plan for the conversion plan (Please enclose the conversion plan which has been already approved or under the approval process of the competent authorities) 7. Proposed project for award of grant under FIRST project (maximum of five A4 pages) - Project title - The need for the project (the role of the project in implementing the conversion plan, commercializing research outputs, enhancing research capacity, and developing technologies towards reaching the international standards) - Objectives of the project - Contents (key activities) - Expected results - Key personnel (total number, name, title, and/or academic rank) - Expected time frame and funding for implementation. We hereby certify that all aforementioned information is correct and true. Any information, if found to be incorrect, wrong or misleading, may lead to our disqualification from the application and selection in accordance with FIRST project's regulations. Head of Institute (sign and seal) Annex 5-3: RFP of GRI STI Grants THE MINISTRY OF SCIENCE AND TECHNOLOGY PROJECT MANAGEMENT UNIT - "FOSTERING INNOVATION THROUGH SCIENCE, RESEARCH AND TECHNOLOGY" PROJECT ------------------------------------ REQUEST FOR PROPOSALS Instructions, Templates and Forms for Preparing Grant Proposals Government Research Institutes Science, Technology and Innovation Grants "Fostering Innovation through Research, Science and Technology (FIRST)" Project (Credit No.5257-VN funded by World Bank) Request for Proposals Instructions for Preparation of Government Research Institutes Science, Technology and Innovation Proposals Government Research Institutes (GRIs) interested in submission of proposals for "Government Research Institutes Science, Technology and Innovation Grants" ("GRI STI Grants") under FIRST project need to follow the instructions and requirements provided in the following parts. Part 1. Description of GRI STI Grants of FIRST Project 1. Background The Government of Vietnam (GOV) received funding for the "Fostering Innovation through Research, Science and Technology" (FIRST) project from World Bank under the Financing Agreement signed on July 25, 2013 (Credit No.5257-VN). The Ministry of Science and Technology (MOST) is authorized by GOV to be the line ministry for implementing and providing guidance for the project towards the specific objectives of supporting science and technology (S&T) development and fostering innovation via: (i) designing and piloting new policies to improve the national policy framework for S&T; (ii) capacity building for Government Research Institutes (GRIs) towards further linkages with enterprises and market demands; (iii) promoting innovation in enterprises, and encouraging the development of S&T enterprises. The total project cost financed by WB is US$ 100 million during the implementation period commencing October 22, 2013 through June 30, 2019. MOST has established a Project Management Unit (PMU) - FIRST for coordinating the overall project and implementing its activities. 2. Content and requirements of GRI STI Grants GRI STI Grants under Sub-component 2.a. of FIRST project seek to provide STI Grants for the selected GRIs working in the priority sectors to support the implementation of their Conversion Plans under Decree No.115/2005/ND-CP dated September 5, 2005 of the Vietnamese Government to evolve from traditionally managed organizations to become autonomous market-driven institutions. Total grant amount allocated to this Sub-component is US$ 40 million, of which each selected GRI will be awarded a grant not exceeding US$ 4 million. The grant funds will support these GRIs in investing in physical and human capital, and providing technical assistance for their successful conversion under Decree 115. Applicants need to ensure that their proposed activities under the GRI STI Grants have not been granted any fund from the Vietnamese Government budget, or other sponsoring organizations and individuals providing funding in Vietnam. 2.1. Eligible applicants for submitting the GRI STI Proposals Eligible applicants for GRI STI Grants of FIRST project are research institutes whose names are listed in the GRI Short List approved by MOST and whose conversion plans following Decree 115/2005/ND-CP of the Government have been approved or are under consideration by competent authorities. However, the approval of the conversion plans under consideration by competent authorities is the requirement for the signing of the Grant Agreements between MOST and beneficiary GRIs. 2.2. Supported sectors FIRST project will finance proposals whose scope of activities falls within the following sectors: (a) Information Technology and Communications; (b) Bio-technology and Agriculture; (c) Advanced materials; (d) Mechanical manufacturing and Automation; (e) Public goods including geodesics, cartography, metrology, hydrology, environmental protection, meteorology and climate change 2.3. Implementation period The implementation period is not to exceed 24 months since the date of signing of GRI STI Grant Agreement and needs to end before the Project Closing Date of June 30, 2019. 2.4. Grant ceiling FIRST project will finance each GRI a maximum amount of US$ 4 million for implementation of their proposals. Part 2. Instructions for preparing Grant Proposals In preparing GRI STI Proposals, applicants need to ensure the compliance with the requirements set forth in Part 1 and complete the application including sufficient information and materials specified below: 1. Proposal application letter Applicant GRIs are required to complete the application letter for submission of GRI STI Proposals under FIRST Project using the form in Section A attached to these Instructions. 2. Conversion plans and content of proposals Content of a proposal submitted for the GRI STI Grants will incorporate the following information: 2.1. GRI conversion plan Applicants need to submit a conversion plan following Decree No.115/2005/ND-CP which have been approved or under the approval process by competent authorities. 2.2. Background - Name of the applicant GRI - Proposal title - Sector - Time frame - Proposed grant amount (specify the counterpart funding in the form of in-kind contributions of GRI, if available) 2.3. Detailed description - Objectives - Main activities - S&T strategy - Implementation plan - Investment plan - Expected achievements and improvements - Financial management and procurement capacity - Environmental and social safeguards Applicant GRIs will be requested to provide information in Section B - Proposal Content. GRI STI Proposals will also need to include Section C which is a complete implementation plan including detailed activities and relevant human resources to implement such proposal. For environmental and social safeguards issues, applicants need to ensure compliance with the standards set forth in the "Environmental and Social Management Framework" of FIRST Project and complete the safeguard checklist in the attached Section D. 3. Updated information about the applicant GRIs - Applicants need to update the information about their institutions in terms of: legal status, experience and capabilities, research capability and financial capacity (as described in the Request for Expression of Interest for Shortlisting that was previously sent to these GRIs) if needed. - Curriculum Vitae of key experts and personnel participating in implementation of the submitted proposals will follow Section E - CVs Form (with demonstration of experience in similar assignments, and other research outputs, achievements, and awards, if any). 4. Copyright Applicants for GRI STI Grants need to ensure that any content related to research and development (R&D) activities under the Proposal will not violate intellectual property rights (copyrights, trademarks, patents, utility solutions, industrial design…). Participating institutions will be held liable for any allegation made by a third party. 5. Funding Funding is provided to finance the eligible costs of: consulting services, non-consulting services, goods, research equipment, purchase of intellectual property including licenses, conferences and workshops, training, minor rehabilitation/repair of existing buildings, and eligible incremental costs (FIRST Project will not finance any activity related to civil works and land acquisition). Applicants need to prepare cost estimations for the grant funds based on the proposed activities and implementation plan following the instructions below: 5.1. Non-procurement budget (Section F) i) Costs of organizing local conferences, workshops and events (as per regulations of the Ministry of Finance –MOF) ii) Costs of national experts going abroad for study/carrying out survey/research (as per regulations of MOF) iii) Costs of project staff going abroad for study (as per regulations of MOF) iv) Other relevant eligible expenditures (photocopy and printing, rental of vehicles, local travel costs, perdiem, stationery…) as per regulations of MOF. Note: FIRST Project will not finance remuneration and salaries paid to officials and staff currently employed by the applicant GRIs. The project will not finance activities related to civil works and land acquisition. 5.2. Procurement budget (Section G) Covering the costs for procurement of consulting services, non-consulting services, goods/equipment, and purchase of intellectual property including licenses, minor rehabilitation/repair of existing buildings for implementation of the Proposal. 6. Procurement plan Based on the proposed cost estimates mentioned in Section F and Section G, applicants notified about the grants awarded to them will prepare a Procurement Plan (Section H). The procurement plan for the Proposal must comply with the Bank's "Guidelines on Procurement of Goods, Works and Non-consulting Services under IBRD Loan and IDA Credits and Grants by World Bank Borrowers" dated January 2011 (Procurement Guidelines) and "Guidelines on Selection and Employment of Consultants under IBRD Loan and IDA Credits and Grants by World Bank Borrowers" dated January 2011 (Consultant Guidelines), and guidelines of the Project Implementation Manual (PIM). 7. Language of the Proposal The Proposal shall be written in Vietnamese and/or English, with the former for official purposes and the latter for reference. 8. Submission procedures Applicants will be required to complete the online application which will be made available on the project website: www.first-most.vn during the submission period from ________ to _________. It is also required that a hard copy of the full proposal application (including original signature contained in the form of Section A attached to these Instructions) to be sent to FIRST project before _________ to the address below: Project Management Unit - "Fostering Innovation through Research, Science and Technology (FIRST)" Project – The Ministry of Science and Technology Address: 15th Floor – Thang Long Tower, 98A Nguy Nhu Kon Tum, Thanh Xuan District, Hanoi - Vietnam. Tel: 04-62864961 - Fax: 04-62864956 Project Director: Trần Quốc Thắng - Email: [email protected] Project Office E-mail: [email protected] (Label the envelope: "GRI STI Grants" – FIRST Project) 9. Costs for preparing proposals All costs associated with preparation of proposals will be covered by applicants. 10. Exchange of information during preparation Applicant GRIs may contact FIRST project via: Fax: 04-62864956 or e-mail ([email protected], [email protected]) to have support in preparation of the proposals. Part 3. Evaluation and selection of proposals 1. Technical Evaluation Committee The Ministry of Science and Technology will establish a Technical Evaluation Committee (TEC) consisting of prestigious and experienced experts in related fields (science & technology, finance, and procurement) for evaluation and selection of "GRI STI Proposals" for award of grants. Based on the recommendations of the TEC, MOST will review and approve the winning proposals for GRI STI Grants. 2. Selection criteria 2.1. Evaluation of eligibility All proposals will be checked against eligibility criteria including the compliance of the proposal with the environmental and social standards set forth in the Environmental and Social Management Framework. 2.2. Evaluation of technical proposals Proposals will be evaluated using scoring with the maximum score of 70 points. The score will be assigned as follows: Criteria Description Proposal consistency and quality Extent to which the proposal is complete and consistent with the objective of GRI transition towards the market approach Quality of the Strategy The Scientific and Technological strategy presented in the proposal is complete, realistic and feasible Total Score Min 0 – Max 70 Min 0 – Max 10 Min 0 – Max 10 It reaches international standards Quality of implementation plan It leads to the introduction of new technologies/products and to their successful commercialization The development plan of the: (i) S+T infrastructure, (ii) human resources, (iii) technology transfer and commercialization (possibly at an international level), and (iv) the cooperation with Min 0 – Max 10 national and international stakeholders, is convincing and consistent Quality of investments plan The plan of investments is clear, feasible and financially sound (capacity of generating revenues and relationship between funds available, including FIRST support, revenues and costs) Min 0 – Max 10 The plan is clear and convincing on how to use new equipment purchased with FIRST support Expected financial achievements and improvements Volume of funding acquired grows significantly in a span of 5 years after start of FIRST support Min 0 – Max 10 GRI completely finances itself Expected scientific and technological achievements and improvements Transparency 2.3. Number of international publications, and /or of patents, and/or of other relevant outputs grows significantly in 5 years after start of FIRST support Min 0 – Max 10 Authorization for disclosure of the proposal except for financial details and conversion plan Not authorized: 0 Authorized: 10 Evaluation and ranking The Evaluation Committee will review and evaluate the submitted proposals based on the above said criteria and arrive to a ranking of the evaluated proposals. The TEC will generate a ranking of the proposals. MOST will determine the final award based on the recommendation of the TEC and World Bank's no objection. Any deviation of MOST’s choice from the rank order established by the Evaluation Committee will need to be communicated to the Association in writing, including the entire application package of the relevant cases. 3. Exchange of information during evaluation During the evaluation of proposals, at the TEC's request, PMU-FIRST may require the applicants to supply further information for clarification of the proposals regarding technical contents, proposed financed costs, and procurement plan. Information may be exchanged via written correspondence, email, or in-person communication with applicants at PMU-FIRST Office and/or GRI Office. 4. Disclosure of selection results Within two weeks from the date of signing of the Grant Agreements, PMU-FIRST will announce the results on FIRST website: www.first-most.vn and MOST website: www.most.gov.vn Information includes: List of submitted proposals (including names of applicants and short description of proposals) List of winning proposals (including titles of winning proposals and grant amounts) Part 4. Grant agreements The GRI STI Grant Agreements with the winning GRIs will be signed upon MOST's approval. The form of this Agreement is included in Section I attached to these Instructions and the applicants need to review and accept the Terms and Conditions before submitting their Proposals. Part 5. Application Forms Section A: Proposal Application Letter Section B: Proposal Content Section C: Proposal Implementation Plan Section D: Environmental and Social Safeguards Section E: CVs of Key Experts Section F: Cost Estimates for Non-Procurement Budget Section G: Cost Estimates for Procurement Budget Section H: Procurement Plan Section I: Grant Agreement SECTION A PROPOSAL APPLICATION LETTER "Government Research Institutes Science, Technology and Innovation Grants" Date: ________________ To: Project Management Unit-FIRST Project – Ministry of Science and Technology Having examined the Invitation for submission of the "GRI STI Proposals" under FIRST Project, we would like to submit with this letter our proposal to FIRST Project: - Proposal title: - Proposed grant amount: Should our proposal be selected, we are committed to implementing the proposal in adherence to the proposed contents and in compliance with the provisions set forth under the Grant Agreement. We, the undersigned, certify that to the best of our knowledge and belief, all information contained in the proposal is true and correct. Applicant Representative Name, title, signature, and stamp of the legal authorized official SECTION B PROPOSAL CONTENT "GRI STI Grants" Note: - Applicants should study the Instructions for preparing GRI STI Proposals before filling in this form. - The information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Proposal Background 1. Title of the proposed project: 2. Sector Information Technology and Communications Bio-technology and Agriculture Advanced materials Mechanical manufacturing and Automation Public goods 3. Brief description of the Proposal (including objectives, outputs, methodologies/approaches and sustainability of the Proposal; not to exceed 1500 characters) 4. Time frame: From …………….. (month/year) To ………………. (month/year) 5. Total proposed grant amount: In figures In words Of which: - FIRST funding: - GRI's contributions (if applicable): 6. Name of applicant (Providing basic information of legal status, fields of work, number of years of experience) II. Detailed Description 1. What are the objectives and outputs of the Project? (What will be generated as results when the project is completed? maximum of 300 characters) 2. What is the rationale of the Project? (Why is this project needed? Identify the project beneficiaries, identify the contributions to the development of science, technology and innovation in Vietnam) 3. What are the main activities and time frame of this project? 4. Which are the GRI’s scientific and technological strategy and its main elements? Does the GRI’s strategy reach international standards? 5. To what extent the GRI’s implementation plan will allow the GRI to develop: (i) technology transfer and commercialization (possibly at an international level); (ii) human resources; (iii) infrastructures; and (iv) cooperation with national and international stakeholders? 6. Please, describe the investment plan, indicating how: (i) revenues will be generated and the relationship between funds available, including FIRST support, revenues and costs; and (ii) how the new equipment purchased with FIRST support will be used. 7. Describe the expected financial achievements and improvements, indicating: (i) the expected volume of funding in a span of 5 years after the start of FIRST support; and (ii) if the GRI completely finances itself. 8. Describe the expected scientific and technological achievements and improvements, indicating the number of international publications, and /or of patents, and/or of other relevant outputs expected in 5 years after the start of FIRST support 9. Do you authorize the FIRST Project to release the information about your application except for financial information and conversion plan? Yes No 10. Is the project in compliance with the Environmental and Social Safeguards (demonstrate the compliance with environmental and social standards of FIRST project). 11. Please describe your financial management and procurement capacity and experience (specify experience in procurement under projects financed by international donors, especially WB and ADB). 12. Other relevant information, if any. SECTION C PROPOSAL IMPLEMENTATION PLAN "GRI STI Grants" Note: Applicants should carefully study the Instructions on preparing GRI STI Proposals before filling in this form. Description of activity Start Date End Date Outputs SECTION D ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST "GRI STI Grants" For the purpose of screening for determining the eligibility of proposals, applicants need to provide true and sufficient information as required in the table below. PMU-FIRST will review and evaluate the proposal, by indicating "Yes" to any safeguard policy other than Environment Assessment – OP 4.01, the proposal will be considered as not eligible (based on the approved Environmental and Social Management Framework of the FIRST project). Safeguard Policy Identification of Possible Safeguard issue(s) Please check on box Environmental Does the project have the potential for adverse environmental or Assessment social risks and impacts in its area of influence? No Yes Natural Habitats The Bank does not finance projects that degrade or convert critical habitats (protected areas or sites important for biodiversity). Do the project activities have the potential to cause significant conversion (loss) or degradation of non-critical natural habitats? (The loss can occur either directly e.g. construction activities) or indirectly (through human activities induced by the project) No Yes Pest management Are any pesticides or procurement of pesticide equipment being financed by the project No Yes If Yes, indicate here the potential severity for the impact and proposed project design elements that will help prevent potential adverse impacts Provide your response here, if applicable Does the project introduce new pest management practices or expand or alter existing pest management practices? No Are there other project activates that may lead to substantially increased pesticide use? No Does the project include the manufacture or disposal of environmentally significant quantities of pest control products? No Does the project have the potential to have an impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests? No Yes Does the project aim to bring about changes in the management, protection, or utilization of natural forests or plantations? No Yes Safety of Dams Are any project activities related to the construction for a largescale dam? No Yes Cultural property Would project activities likely adversely affect physical cultural resources? No Yes Forests These could be temples, burial sites, or archeological sites. Projects in international Waterways Are project activities being conducted in international waterway No Yes Involuntary Resettlement Is there any possibility that project activities would displace persons involuntarily? Please note that loss of land or other assets caused by: (i) relocation or loss of shelter; (ii) loss access to assets in protected areas resulting in adverse impacts on No Yes livelihoods; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. If Land is acquired and no person is involuntarily displaced, the policy is not triggered. Indigenous peoples (ethnic minorities) Would the project likely have negative impacts on ethnic minorities or have the potential to bring positive benefits to ethnic minorities? No Yes SECTION E CURRICULUM VITAE OF KEY PERSONNEL "GRI STI GRANTS" Note: - Applicants should study the Instructions for preparing GRI STI Proposals before filling in this form. - Information provided in this form may be forwarded to a third party for the purposes of evaluation. I. Personal Information 1. Full name 2. Date of birth 3. Gender 4. Nationality 5. Languages and proficiency II. Education and Qualifications 1. Educational background 2. Training courses, other skills III. Employment records and working experience IV. Certification and signature I, the undersigned, certify to the best of my knowledge that: i. This CV correctly describes my qualifications and experience; ii. I am not prohibited from participating in any projects of the World Bank; Expert's signature Date SECTION F COST ESTIMATES FOR NON-PROCUREMENT EXPENDITURES "GRI STI Grants" Applicants will be requested to make non-procurement cost estimation in the following form covering the activities of: i) organizing conferences, workshops, and events locally, ii) costs for study/research activities, iii) costs of overseas survey trips for local experts, iv) other related eligible expenditures. No. 1 Name of activities and expenditure categories Organizing local conferences, workshops, and events [List the conferences, workshops, and events to be organized locally, if any]1 Venue rental Accommodation Travelling expenses Per diem Refreshment Stationery Printing and photocopying 1 Cost norms as per regulations of the Ministry of Finance Unit Quant. Unit Price No. of days Amount Note Other costs Total Costs for study/research activities2 2 Airfares, transportation to destination Transportation to and from airport Daily transportation Phone, telex, fax, Internet expenses Baggage, document fees Insurance fees Accommodation expenses Per diem Visa fees Cost contingency Other costs Total 3 Costs of overseas survey trips for local experts3 Airfares 2 3 Costs based on actual situations and market price Cost norms as per regulations of the Ministry of Finance Transportation to and from airport Daily transportation Phone, telex, fax, Internet expenses Baggage, document fees Insurance fees Accommodation expenses Per diem Visa fees Cost contingency Other costs Total 4 Other associated eligible costs [photocopying and printing, rental of transportation vehicles, local travelling expenses, per diem, stationery....]4 Total Note: 1) The above estimated costs cover all associated fees and taxes payable by the applicant to perform the tasks. 2) The above items are general suggestions only, applicants may add more details to the items in the cost estimate table if necessary and eligible. 4 Cost norms as per regulations of the Ministry of Finance SECTION G ESTIMATES FOR PROCUREMENT EXPENDITURES "GRI STI Grants" Applicants will be requested to prepare cost estimation for activities covered by procurement budget, including: procurement of consultants and/or equipment for research: No. Procurement of consulting services 1 Name of activity for employment of individual consultants [providing consulting services for technical or professional fields as requested by the Applicant] 2 Name of activity for employment of consulting firm [providing consulting services for technical or professional fields as requested by the Applicant] 3 Purchase of intellectual property including licenses… Remuneration for consultants Other costs Tax Amount No. Procurement of equipment for research 1 Name of equipment to be procured for research 2 Costs of minor rehabilitation/repair of existing buildings 3 Related services Features, technical specifications Origin Total proposed funding amount (compiled from Section F and Section G): Unit Quant. Unit Price Amount Note SECTION H PROCUREMENT PLAN (To be filled out after the approval of the selection) "GRI STI Grants" Based on the cost estimates for procurement and non-procurement activities in Section F and G, applicants will prepare a procurement plan in the following template: No. I Description Consulting Services Package 1 Package n II Goods Package 1 Package n III Construction Activities (minor rehabilitation/repair) Package 1 Package n Estimated costs incl. VAT (USD) Package Funding No. Source Selection methods (QCBS, LCS, CQS, shopping etc.) Type of contract WB Procurement Contract review Procurement ending and duration (prior starting contract (month) or post) signing Note SECTION I GRANT AGREEMENT "GRI STI GRANTS" Date_______________________ Grant Agreement No.: ------ /FIRST/GRI/GRANT Proposal Title: _________ [Title of Proposal] Under the project: FIRST (Credit No. 5259-VN) - Pursuant to the Financing Agreement dated July 25, 2013 (Credit No. 5257-VN) between the Government of Vietnam and the International Development Association ("Association") for the financing of the "Fostering Innovation through Research, Science and Technology (FIRST)" Project. - Pursuant to Decision No. [reference number and date of the Decision] of the Ministry of Science and Technology for approval of [Name of the winning applicant] for implementation of the Proposal; - Pursuant to the World Bank's No Objection Letter to the Ministry of Science and Technology's selection of [Name of the winning applicant] for award of the GRI STI Grants; - Pursuant to the provisions of the "Project Implementation Manual" ("PIM") This Grant Agreement is entered by and between: Project Management Unit of FIRST Project (Benefactor) Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Grant Awardee Represented by: Title: Address: Telephone: ____ (Beneficiary) [Name of the winning GRI] Fax: E-mail: Bank account: Tax code: Now therefore in consideration of the mutual covenants between PMU-FIRST and the Beneficiary [Name of applicant], the parties hereby agree as per the terms and conditions detailed hereunder for the GRI STI Proposal entitled [Name of the winning proposal]. Article 1. Financing PMU-FIRST agrees to extend to the Beneficiary a grant for implementation of the Proposal [Name of the winning Proposal]. Contents of the Beneficiary's Proposal constitute Appendix 1 attached to this Agreement. Total grant amount: Implementation period: Article 2. Beneficiary's obligations Section 1. Proposal implementation The Beneficiary is responsible for implementation of the Proposal in adherence with the contents of the Proposal (see details in the attached Appendix 1) and in accordance with the provisions of the Financing Agreement dated July 25, 2013 (Credit No.5257-VN) between the Government of Vietnam and the International Development Association, and the "Anti-Corruption Guidelines" meaning "Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants" dated October 15, 2006 and Revised in January, 2011. The Beneficiary shall also commit to the implementation of the Proposal in compliance with the arrangements and guidelines in the "Project Implementation Manual" of FIRST Project as approved by MOST on [Decision reference number and date of MOST's approval] including compliance with safeguard standards under the "Project Environmental and Social Framework" as approved by MOST on April 1, 2013 under Decision No. 683/QD-BKHCN. Each organization and individual participating in the Proposal shall be responsible for fulfilling the tasks and duties as assigned under the Proposal. The Beneficiary is responsible for: (i) appointment (and training) of qualified financial management staff; (ii) adoption of the Project Implementation Manual; (iii) having an acceptable accounting system (including the use of FIRST Project's accounting software). Section 2. Grant amount and financial administering of the grant funds The Benefactor shall extend to the Beneficiary a grant in an amount equal to [total grant amount] for implementation of the Proposal. The Beneficiary shall maintain records and accounts adequate to reflect, in accordance with sound accounting practices, the operations, resources and expenditures incurred in the implementation of its Proposal. The GRI STI Grant shall be released in several tranches upon the beneficiary GRI's achieving implementation milestones set forth in the GRI Conversion Plan. The Benefactor may pay directly to the third parties to supply the goods or services up to the amount equivalent to the percentage funded by the FIRST project. The Beneficiary shall submit financial reports to the Benefactor for each reporting period as specified in PIM (see the Financial Management chapter). Upon the Benefactor's or the Association's request, the Beneficiary shall have its records and accounts audited by FIRST project's independent auditor in accordance with appropriate auditing principles consistently applied. Section 3. Procurement Procurement activities shall comply with World Bank's provisions and procedures in the "Guidelines on Procurement of Goods, Works and Non-consulting Services under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Procurement Guidelines) and "Guidelines on Selection and Employment of Consultants under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Consultant Guidelines), and the guidelines in the Project Implementation Manual (PIM). Section 4. Reporting and supervision. The Beneficiary shall: (i) establish and/or maintain policies and procedures that would allow the Benefactor and/or the Association to carry out supervision and monitoring activities of the Beneficiary's implementation of the financed Proposal; (ii) prepare and furnish to the Benefactor and/or the Association, all such information that the Benefactor, and/or the Association, shall reasonably request in relation to the Proposal; and (iii) accept random and/or unannounced physical or documentary inspections by the Benefactor and/or the Association. The Beneficiary is required to produce a midterm and a final report to the Benefactor. These reports will include a financial section in the prescribed form to be submitted to the Benefactor. Finally, at least two (2) evaluation visits will be scheduled by the Benefactor throughout the implementation period. Article 3. Right to suspend and terminate the Grant Agreement Section 1. The Benefactor shall have the right to suspend or terminate the right of the beneficiary to use the proceeds of the GRI STI Grant upon the failure of the Beneficiary to perform its obligations under this Grant Agreement. Section 2. In the case of termination or suspension of the right to withdraw the loan proceeds out of the Vietnam designated account under the Financing Agreement for any reasons thereof, this Grant Agreement shall also be terminated or suspended accordingly. Article 4. Modifications of the Grant Agreement During the execution of the Grant Agreement, any modification or revision related to the Proposal shall be agreed by the two parties by written consent. The signed documentation thereof shall be deemed an Addendum to the Grant Agreement. Article 5. Other conditions Section 1: Applicable Law This Agreement shall be governed by the Vietnamese Law and in accordance with the Financing Agreement signed between the Government of Vietnam and the Association. During the execution of this Grant Agreement, any disputes arising out of this Agreement shall be handled and settled by the related parties through negotiations. Any dispute cannot be settled amicably shall be subject to resolution by the Vietnamese Law. Section 2. Effectiveness of the Grant Agreement. This Grant Agreement shall be effective upon signature by both Parties and made into [number] copies of equally legal effect. The Benefactor shall keep [indicate the number] copies and the Beneficiary shall keep [indicate the number] copies. Legal representative of FIRST-PMU Legal representative of Beneficiary [Name, title, sign and stamp] [Name, title, sign and stamp of authorized official] Annex 5-4: RFP of New Enterprise STI Grants THE MINISTRY OF SCIENCE AND TECHNOLOGY PROJECT MANAGEMENT UNIT - "FOSTERING INNOVATION THROUGH SCIENCE, RESEARCH AND TECHNOLOGY" PROJECT ------------------------------------ REQUEST FOR PROPOSALS Instructions, Templates and Forms for Preparing Proposals New Enterprise Science, Technology and Innovation Grants "Fostering Innovation through Research, Science and Technology (FIRST)" Project (Credit No.5257-VN funded by World Bank) Request for Proposals Instructions for Preparation of New Enterprise Science, Technology and Innovation Proposals Enterprises and organizations interested in submission of proposals for "New Enterprise Science, Technology and Innovation Grants" under FIRST project need to follow the instructions provided in the following parts. Part 1. Descriptions of New Enterprise STI Grants under FIRST Project 1. Background The Government of Vietnam (GOV) received funding for the "Fostering Innovation through Research, Science and Technology" (FIRST) project from World Bank under the Financing Agreement signed on July 25, 2013 (Credit No.5257-VN). The Ministry of Science and Technology (MOST) is authorized by GOV to be the line ministry for implementing and providing guidance for the project towards the specific objectives of supporting science and technology (S&T) development and fostering innovation via: (i) designing and piloting new policies to improve the national policy framework for S&T; (ii) capacity building for New Enterprises (New Enterprises) towards further linkages with enterprises and market demands; (iii) promoting innovation in enterprises, and encouraging the development of S&T enterprises. The total project cost financed by WB is US$ 100 million during the implementation period commencing October 22, 2013 through June 30, 2019. MOST has established a Project Management Unit (PMU) - FIRST for coordinating the overall project and implementing its activities. 2. Content and requirements of New Enterprise STI Grants New Enterprise STI Grants belong to Sub-component 2.b.i under FIRST project – Promotion of Innovation Links between Enterprises and Scientific Communities (US$ 10M IDA). 2.1. Eligible applicants "New Enterprise STI Grants" under FIRST project will finance eligible beneficiaries which are established or to be-established technology enterprises with valid registration with the authorities. The eligible applicants as defined above may participate in more than one proposal but presenting different activities. 2.2. Eligible supported activities FIRST project will finance the development and implementation of new-to-the-firm innovative technologies/product ideas/processes in the following sectors: (a) Information Technology and Communications; (b) Bio-technology and Agriculture; (c) Advanced materials; (d) Mechanical manufacturing and Automation. 2.3. Implementation period The implementation period is not to exceed 24 months since the date of signing of New Enterprise STI Grant Agreement and needs to end before the Project Closing Date of June 30, 2019. 2.4. Financing FIRST project will finance a grant amount not exceed seventy percent (70%) of the estimated costs of the approved New Enterprise Proposal, nor the maximum amount equivalent to five hundred thousand Dollars (US$ 500,000). The remaining counterpart funding will be covered by the beneficiary in the form of in kind or in cash contributions. Eligible costs are research costs to develop prototype, or test concept feasibility for new products; consultants or non-consultant services, goods, intellectual property rights, licenses, partnership fees, training and workshops and costs that support technology transfer or introduction/modification of production lines, minor rehabilitation or repair of existing buildings, and eligible incremental costs. During project implementation, the Project will transfer the grant proceeds at the agreed ratio only after the beneficiary enterprise has demonstrated expenditures already made from its own sources of financing. In case within the amount eligible under the project, as required by the beneficiaries, the CPMU will pay directly to the third parties to supply the goods or services up to the amount equivalent to the percentage funded by FIRST project. Enterprise contributions can come from any source other than the Vietnamese Government budget. Applicant enterprises need to ensure that the activities financed under the matching grant portion have not been granted any fund from any other source. Part 2. Instructions for preparing proposals In preparing New Enterprise STI Proposals, applicants need to ensure the compliance with the Project's requirements set forth in Part 1, and complete the application including sufficient information and materials specified below: 1. Proposal application letter Applicant enterprises need to complete the application letter for submission of New Enterprise STI Proposals - FIRST Project using the form in Section A attached to these Instructions. 2. Proposal content Content of New Enterprise STI Proposals needs to incorporate the following information: 2.1. Background - Name of applicant - Proposal title - Proposed field of work - Time frame - Proposed grant amount, in which specify the amount funded by FIRST project and monetary/in-kind contributions of the beneficiary enterprise. 2.2. Detailed description - Objectives and rationale - Activities - Technological innovation and competitiveness of Product - Ability for R&D - Market competitive status - Financial Sustainability - Mass production Capability - Management experience and Capacity - Systemic Impact - Transparency - Environmental and social safeguards Applicant enterprises need to provide information in Section B - Proposal Content attached to these Instructions. The application also includes Section C which is a complete implementation plan including detailed activities and relevant human resources to implement such proposal For environmental and social safeguards issues, applicants need to ensure compliance with the standards set forth in the "Environmental and Social Management Framework" of FIRST Project and complete the safeguard checklist in the attached Section D. 3. Supporting information Applicants will be requested to provide information about participating and implementing organizations/enterprises and individuals using the attached form in Section E including information about enterprises participating in the proposals (including legal status, experience, and financial capacity with supporting documentation for evidence in the last three years). 4. Copyright Applicants for New Enterprise STI Grants need to ensure that any content related to research and development (R&D) activities under the Proposal will not violate intellectual property rights including copyrights, trademarks, patents, utility solutions, industrial design, and so on. Participating organizations/enterprises and individuals will be held liable for any allegation made by a third party. 5. Details of the proposed grant funds Applicants need to prepare cost estimations for the grant funds based on the proposed activities and implementation plan, following the instructions below: 5.1. i) Non-procurement budget (Section F) Costs of organizing local conferences, workshops and events (as per regulations of the Ministry of Finance - MOF) ii) Costs of overseas study/survey/research trips for local experts (as per regulations of MOF) iii) Other relevant eligible expenditures (photocopy and printing of materials, rental of vehicles, local travel costs, per-diem, stationery…) as per regulations of MOF. Note: FIRST Project will not finance remuneration and salaries paid to experts/officials and staff currently employed by the applicant enterprises. The project will not finance activities related to civil works and land acquisition. 5.2. Procurement budget (Section G) Covering the costs for procurement of consulting services, non-consulting services, goods/equipment, purchase of intellectual property including licenses, minor rehabilitation/repair of existing buildings for implementation of the proposal. 6. Procurement plan Applicants notified about the grants awarded to them will be requested to prepare a Procurement Plan (using the form in Section H) based on the proposed cost estimates as described in Section 5.2 above. The procurement plan under the proposal shall comply with the Bank's "Guidelines on Procurement of Goods, Works and Non-consulting Services under IBRD Loan and IDA Credits and Grants by World Bank Borrowers" dated January 2011 (Procurement Guidelines) and "Guidelines on Selection and Employment of Consultants under IBRD Loan and IDA Credits and Grants by World Bank Borrowers" dated January 2011 (Consultant Guidelines) and guidelines of the Project Implementation Manual (PIM). 7. Language of the Proposal Applicants may choose to prepare their proposals in Vietnamese or English. 8. Submission procedures Applicants will be required to complete the online application which will be made available on the project website: www.first-most.vn during the submission period from ________ to _________. It is also required that a hard copy of the full proposal application (including original signature contained in the form of Section A attached to these Instructions) to be sent to FIRST project before _________ to the address below: Project Management Unit - "Fostering Innovation through Research, Science and Technology (FIRST)" Project – The Ministry of Science and Technology Address: 15th Floor – Thang Long Tower, 98A Nguy Nhu Kon Tum, Thanh Xuan District, Hanoi - Vietnam. Tel: 04-62864961 - Fax: 04-62864956 Project Director: Trần Quốc Thắng - Email: [email protected] Project Office E-mail: [email protected] (Label the envelope: "New Enterprise STI Grants" – FIRST Project) 9. Costs for preparing proposals All costs associated with preparation of proposals will be covered by applicants. 10. Exchange of information during preparation Applicant enterprises/organizations and individuals may contact FIRST project via: Fax: 04-62864956 or email ([email protected], [email protected]) to have support in preparation of the proposals. Part 3. Evaluation and selection of proposals 1. Technical Evaluation Committee The Ministry of Science and Technology will establish the Technical Evaluation Committee-TEC- consisting of prestigious and experienced experts in related fields (science & technology, finance, commercialization, and procurement) for evaluation and selection of "New Enterprises STI Proposals" for award of grants. Based on the recommendations of the Evaluation Committee, MOST will review and approve the winning proposals for New Enterprise STI Grants. 2. Selection criteria 2.1. Evaluation of eligibility All proposals will be checked against eligibility criteria including the compliance of the proposal with the environmental and social standards set forth in the Environmental and Social Management Framework. 2.2. Evaluation of technical proposals Proposals will be evaluated using scoring with the maximum score of 90 points. The score will be assigned as follows: Criteria Description Total Score Min 0 – Max 90 Technological innovation and Novelty, technological competitiveness of Product: differentiation including design excellence, competitive advantage with the competing products and technology spill-over effect Min 0 - Max 10 Ability for R&D Institutional capacity of the enterprise for R&D Min 0 - Max 10 Market Competitive Status Analysis of the current market of the firm, its size, potential, constraints such as laws and regulations and encouraging factors. Min 0 - Max 10 Financial Sustainability Financial analysis of the enterprise, profit forecasts, availability of counterpart Min 0 - Max 10 Mass Production Capability Production capability, availability of materials and parts and expandability Min 0 - Max 10 Management Experience and Management’s experience in Capacity the same industry, managerial capacity, Education and experience of the management Min 0 - Max 10 Systemic Impact Min 0 - Max 10 Percentage of the enterprise counterpart fund Transparency Extent to which the project will contribute to the development of STI in Vietnam Proposal with the percentage of the enterprise counterpart Min 0 – Max 10 fund exceeding 30% Authorization for disclosure Not authorized: 0 of the proposal except for financial details Authorized: 10 3. Evaluation and ranking The TEC will review and evaluate the submitted proposals based on the above said criteria and arrive to a ranking of the evaluated proposals. The TEC will generate a ranking of the proposals. MOST will determine the final award based on the recommendation of the TEC. Any deviation of MOST’s choice from the rank order established by the Evaluation Committee will need to be communicated to the Association in writing, including the entire application package of the relevant cases. 4. Exchange of information during evaluation During the evaluation of proposals, at the Evaluation Committee's request, PMU-FIRST may require the applicants to supply further information for clarification of the proposals regarding technical contents, proposed financed costs, and procurement plan. Information may be exchanged via written correspondence, email, or in-person communication with applicants at PMU-FIRST Office. 5. Disclosure of selection results Within two weeks from the date of signing of the Grant Agreements, CPMU-FIRST will announce the results on FIRST website: www.first-most.vn. Information includes: List of submitted proposals (including names of applicants and short description of proposals) List of winning proposals (including titles of winning proposals and grant amounts). Part 4. Grant agreement New Enterprise STI Grant Agreements will be signed with the winning applicants upon MOST's approval. The form of this Agreement is included in Section I attached to these Instructions and the applicants need to review carefully and accept the Terms and Conditions before submitting their Proposals. Part 5. Application Forms Section A: Proposal Application Letter Section B: Proposal Content Section C: Proposal Implementation Plan Section D: Environmental and Social Safeguards Section E: Information about the Applicant Enterprises/Organizations Section F: Cost Estimates for Non-Procurement Budget Section G: Cost Estimates for Procurement Budget Section H: Procurement Plan Section I: Grant Agreement SECTION A PROPOSAL APPLICATION LETTER "New Enterprise Science, Technology and Innovation Grants" Date: ________________ To: Project Management Unit-FIRST Project – Ministry of Science and Technology Having examined the Invitation Letter and Instructions for submission of the "New Enterprise STI Proposals" under FIRST Project, we would like to submit with this letter our proposal to FIRST Project: - Proposal title: - Proposed grant amount: - Percentage of our contributions: - Percentage of proposed funding: Should our proposal be selected, we are committed to implementing the proposal in adherence to the proposed contents and in compliance with the provisions set forth under the Grant Agreement. We, the undersigned, certify that to the best of our knowledge and belief, all information contained in the proposal is true and correct. Applicant Representative Name, title, signature, and stamp of the authorized person SECTION B PROPOSAL CONTENT "New Enterprise STI Grants" Note: - Applicants should carefully study the Instructions for preparing New Enterprise STI Proposals prior to fulfilling this form. - The information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Proposal Background 1. Name of applicant enterprise (Including basic information about legal status, fields of work, number of years of experience. Detailed information will be provided using Section E below) 2. Title of the proposed project: 3. Sector Information Technology and Communications. Bio-technology and Agriculture. Advanced materials Mechanical manufacturing and Automation. 4. Brief description of the Proposal (including objectives, outputs, methodologies/approaches and sustainability of the Proposal; not to exceed 1500 characters) 5. Time frame: From …………….. (month/year) To ………………. (month/year) 6. Total proposed grant amount: In figures In words Of which: - Percentage of the amount funded by FIRST ___% equivalent to US$... - Counterpart funds of the beneficiary: a) Percentage of monetary contributions: ___% equivalent to US$...... b) And/or in-kind contributions: II. Detailed Description 1. What are the objectives and outputs of the Project? (As the outputs of the project, what will be generated as results when the project is completed/papers, intellectual property, entrepreneurial ventures, etc.; maximum of 300 characters) 2. What is the rationale of the Project? (Why is this project needed? identify the project beneficiaries, identify the contributions to the development of science, technology and innovation in Vietnam) 3. What are the main activities and time frame of this project? 4. What is innovative about this project in terms of technology and competitiveness of product? (Demonstrate the novelty, technological differentiation including design excellence, competitive advantage with the competing products and technology spill-over effect) 5. What is your institutional capacity for R&D? 6. How is your current market competitive status, including your market size, potential and regulatory constraints on your enterprise? 7. How is your financial performance? (Please provide information about your financial status and the committed counterpart resources, and the profit forecasts. Details may be provided in Section E – Information about Applicant Enterprise) 8. How is your production capability, availability of materials and parts and expandability? 9. Please provide information on your management experience and capacity (i.e. management’s experience in the same industry, managerial capacity, education and experience of the management) 10. What will your project contribute to the development of science, technology and innovation in Vietnam? (Lower the cost of adoption of new technologies by others in the industry, movement up the value chain) 11. Is the project in compliance with the Environmental and Social Safeguards (briefly demonstrate the compliance with environmental and social safeguards provisions of FIRST project) 12. Do you authorize the FIRST Project to release the information (except for financial information) about your application? Yes No 13. Other relevant information, if any SECTION C PROPOSAL IMPLEMENTATION PLAN "New Enterprise STI Grants" Note: Applicants should carefully study the Instructions on preparing New Enterprise STI Proposals before filling in this form. Description of activity Start Date End Date Beneficiary Outputs SECTION D ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST "New Enterprise STI Grants" For the purpose of screening for determining the eligibility of proposals, applicants need to provide true and sufficient information as required in the table below. PMU-FIRST will review and evaluate the proposal, by indicating "Yes" to any safeguard policy other than Environment Assessment – OP 4.01, the proposal will be considered as not eligible (based on the approved Environmental and Social Management Framework of the FIRST project). Safeguard Policy Identification of Possible Safeguard issue(s) Please check on box Environmental Does the project have the potential for adverse environmental or Assessment social risks and impacts in its area of influence? No Yes Natural Habitats The Bank does not finance projects that degrade or convert critical habitats (protected areas or sites important for biodiversity). Do the project activities have the potential to cause significant conversion (loss) or degradation of non-critical natural habitats? (The loss can occur either directly e.g. construction activities) or indirectly (through human activities induced by the project) No Yes Pest management Are any pesticides or procurement of pesticide equipment being financed by the project No Yes If Yes, indicate here the potential severity for the impact and proposed project design elements that will help prevent potential adverse impacts Provide your response here, if applicable Does the project introduce new pest management practices or expand or alter existing pest management practices? No Are there other project activates that may lead to substantially increased pesticide use? No Does the project include the manufacture or disposal of environmentally significant quantities of pest control products? No Does the project have the potential to have an impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests? No Yes Does the project aim to bring about changes in the management, protection, or utilization of natural forests or plantations? No Yes Safety of Dams Are any project activities related to the construction for a largescale dam? No Yes Cultural property Would project activities likely adversely affect physical cultural resources? No Yes Forests These could be temples, burial sites, or archeological sites. Projects in international Waterways Are project activities being conducted in international waterway No Yes Involuntary Resettlement Is there any possibility that project activities would displace persons involuntarily? Please note that loss of land or other assets caused by: (i) relocation or loss of shelter; (ii) loss access to assets in protected areas resulting in adverse impacts on livelihoods; (iii) loss No Yes of income sources or means of livelihood, whether or not the affected people must move to another location. If Land is acquired and no person is involuntarily displaced, the policy is not triggered. Indigenous peoples (ethnic minorities) Would the project likely have negative impacts on ethnic minorities or have the potential to bring positive benefits to ethnic minorities? No Yes SECTION E INFORMATION ABOUT PARTICIPATING ORGANIZATION/ENTERPRISES "New Enterprise STI Grants" Note: - Applicants should carefully study the Instructions on preparing New Enterprise STI Proposals before filling in this form. - Information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Background Information 1. Type of organization Private enterprise Joint-stock company Science and technology enterprise 2. Registered name 3. Transaction name (if any) 4. Name of legal representative 5. Contact address 6. Date of issuance of business registration/establishment decision 7. Functions and fields of work II. Financial capacity (providing information, if available, about financial capacity and business performance in the last year) No. Items 1 Total asset 2 Total debt 3 Revenue 4 Earning before tax 5 Earning after tax 20.. 20.. 20.. SECTION F COST ESTIMATES FOR NON-PROCUREMENT EXPENDITURES "New Enterprise STI Grants" Applicants need to estimate non-procurement costs in the following form covering the activities of: i) organizing conferences, workshops, and events locally, ii) costs of overseas business trips for local experts, iii) other related eligible expenditures No. Name of activities and expenditure categories Organizing local conferences, workshops, and events [List 1 the conferences, workshops, and events to be organized locally, if any]1 Venue rental Accommodation Travelling expenses Per diem Refreshment Stationery Printing, photocopying of documents Other costs Total 1 Cost norms as per regulations of the Ministry of Finance Unit Quant. Unit No. of Price days Amount Note 2 Costs of overseas survey trips for local experts2 Airfares, transportation to destination Transportation to and from airport Daily transportation Phone, telex, fax, Internet expenses Baggage, document fees Insurance fees Accommodation expenses Per diem Visa fees Cost contingency Other costs Total Other associated eligible costs [photocopy, printing of 3 materials, rental of transportation vehicles, local travelling expenses, per diem, stationery....]3 Total Note: 1) The above estimated costs cover all associated fees and taxes payable by the applicant to perform the tasks. 2) The above items are general suggestions only, applicants may add more details to the items in the cost estimate table if necessary and eligible. 2 3 Cost norms as per regulations of the Ministry of Finance Cost norms as per regulations of the Ministry of Finance SECTION G ESTIMATES FOR PROCUREMENT EXPENDITURES "New Enterprise STI Grants" Applicants need to prepare cost estimations for activities covered by procurement budget, including: procurement of consultants and/or equipment for research: Table 1: Consulting Services No. Procurement of consulting services 1 Name of activity for employment of individual consultants [providing consulting services for technical or professional fields as requested by the Applicant] 2 Name of activity for employment of consulting firm [providing consulting services for technical or professional fields as requested by the Applicant] 3 Purchase of intellectual property including licenses… Remuneration for consultants Other costs Tax Amount Table 2: Procurement of Goods and Non-consulting Services No. Procurement of equipment for research 1 Names of equipment to be procured for research 2 Related services 3 Costs of minor rehabilitation/repair of existing buildings Features, technical specifications Origin Total proposed funding amount (compiled from Section F and Section G): Unit Quant. Unit Price Amount Note SECTION H PROCUREMENT PLAN (To be filled out after the approval of the selection) "New Enterprise STI Grants" Based on the cost estimates for procurement and non-procurement activities in Section F and Section G, applicants will be requested to prepare a procurement plan in the following template: No. I Description Consulting Services Package 1 Package n II Goods Package 1 Package n III Construction Activities (minor rehabilitation/repair) Package 1 Package n Estimated costs incl. VAT (USD) Package No. Funding Source Selection methods (QCBS, LCS, CQS, shopping etc.) WB Procurement Contract Type of review Procurement ending and duration contract (prior starting contract (month) or post) signing Note SECTION I GRANT AGREEMENT "New Enterprise STI Grants" Date_______________________ Grant Agreement No.: ------ /FIRST/NE/GRANT Proposal Title: _________ [Title of Proposal] Under the project: FIRST (Credit No. 5257-VN) - Pursuant to the Financing Agreement dated July 25, 2013 (Credit No. 5257-VN) between the Government of Vietnam and the International Development Association ("Association") for the financing of the "Fostering Innovation through Research, Science and Technology (FIRST)" Project. - Pursuant to Decision No. [reference number and date of the Decision] of the Ministry of Science and Technology for approval of [Name of the winning applicant] for implementation of the Proposal; - Pursuant to the provisions of the "Project Implementation Manual" ("PIM") This Grant Agreement is entered by and between: Project Management Unit of FIRST Project (Benefactor) Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Grant Awardee (Beneficiary) [Names of members] Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Now therefore in consideration of the mutual covenants between PMU-FIRST and the Beneficiary [Name of applicant], the parties hereby agree as per the terms and conditions detailed hereunder for the New Enterprise STI Proposal entitled [Name of the winning proposal]: Article 1. Financing PMU-FIRST agrees to extend to the Beneficiary a grant for implementation of the Proposal [Name of the winning Proposal]. Contents of the Beneficiary's Proposal constitute Appendix 1 attached to this Agreement. Total grant amount: Implementation period: Article 2. Beneficiary's obligations Section 1. Proposal implementation The Beneficiary is responsible for implementation of the Proposal in adherence with the contents of the Proposal (see details in the attached Appendix 1) and in accordance with the provisions of the Financing Agreement dated July 25, 2013 (Credit No.5257-VN) between the Government of Vietnam and the International Development Association, and the "Anti-Corruption Guidelines" meaning "Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants" dated October 15, 2006 and Revised in January, 2011. The Beneficiary shall also commit to the implementation of the Proposal in compliance with the arrangements and guidelines in the "Project Implementation Manual" of FIRST Project as approved by MOST on [Decision reference number and date of MOST's approval] including compliance with safeguard standards under the "Project Environmental and Social Framework" as approved by MOST on April 1, 2013 under Decision No. 683/QD-BKHCN. Each organization and individual participating in the Proposal shall be responsible for fulfilling the tasks and duties as assigned under the Proposal. The Beneficiary is responsible for: (i) appointment (and training) of qualified financial management staff; (ii) adoption of the Project Implementation Manual; (iii) having an acceptable accounting systems (including the use of FIRST Project's accounting software). Section 2. Grant amount and financial administering of the grant funds The Benefactor shall extend to the Beneficiary a grant in an amount equal to [total grant amount] for implementation of the Proposal. The Beneficiary shall maintain records and accounts adequate to reflect, in accordance with sound accounting practices, the operations, resources and expenditures incurred in the implementation of its Proposal. The disbursements of the matching grants will occur on a pari passu basis, according to the implementation plan presented in the approved proposal. The Beneficiary shall submit financial reports to the Benefactor for each reporting period as specified in PIM (see Financial Management Manual). Upon the Benefactor's or the Association's request, the Beneficiary shall have its records and accounts audited by FIRST project's independent auditor in accordance with appropriate auditing principles consistently applied. Section 3. Procurement Procurement activities shall comply with World Bank's provisions and procedures in the "Guidelines on Procurement of Goods, Works and Non-consulting Services under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Procurement Guidelines) and "Guidelines on Selection and Employment of Consultants under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Consultant Guidelines), and the guidelines in the Project Implementation Manual (PIM). Section 4. Reporting and supervision. The Beneficiary shall: (i) establish and/or maintain policies and procedures that would allow the Benefactor and/or the Association to carry out supervision and monitoring activities of the Beneficiary's implementation of the financed Proposal; (ii) prepare and furnish to the Benefactor and/or the Association, all such information that the Benefactor, and/or the Association, shall reasonably request in relation to the Proposal; and (iii) accept random and/or unannounced physical or documentary inspections by the Benefactor and/or the Association. In addition the Beneficiary will need to produce a midterm and a final report on the implementation progress of the approved proposal, and will receive at least one evaluation visit from the PMU during the project implementation. The project progress reports will include a financial section that will be submitted to the Benefactor. Article 3. Right to suspend and terminate the Grant Agreement Section 1. The Benefactor shall have the right to suspend or terminate the right of the beneficiary to use the proceeds of the New Enterprise STI Grants upon the failure of the Beneficiary to perform its obligations under the New Enterprise STI Grant Agreement. Section 2. In the case of termination or suspension of the right to withdraw the loan proceeds out of the Vietnam designated account under the Financing Agreement for any reasons thereof, this Grant Agreement shall also be terminated or suspended accordingly. Article 4. Modifications of the Grant Agreement During the execution of the Grant Agreement, any modification or revision related to the Proposal shall be agreed by the two parties by written consent. The signed documentation thereof shall be deemed an Addendum to the Grant Agreement. Article 5. Other conditions Section 1: Applicable Law This Agreement shall be governed by the Vietnamese Law and in accordance with the Financing Agreement signed between the Government of Vietnam and the Association. During the execution of this Grant Agreement, any disputes arising out of this Agreement shall be handled and settled by the related parties through negotiations. Any dispute cannot be settled amicably shall be subject to resolution by the Vietnamese Law. Section 2. Effectiveness of the Grant Agreement. This Grant Agreement shall be effective upon signature by both Parties and made into [number] copies of equally legal effect. The Benefactor shall keep [indicate the number] copies and the Beneficiary shall keep [indicate the number] copies. Legal representative of FIRST-PMU Legal representative of Beneficiary [Name, title, sign and stamp] [Name, title, sign and stamp of authorized person] Annex 5-5: Registration Form of Phase I - Consortia STI Grants THE MINISTRY OF SCIENCE AND TECHNOLOGY PROJECT MANAGEMENT UNIT - "FOSTERING INNOVATION THROUGH SCIENCE, RESEARCH AND TECHNOLOGY" PROJECT ------------------------------------ REGISTRATION FORM Phase I - Research & Innovation Consortium STI Grants "Fostering Innovation through Research, Science and Technology (FIRST)" Project (Credit No.5257-VN funded by World Bank) REGISTRATION FORM For Phase I - Research & Innovation STI Consortium To: Project Management Unit - FIRST Project "Phase I - Research & Innovation Consortium STI Grants" of FIRST project provides support for exploring the possibility of setting up consortia of private enterprises, research institutes and universities for submitting Phase II - Research & Innovation Consortium STI Grant Proposals under FIRST project). Applicants for Phase I Grants are requested to complete the application form following the instructions below: I. Information on the applicants Instruction: Only private enterprises and/or research institutes and/or universities are considered eligible for applying in Phase I - Research & Innovation Consortium STI Grants of FIRST Project. This section requests basic information from the applicant: 1. Name of Applicant: 2. Type of organization Private enterprise Research institute/university 3. Transaction name (if any) 4. Name of legal representative 5. Contact details (including telephone and email) 6. Date of issuance of business registration/establishment decision 7. Main fields of work II. Content of registration Instruction: In this section, applicants are required to provide information relating to the possibility of collaboration and setting up a research and innovation consortium for Phase II - STI Grants using the following form: 1. Sector of Activities Information Technology and Communications Bio-technology and Agriculture Advanced materials. Mechanical manufacturing and Automation Public Goods. 2. Proposed members for participation in Phase II Grants (if applicable) Instruction: A consortium shall be comprised a minimum of five members including at least two privately owned enterprises (formally registered with the relevant authorities as a limited liability or join-stock company) and at least one research institute or university to qualify for submitting proposals in Phase II. The remaining members may be: Vietnamese enterprises, and/or joint venture companies, and/or venture capital funds, and/or research institutes, and/or university. Consortium needs to nominate a member (university/enterprise/research institute/venture capital fund) as the leader of the consortium to be responsible for performing the financial management and procurement duties for the grant funds, if awarded, in the second phase. Applicants need to provide name of each participating enterprise and organization (if defined) 1) Member 1: 2) Member 2: 3) Member 3: 4) Member 4: 5) Member 5: 3. Justification for the financing (brief description of why the requested financing is relevant and what to expect from it, not to exceed 1500 characters) 4. Time frame (up to six months) From …………….. (month/year) To ………………. (month/year) 5. Total proposed grant amount: Instruction: FIRST Project will finance a maximum amount of US$ 50,000 for Phase I Grant. The proceeds of this grant funds will not be directly transferred to the Beneficiary but administered and paid for eligible expenditures of the beneficiaries by the CPMU. In figures In words Proposed activities: Organizing workshops/seminars/conferences Organizing meetings for related parties (including travel expenses) Hiring consultants for market surveys and analysis Hiring consultants for developing consortium feasibility studies 6. Implementation Commitment Instruction: Applicants need to commit themselves to implementation of the proposed activities and compliance with the terms and conditions as set forth in the Memorandum of Agreement if awarded a grant. Name of Applicant (Name, title, signature and stamp by legal representative) SAMPLE MEMORANDUM OF AGREEMENT Phase I – Research & Innovation Consortium STI Grants Date________________________ Memorandum of Agreement No.: ------ /FIRST/CONSORTIUM-I/GRANT Proposal Title: _________ [Proposal title as provided in the application form] Under the Project: FIRST (Credit No. 5257-VN) - Pursuant to the Financing Agreement dated July 25, 2013 (Credit No. 5257-VN) between the Government of Vietnam and the International Development Association ("Association") for the financing of the "Fostering Innovation through Research, Science and Technology (FIRST)" Project - Pursuant to Decision No. [reference number and date of the Decision] of the Ministry of Science and Technology for approval of [Name of the winning applicant] for implementation of the Proposal; - Pursuant to the provisions of the "Project Implementation Manual" ("PIM"); This Memorandum of Agreement is entered by and between: Project Management Unit of FIRST Project (Benefactor) Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Grant Awardee (Beneficiary) Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Now therefore in consideration of the mutual covenants between PMU-FIRST and the Beneficiary [Name of applicant], the parties hereby agree as per the terms and conditions detailed hereunder for the Phase I – Research & Innovation Consortium STI Proposal entitled [Name of the winning proposal]. Article 1. Financing: CPMU-FIRST agrees to extend to the Beneficiary a grant for implementation of the Phase I - Research & Innovation Consortium Grant. Total grant amount: Implementation period: Article 2. Beneficiary's obligations Section 1. Proposal implementation The Beneficiary is responsible for implementation of the Proposal in adherence with the contents of the Proposal (see details in the Appendix 1 attached to this Memorandum) and in accordance with the provisions of the Financing Agreement dated July 25, 2013 (Credit No.5257-VN) between the Government of Vietnam and the International Development Association, and the "Anti-Corruption Guidelines" meaning "Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants" dated October 15, 2006 and Revised in January, 2011. Section 2. Grant amount and financial administering of the grant funds The Benefactor shall extend to the Beneficiary a grant in an amount equal to [total grant amount] for implementation of the Proposal. The proceeds of this grant funds shall not be transferred directly to the Beneficiary but administered and paid by CPMU for eligible expenditures of the Beneficiary as proposed in the application form. Section 3. Reporting and supervision. Reporting on proposal implementation progress: the Beneficiary is responsible for monitoring, evaluating and preparing quarterly reports on implementation progress for submission to FIRST project not later than 15 days from the Quarter end. If the Proposal has the closing date prior to the deadline for submission of Quarterly reports, the Beneficiary shall submit a Project Closure Report to the Benefactor within 15 days from the closing date of the Proposal. Article 3. Right to suspend and terminate the Grant Agreement Section 1. The Benefactor shall have the right to suspend or terminate the right of the beneficiary to use the proceeds of the Phase I – Research & Innovation Consortium STI Grant upon the failure of the Beneficiary to perform its obligations under this Grant Agreement Section 2. In the case of termination or suspension of the right to withdraw the loan proceeds out of the Vietnam designated account under the Financing Agreement for any reasons thereof, this Grant Agreement shall also be terminated or suspended accordingly Article 4. Modifications of the Grant Agreement During the execution of the Grant Agreement, any modification or revision related to the Proposal shall be agreed by the two parties by written consent. The signed documentation thereof shall be deemed an Addendum to the Grant Agreement. Article 5. Other conditions Section 1: Applicable Law This Agreement shall be governed by the Vietnamese Law and in accordance with the Financing Agreement signed between the Government of Vietnam and the Association. During the execution of this Grant Agreement, any disputes arising out of this Agreement shall be handled and settled by the related parties through negotiations. Any dispute cannot be settled amicably shall be subject to resolution by the Vietnamese Law. Section 2. Effectiveness of the Grant Agreement. This Grant Agreement shall be effective upon signature by both Parties and made into [number] copies of equally legal effect. The Benefactor shall keep [indicate the number] copies and the Beneficiary shall keep [indicate the number] copies. Legal representative of FIRST-PMU Legal representative of Beneficiary [Name, title, sign and stamp] [Name, title, sign and stamp of authorized person of participating enterprises/organizations] Annex 5-6: RFP of Phase II – Research & Innovation Consortium STI Grants THE MINISTRY OF SCIENCE AND TECHNOLOGY PROJECT MANAGEMENT UNIT - "FOSTERING INNOVATION THROUGH SCIENCE, RESEARCH AND TECHNOLOGY" PROJECT ------------------------------------ REQUEST FOR PROPOSALS Instructions, Templates and Forms for Preparing Proposals Phase II - Research & Innovation Consortium STI Grants "Fostering Innovation through Research, Science and Technology (FIRST)" Project (Credit No.5257-VN funded by World Bank) Request for Proposals Instructions for Preparation of Phase II - Research & Innovation Consortium STI Proposals Organizations interested in submission of proposals for "Phase II - Research & Innovation Consortium STI Grants" under FIRST project need to follow the instructions and requirements provided in the following parts. Part 1. Descriptions of Phase II - Research & Innovation Consortium STI Grants under FIRST Project 1. Background The Government of Vietnam (GOV) received funding for the "Fostering Innovation through Research, Science and Technology" (FIRST) project from World Bank under the Financing Agreement signed on July 25, 2013 (Credit No.5257-VN). The Ministry of Science and Technology (MOST) is authorized by GOV to be the line ministry for implementing and providing guidance for the project towards the specific objectives of supporting science and technology (S&T) development and fostering innovation via: (i) designing and piloting new policies to improve the national policy framework for S&T; (ii) capacity building for New Enterprises (New Enterprises) towards further linkages with enterprises and market demands; (iii) promoting innovation in enterprises, and encouraging the development of S&T enterprises. The total project cost financed by WB is US$ 100 million during the implementation period commencing October 22, 2013 through June 30, 2019. MOST has established a Project Management Unit (PMU) - FIRST for coordinating the overall project and implementing its activities. 2. Content and requirements of Phase II - Research & Innovation Consortium STI Grants Phase II – Research & Innovation Consortium STI Grants under Sub-component 2.b (ii) of FIRST project seek to provide support for the consortia made up of private enterprises, research institutes and universities for implementation of their projects based on the research of science and technology and innovative ideas. Through these Grants, the Project encourages the involvement and linkage between private enterprises and research institutes/universities to promote research collaboration and develop market-oriented S&T ideas. 2.1. Eligible applicants Phase II – Research & Innovation Consortium STI Grants will finance beneficiary consortia meeting the following requirements: i) be comprised a minimum of five members including at least two privately owned enterprises (formally registered with the relevant authorities as a limited liability or join-stock company) and at least one research institute or university. The remaining members may be: enterprises, and/or joint-venture companies, and/or venture capital funds, and/or research institutes, and/or universities. ii) Consortium needs to nominate a member (university/enterprise/research institute) as the leader of the consortium to be responsible for performing the financial management and procurement duties, and commit to: (i) appointing (and training) a qualified financial management staff; (ii) adopting the Project Implementation Manual (PIM); (iii) having an acceptable accounting system (encouraging the use of FIRST project's accounting software). iii) The leading member has to be Vietnamese. The eligible applicants as defined above may participate in more than one proposal but presenting different activities. 2.2. Supported sectors FIRST project will finance proposals whose fields of work belong to the following sectors: (a) Information Technology and Communications; (b) Bio-technology and Agriculture; (c) Advanced materials; (d) Mechanical manufacturing and Automation; and (e) Public goods. The proposed scope of activities should fall within the following categories: - Design and testing of innovative products, processes and technologies - And/or development of innovation products, processes and technologies - And/or the implementation of entrepreneurship, design and knowledge transfer courses benefiting of the inter-institutional synergies and comparative advantages/varied experiences of the members of the consortia. 2.3. Implementation period The implementation period is not to exceed 36 months since the date of signing of Phase II – Research & Innovation Consortium STI Agreement and needs to end before the Project Closing Date of June 30, 2019. 2.4. Grant ceiling FIRST project will provide funding not to exceed fifty percent (50%) of the estimated costs of the approved Consortia Project Proposal, nor the maximum amount equivalent to three hundred thousand dollars (USD300,000) per member in the consortia, provided that no individual Research & Innovation Consortium STI Grant surpasses the ceiling amount of three million Dollar (USD3,000,000). The foregoing amounts shall not be deemed an entitlement to any individual member of the consortium but assigned to the consortium as a whole. Consortia may contribute their counterpart resource whether in cash or in kind. Financing will be used for consulting services, non-consulting services and goods, research equipment, purchase of intellectual property including licenses, training, conferences/workshops, and minor rehabilitation or repair of existing buildings, and eligible incremental costs (Use of funds for construction of civil works or for acquisition of land is not permitted). During project implementation, the Project will transfer the grant proceeds as presented in the proposal only after the beneficiary has demonstrated expenditures already made from its own sources of financing. Within the amount eligible under the project, and as required by the beneficiaries, the CPMU may pay directly to the third parties to supply the goods or services up to the amount equivalent to the percentage funded by the FIRST project. Part 2. Instructions for preparing proposals In preparing proposals, applicants need to ensure the compliance with the Project's requirements set forth in Part 1, and complete the application including sufficient information and materials specified below: 1. Proposal application letter Applicants need to include an application letter for submission of Phase II – Research & Innovation Consortium STI Proposals - FIRST Project using the form in Section A attached to these Instructions. 2. Proposal content Content of a proposal submitted for the Phase II - Research & Innovation Consortium STI Grants will incorporate the following information: 2.1. Background - Proposal title - Sector - Time frame - Proposed grant amount, in which specify the amount funded by FIRST project and in-kind/cash counterpart contributions of the applicant. - Name of participating consortium members (including name of the member appointed for procurement and financial management duties) 2.2. Detailed description - Objectives - Main activities - Ability for R&D - Market competitive product/process/technology - Objective of the consortium - Qualification of the Leading Member - Membership Rules - Clarity - Transparency - Environmental and social safeguards Applicants need to provide information using Section B - Proposal Content attached to these Instructions. The application also includes Section C which is a complete implementation plan including detailed activities and relevant human resources to implement such proposal For environmental and social safeguards issues, applicants need to ensure compliance with the standards set forth in the "Environmental and Social Management Framework" of FIRST Project and complete the safeguard checklist in the attached Section D. 3. Supporting information Applicants will be requested to provide information about participating and implementing organizations and individuals using the attached forms as instructed below: - Information about consortium members (research institutes/enterprises/universities) participating in the proposal using Section F. - Completing Section G – Consortium Agreement between participating organizations and individuals of the consortia, in which specify responsibilities assigned to each participating organization/individual, the member nominated to be responsible for procurement and financial management duties, and information about copyright and intellectual property. - Curriculum Vitae (CVs) of participating experts/individuals using Section H – CV Form (with demonstration of experience in similar assignments, and other research outputs, achievements, and awards, if any). 4. Copyright Applicants for Phase II - Research & Innovation Consortium STI Grants need to ensure that: i) Any content related to research and development (R&D) activities under the Proposal will not violate intellectual property rights including copyrights, trademarks, patents, utility solutions, industrial design, and so on. Participating organizations and individuals will be held liable for any allegation made by a third party. ii) Applicants need to describe clearly under the Consortium Agreement (Section G) the specific arrangements on ownership, distribution, exploitation and takeover of products/outputs (if any) to be generated from the implementation of the proposal (including intellectual property rights such as copyrights, trademarks, patents, utility solutions, industrial design…) 5. Details of the proposed grant amount Financing will be used for consulting services, non-consulting services and goods, research equipment, purchase of intellectual property including licenses, training, conferences/workshops, and minor rehabilitation or repair of existing buildings, and eligible incremental costs (Use of funds for construction of civil works or for acquisition of land is not permitted under FIRST project). Applicants need to prepare cost estimations for the grant funds based on the proposed activities and implementation plan, following the instructions below: 5.1. i) Non-procurement budget (Section I) Costs of organizing local conferences, workshops and events (as per regulations of the Ministry of Finance (MOF)); ii) Costs of overseas business trips for national experts (as per regulations of MOF); iii) Other relevant eligible expenditures (photocopying and printing, rental of vehicles, local travel costs, per-diem, stationery…) as per regulations of MOF. Note: FIRST Project will not finance remuneration and salaries paid to officials/staff and experts currently employed by the applicant organizations. The project will not finance activities related to civil works and land acquisition. 5.2. Procurement budget (Section J) Covering the costs for procurement of consulting services, non-consulting services, goods/equipment, purchase of intellectual property including licenses, minor rehabilitation/repair of existing buildings for implementation of the Proposal. 6. Procurement plan Applicants notified about the grants awarded to them will be requested to prepare a Procurement Plan (Section K) based on the proposed cost estimates as mentioned in Section 5.2 above. The procurement plan for the Proposal shall comply with the Bank's "Guidelines on Procurement of Goods, Works and Non-consulting Services under IBRD Loan and IDA Credits and Grants by World Bank Borrowers" dated January 2011 (Procurement Guidelines) and "Guidelines on Selection and Employment of Consultants under IBRD Loan and IDA Credits and Grants by World Bank Borrowers" dated January 2011 (Consultant Guidelines) and guidelines of the Project Implementation Manual (PIM). 7. Language of the Proposal Applicants may choose to prepare their proposals in Vietnamese or in English. 8. Submission procedures Applicants will be required to complete the online application which will be made available on the project website: www.first-most.vn during the submission period from ________ to _________. It is also required that a hard copy of the full proposal application (including original signature contained in the form of Section A attached to these Instructions) to be sent to FIRST project before _________ to the address below: Project Management Unit - "Fostering Innovation through Research, Science and Technology (FIRST)" Project – The Ministry of Science and Technology Address: 15th Floor – Thang Long Tower, 98A Nguy Nhu Kon Tum, Thanh Xuan District, Hanoi - Vietnam. Tel: 04-62864961 - Fax: 04-62864956 Project Director: Trần Quốc Thắng - Email: [email protected] Project Office E-mail: [email protected] (Label the envelope: "Phase II - Research & Innovation Consortium STI Proposals" – FIRST Project) 9. Costs for preparing proposals All costs associated with preparation of proposals will be covered by applicants. 10. Exchange of information during preparation Participating organizations and individuals may contact FIRST project via: Fax: 04-62864956 or e-mail [email protected] to have support in preparation of the proposals. Part 3. Evaluation and selection of proposals 1. Technical Evaluation Committee The Ministry of Science and Technology will establish a Technical Evaluation Committee (TEC) consisting of prestigious and experienced experts in related fields (science & technology, finance, commercialization, procurement) for evaluation and selection of "Phase II - Research & Innovation Consortium STI Proposals" for award of grants. Based on the recommendations of the Evaluation Committee, MOST will review and approve the winning proposals for Phase II - Research & Innovation Consortium STI Grants. 2. Selection criteria 2.1. Evaluation of eligibility All proposals will be checked against eligibility criteria including the compliance of the proposal with the environmental and social standards set forth in the Environmental and Social Management Framework. 2.2. Evaluation of technical proposals Proposals will be evaluated using scoring with the maximum score of 120 points based on the following criteria: Criteria Description Total Score Min 0 – Max 120 Technological innovation: Creativity and novelty of products, processes and technologies, and technology spill-over effect Min 0 - Max 10 Ability for R&D At least one member of the consortium has institutional capacity for R&D Min 0 - Max 10 Market Competitive Analysis of the potential market Product/process/ technology of the product/ process/technology, its size, potential, constraints such as laws and regulations and encouraging factors. Min 0 - Max 10 Objective of the Consortium Extent to which the consortium is created to benefit uniquely from the STI Grant or there are activities that go beyond the proposed project Min 0 - Max 10 Qualification of the Leading For university: qualification of Member the personnel Min 0 - Max 10 For enterprise: capability financial For research institute: R&D experience Membership Rules How attractive are the membership rules in terms of the costs and the benefits for the members Min 0 - Max 10 Clarity Clarity of the Proposal Min 0 - Max 10 Number of members of the consortia in excess of ten More than ten members are considered a positive criteria for the selection of the projects Min 0 – Max 10 Percentage of the consortium counterpart fund Transparency 2.3. Proposal with the percentage of the consortium counterpart fund exceeding 50% Authorization for disclosure of the proposal except for financial details Min 0 – Max 10 Not authorized: 0 Authorized: 30 Evaluation and ranking The TEC will review and evaluate the submitted proposals based on the above said criteria and arrive to a ranking of the evaluated proposals. The TEC will generate a ranking of the proposals. MOST will determine the final award based on the recommendation of the TEC and World Bank's no objection. Any deviation of MOST’s choice from the rank order established by the Evaluation Committee will need to be communicated to the Association in writing, including the entire application package of the relevant cases. The unsuccessful proposals may be adjusted and represented for next rounds of funding of FIRST Project. 3. Exchange of information during evaluation During the evaluation of proposals, at the TEC's request, PMU-FIRST may require the applicants to supply further information for clarification of the proposals regarding technical contents, financed costs, and procurement plan. Information may be exchanged via written correspondence, email, or in-person communication with the applicants at PMU-FIRST Office. 4. Disclosure of selection results Within two weeks from the date of signing of the Grant Agreements, PMU-FIRST will announce the results on FIRST website: www.first-most.vn and MOST website: www.most.gov.vn Information includes: List of submitted proposals (including names of applicants and short description of proposals) List of winning proposals (including titles of winning proposals and grant amounts Part 4. Grant agreement Phase II – Research & Innovation Consortium STI Grant Agreements" will be signed with the winning applicants upon MOST's approval. The form of this Agreement is included in Section L attached to these Instructions and the applicants need to review and accept the Terms and conditions before submitting their Proposals. Part 5. Application Sections Section A: Proposal Application Letter Section B: Proposal Content Section C: Proposal Implementation Plan Section D: Environmental and Social Safeguards Issues Section E: Information about the Leading Member of the Consortium Section F: Information about Participating Local Agencies/Organizations Section G: Consortium Agreement Section H: CVs of Participating Key Experts Section I: Cost Estimates for Non-Procurement Budget Section J: Cost Estimates for Procurement Budget Section K: Proposal Procurement Plan Section L: Grant Agreement SECTION A PROPOSAL APPLICATION LETTER “Phase II - Research & Innovation Consortium STI Grants” Date: ________________ To: Project Management Unit-FIRST Project – Ministry of Science and Technology Having examined the Invitation Letter and Instructions for submission of the "Phase II - Research & Innovation Consortium STI Proposals" under FIRST Project, we would like to submit with this letter our proposal to FIRST Project as follows: - Proposal title; - Names of participating organizations and individuals; - Name of leading member nominated to be responsible for procurement and financial management duties. Should our Proposal be selected, we are committed to implementing the Proposal in adherence to the proposed contents and in compliance with the provisions set forth under the Grant Agreement. We, the undersigned, certify that to the best of our knowledge and belief, all information contained in the Proposal is true and correct. Applicant Representatives (Name, title, signature, and stamp of the authorized representative of the nominated leading member) SECTION B PROPOSAL CONTENT Phase II – Research & Innovation Consortium STI Grants Note: - Applicants should carefully study the Instructions for preparing Phase II - Research & Innovation Consortium STI Proposals before filling in this form. - The information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Proposal Background 1. Name of applicant enterprise/organization (Including basic information about legal status, fields of work, number of years of experience. Detailed information will be provided in Section F) 2. Title of the proposed project: 3. Sector Information Technology and Communications Bio-technology and Agriculture Advanced materials Mechanical manufacturing and Automation Public goods 4. Brief description of the Proposal (including objectives, outputs, methodologies/approaches and sustainability of the Proposal; not to exceed 1500 characters) 5. Time frame: From …………….. (month/year) To ………………. (month/year) 6. Total proposed grant amount: In figures In words Of which: - Percentage of the proposed amount funded by FIRST ___% equivalent to US$... - Counterpart funds of the beneficiary: c) Percentage of contributions in cash: ___% equivalent to US$...... d) And/or contributions in kind: II. Detailed Description 1. What are the objectives and outputs of the Project? (As the outputs of the project, what will be generated as results when the project is completed/papers, intellectual property, entrepreneurial ventures, etc.; maximum of 300 characters) 2. What is the rationale of the Project? (Why is this project needed? identify the project beneficiaries, identify the contributions to the development of science, technology and innovation in Vietnam) 3. What are the main activities and time frame of this project? 4. What is innovative about this project in terms of technology? (Demonstrate the creativity and novelty of products, processes and technologies, and technology spill-over effect) 5. What is your institutional capacity for R&D? (Plea se note that at least one member of the consortium should have institutional capacity for R&D) 6. Please describe briefly about your market competitive status (What is the potential market of your product/process/technology, its size and potential? Have you considered about regulatory constraints and encouraging factors?) 7. What is the purpose of the consortium? (Please explain the reasons why you create the consortium, i.e. for applying for the grant funds or any other reason beyond that) 8. Please provide some information to demonstrate the qualification of your leading member (In case of being an university: qualification of the personnel, for enterprise: financial capability; for research institute: R&D experience) 9. In what way does the membership benefit the members of the consortium (referring to shared projects and activities, exchange of information and cooperation, linkages to the foreign partners, networking, etc.)? 10. What is the ratio/comparison between the costs and the benefits to be members of the consortium? 11. Do you authorize the FIRST Project to release the information (except for financial information) about your application? Yes No 12. Environmental and social safeguards (indicate the compliance with environmental and social standards of FIRST project). 13. Other relevant information, if any SECTION C IMPLEMENTATION PLAN "Phase II - Research & Innovation Consortium STI Grants" Note: Applicants should carefully study the Instructions on preparing Phase II – Research & Innovation Consortium STI Proposals before filling in this form. Description of activity Start Date End Date Beneficiary Outputs SECTION D ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST "Phase II - Research & Innovation Consortium STI Grants" For the purpose of screening for determining the eligibility of proposals, applicants need to provide true and sufficient information as required in the table below. PMU-FIRST will review and evaluate the proposal, by indicating "Yes" to any safeguard policy other than Environment Assessment – OP 4.01, the proposal will be considered as not eligible (based on the approved Environmental and Social Management Framework of the FIRST project). Safeguard Policy Identification of Possible Safeguard issue(s) Please check on box Environmental Does the project have the potential for adverse environmental or social risks Assessment and impacts in its area of influence? No Yes Natural Habitats The Bank does not finance projects that degrade or convert critical habitats (protected areas or sites important for biodiversity). Do the project activities have the potential to cause significant conversion (loss) or degradation of non-critical natural habitats? (The loss can occur either directly e.g. construction activities) or indirectly (through human activities induced by the project) No Yes Pest management Are any pesticides or procurement of pesticide equipment being financed by the project No Yes If Yes, indicate here the potential severity for the impact and proposed project design elements that will help prevent potential adverse impacts Provide your response here, if applicable Does the project introduce new pest management practices or expand or alter existing pest management practices? No Are there other project activates that may lead to substantially increased pesticide use? No Does the project include the manufacture or disposal of environmentally significant quantities of pest control products? No Does the project have the potential to have an impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests? No Yes Does the project aim to bring about changes in the management, protection, or utilization of natural forests or plantations? No Yes Safety of Dams Are any project activities related to the construction for a large-scale dam? No Yes Cultural property Would project activities likely adversely affect physical cultural resources? No Yes Projects in international Waterways Are project activities being conducted in international waterway No Yes Involuntary Resettlement Is there any possibility that project activities would displace persons involuntarily? Please note that loss of land or other assets caused by: (i) relocation or loss of shelter; (ii) loss access to assets in protected areas resulting in adverse impacts on livelihoods; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to No Yes Forests These could be temples, burial sites, or archeological sites. another location. If Land is acquired and no person is involuntarily displaced, the policy is not triggered. Indigenous peoples (ethnic minorities) Would the project likely have negative impacts on ethnic minorities or have the potential to bring positive benefits to ethnic minorities? No Yes SECTION E INFORMATION ABOUT LEADING MEMBER Phase II – Research & Innovation Consortium STI Grants Note: - Applicants should carefully study the Instructions on preparing Phase II - Research & Innovation Consortium STI Proposals before filling in this form. - Information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Background Information 1. Type of organization Private enterprise Joint-stock company Science and technology enterprise Research institute/University 2. Registered name 3. Transaction name (if any) 4. Name of legal representative 5. Contact address 6. Date of issuance of business registration/establishment decision 7. Sectors II. Qualification of the Leading Member 1. For Universities: To provide information on the qualification of the personnel and to attach CVs 2. For enterprises: To provide information on the financial capability of the enterprise 3. For research institutes: To provide information on the R&D experience SECTION F INFORMATION ABOUT PARTICIPATING ENTERPRISES/ORGANIZATIONS Phase II – Research & Innovation Consortium STI Grants Note: - Applicants should carefully study the Instructions on preparing Phase II - Research & Innovation Consortium STI Proposals before filling in this form. - Information contained in this form may be forwarded to a third party for the purposes of evaluation. I. Background Information 1. Type of organization Private enterprise Joint-stock company Science and technology enterprise Research institute/University 2. Registered name 3. Transaction name (if any) 4. Name of legal representative 5. Contact address 6. Date of issuance of business registration/establishment decision 7. Sectors SECTION G CONSORTIUM AGREEMENT For submission of "Phase II – Research & Innovation Consortium STI Proposal" Date: ________________________ - Pursuant to the Invitation for Proposals under Phase II - Research & Innovation Consortium STI Grants of FIRST Project - Pursuant to the Instructions for Preparing Phase II - Research & Innovation Consortium STI Proposals of FIRST Project. This Consortium Agreement is entered by and between: Name of participating organization [Name of each organizational member] Representative: Title: Address: Telephone: Facsimile: E-mail: Bank account: Tax Code: Power of Attorney No. Date _______________ (in the case of authorization). Name of participating individuals [Name of each individual member] Full name: Nationality: ID/Passport No.: Address: Telephone: E-mail: Bank account: Tax code: WHEREAS, the Parties wish to voluntarily collaborate and sign this Consortium Agreement for submission of the Phase II – Research & Innovation Consortium STI Proposal entitled [Proposal title]. NOW THEREFORE, it is hereby agreed as follows: Article 1. Division of Responsibility 1. Consortium leading member Parties hereby agree to authorize ______ [Name of the nominated member] to be the leading member of the consortium who shall represent the participating members in following the following duties: - Communication with FIRST Project and bear responsibility for procurement and financial management under the grant funds; - Sign the materials and documents for communication with FIRST Project during the selection process of proposals; - Participate in negotiations and finalization of the Grant Agreement; - Perform the tasks and duties as specified in the consortium proposal: (specify the detailed tasks and duties) 2. Other members [Specify the tasks, responsibilities and commitments of each member for implementation of the Proposal towards the relevant designated assignments in the Proposal]. Article 2. Copyright iii) [The parties hereby agree that: All contents of research and development activities under the Grant Proposal shall not violate intellectual property rights including copyrights, branding, patents, utility solutions, industrial design, and so on. Involved organizations and individuals shall be held liable for any allegation made by a third party]. iv) [Participating consortium members shall specify the arrangements on ownership, distribution, exploitation and takeover of products/outputs (if any) generated from the implementation of the proposal (including intellectual property rights such as copyrights, branding, patents, utility solution, industrial design...] Article 3. Purpose of Participating in the Proposal Consortium members hereby commit to collaboratively and voluntarily implement the Proposal without any political, ethnically discriminatory, sectarian or exclusionary purposes. Article 4. Effectiveness 1. This agreement shall come into effect from the date of signing. 2. This agreement shall be terminated under the following circumstances: - The parties mutually agree to terminate; - The proposal fails to be selected; This agreement is made into ______ copies of equally legal effect, each party shall keep ____ copies. LEGAL REPRESENTATIVES OF EACH CONSORTIUM MEMBER [Name, title, sign and stamp] SECTION H CURRICULUM VITAE OF KEY EXPERTS OF THE CONSORTIA Participating in the Phase II – Research & Innovation Consortium STI Proposals Note: - Applicants should carefully study the Instructions for preparing Phase II – Research & Innovation Consortium STI Proposals before filling in this form. - Information provided in this form may be forwarded to a third party for the purposes of evaluation. I. Personal Information 1. Full name 2. Date of birth 3. Gender 4. Nationality 5. Languages and proficiency II. Education and Qualifications 1. Educational background 2. Training courses, other skills III. Employment records and working experience IV. Certification and signature I, the undersigned, certify to the best of my knowledge that: i. This CV correctly describes my qualifications and experience; ii. I am not prohibited from participating in any projects of the World Bank; Expert's signature Date SECTION I COST ESTIMATES FOR NON-PROCUREMENT EXPENDITURES "Phase II – Research & Innovation Consortium STI Grants" Applicants need to prepare non-procurement cost estimation in the following form covering the activities of: i) organizing conferences, workshops, and events locally, ii) costs of overseas business trips for local experts, iii) other related eligible expenditures No. Name of activities and expenditure categories Organizing local conferences, workshops, and events [List 1 the conferences, workshops, and events to be organized locally, if any]1 Venue rental Accommodation Travelling expenses Per diem Refreshment Stationery Printing, photocopying of documents Other costs Total 1 Cost norms as per regulations of the Ministry of Finance Unit Quant. Unit No. of Price days Amount Note 2 Costs of overseas survey trips for local experts2 Airfares, transportation to destination Transportation to and from airport Daily transportation Phone, telex, fax, Internet expenses Baggage, document fees Insurance fees Accommodation expenses Per diem Visa fees Cost contingency Other costs Total Other associated eligible costs [photocopy, printing of 3 materials, rental of transportation vehicles, local travelling expenses, per diem, stationery....]3 Total Note: 1) The above estimated costs cover all associated fees and taxes payable by the applicant to perform the tasks. 2) The above items are general suggestions only, applicants may add more details to the items in the cost estimate table if necessary and eligible. 2 3 Cost norms as per regulations of the Ministry of Finance Cost norms as per regulations of the Ministry of Finance SECTION J ESTIMATES FOR PROCUREMENT EXPENDITURES "Phase II – Research & Innovation Consortium STI Grants" Applicants need to prepare cost estimations for activities covered by procurement budget, including: procurement of consultants and/or equipment for research: Table 1: Consulting Services No. Procurement of consulting services 1 Name of activity for employment of individual consultants [providing consulting services for technical or professional fields as requested by the Applicant] 2 Name of activity for employment of consulting firm [providing consulting services for technical or professional fields as requested by the Applicant] 3 Purchase of intellectual property including licenses… Remuneration for consultants Other costs Tax Amount Table 2: Procurement of Goods and Non-consulting Services No. Procurement of equipment for research 1 Names of equipment to be procured for research 2 Related services 3 Costs of minor rehabilitation/repair of existing buildings Features, technical specifications Origin Total proposed funding amount (compiled from Section I and Section J): Proposed grant amount: % of FIRST's funding Unit Quant. Unit Price Amount Note SECTION K PROCUREMENT PLAN (To be filled out after the approval of proposals) "Phase II - Research & Innovation Consortium STI Grants" Based on the cost estimates for procurement and non-procurement activities in Section I and Section J, applicants are requested to prepare a procurement plan in the following template: No. I Description Consulting Services Package 1 Package n II Goods Package 1 Package n III Construction Activities (minor rehabilitation/repair) Package 1 Package n Estimated costs incl. VAT (USD) Package Funding No. Source Selection methods (QCBS, LCS, CQS, shopping etc.) Type of contract WB review (prior or post) Procurement starting Procurement Contract ending and duration contract (month) signing Note THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project SECTION L GRANT AGREEMENT “Phase II – Research & Innovation Consortium STI Grants” Date_______________________ Grant Agreement No.: ------ /FIRST/CONSORTIUM-II/GRANT Proposal Title: _________ [Title of Proposal] Under the project: FIRST (Credit No. 5257-VN) - Pursuant to the Financing Agreement dated July 25, 2013 (Credit No. 5257-VN) between the Government of Vietnam and the International Development Association ("Association") for the financing of the "Fostering Innovation through Research, Science and Technology (FIRST)" Project. - Pursuant to Decision No. [reference number and date of the Decision] of the Ministry of Science and Technology for approval of [Name of the winning applicant] for implementation of the Research & Innovation Consortium STI Proposal; - Pursuant to the World Bank's No Objection Letter to the Ministry of Science and Technology's selection of [Name of the winning applicant] for award of the Phase II - Research & Innovation Consortium STI Grants; - Pursuant to the provisions of the "Project Implementation Manual" ("PIM"); This Grant Agreement is entered by and between: Project Management Unit of FIRST Project (Benefactor) Represented by: Title: Address: Telephone: Fax: E-mail: Bank account: Tax code: Grant Awardee Represented by: Title: (Beneficiary) [Names of members] THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Address: Telephone: Fax: E-mail: Bank account: Tax code: Now therefore in consideration of the mutual covenants between PMU-FIRST and the Beneficiary [Name of applicant], the parties hereby agree as per the terms and conditions detailed hereunder for the Phase II – Research & Innovation Consortium STI Proposal entitled [Name of the winning proposal]: Article 1. Financing PMU-FIRST agrees to extend to the Beneficiary a grant for implementation of the Proposal [Name of the winning Proposal]. Contents of the Beneficiary's Proposal constitute Appendix 1 attached to this Agreement. Total grant amount: Implementation period: Article 2. Beneficiary's obligations Section 1. Proposal implementation The Beneficiary is responsible for implementation of the Proposal in adherence with the contents of the Proposal (see details in the attached Appendix 1) and in accordance with the provisions of the Financing Agreement dated July 25, 2013 (Credit No.5257-VN) between the Government of Vietnam and the International Development Association, and the "Anti-Corruption Guidelines" meaning "Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants" dated October 15, 2006 and Revised in January, 2011. The Beneficiary shall also commit to the implementation of the Proposal in compliance with the provisions and guidelines in the "Project Implementation Manual" of FIRST Project as approved by MOST on [Decision reference number and date of MOST's approval] including compliance with safeguard standards under the "Project Environmental and Social Framework" as approved by MOST on April 1, 2013 under Decision No. 683/QD-BKHCN. The Beneficiary is responsible for: (i) appointment (and training) of qualified procurement and financial management staff; (ii) adoption of the Project Implementation Manual; and (iii) having an acceptable accounting systems (including the use of FIRST Project's accounting software). Section 2. Grant amount and financial administering of the grant funds The Benefactor agrees to extend to the Beneficiary a grant in an amount equal to [total grant amount] for the implementation of the Proposal. THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project The Beneficiary shall maintain records and accounts adequate to reflect, in accordance with sound accounting practices, the operations, resources and expenditures incurred in the implementation of its Proposal. The Benefactor shall make payment to the Beneficiary/or a third party for supply of services and/or goods for the Beneficiary for implementation of the Proposal based on (i) the amount of work and actual progress and (ii) payment request by the Beneficiary with supporting eligible documentation and records in compliance with regulations set forth in PIM. The Beneficiary shall submit financial reports to the Benefactor for each reporting period as specified in PIM (see Financial Management Manual). Upon the Benefactor's or the Association's request, the Beneficiary shall have its records and accounts audited in accordance with appropriate auditing principles consistently applied. Section 3. Procurement Procurement activities shall comply with World Bank's provisions and procedures in the "Guidelines on Procurement of Goods, Works and Non-consulting Services under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Procurement Guidelines) and "Guidelines on Selection and Employment of Consultants under IBRD Loan and IDA Credits and Grants by World Bank Borrower" dated January 2011 (Consultant Guidelines), and the guidelines in the Project Implementation Manual (PIM). Section 4. Reporting and supervision. The Beneficiary shall: (i) establish and/or maintain policies and procedures that would allow the Benefactor and/or the Association to carry out supervision and monitoring activities of the Beneficiary's implementation of the financed Proposal; (ii) prepare and furnish to the Benefactor and/or the Association, all such information that the Benefactor, and/or the Association, shall reasonably request in relation to the Proposal; and (iii) accept random and/or unannounced physical or documentary inspections by the Benefactor and/or the Association. Furthermore, the Beneficiary is required to produce a midterm and a final report to the PMU for monitoring and evaluation purposes. These reports will include a financial section in the prescribed form to be submitted to the Benefactor. The Benefactor will also conduct at least one evaluation visit to the site of the beneficiary. Article 3. Right to suspend and terminate the Grant Agreement Section 1. The Benefactor shall have the right to suspend or terminate the right of the beneficiary to use the proceeds of the Phase II – Research & Innovation Consortium STI Grant upon the failure of the Beneficiary to perform its obligations under this Grant Agreement. Section 2. In the case of termination or suspension of the right to withdraw the loan proceeds out of the Vietnam designated account under the Financing Agreement for any reasons thereof, this Grant Agreement shall also be terminated or suspended accordingly. Article 4. Modifications of the Grant Agreement THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project During the execution of the Grant Agreement, any modification or revision related to the Proposal shall be agreed by the two parties by written consent. The signed documentation thereof shall be deemed an Addendum to the Grant Agreement. Article 5. Other conditions Section 1: Applicable Law This Agreement shall be governed by the Vietnamese Law and in accordance with the Financing Agreement signed between the Government of Vietnam and the Association. During the execution of this Grant Agreement, any disputes arising out of this Agreement shall be handled and settled by the related parties through negotiations. Any dispute cannot be settled amicably shall be subject to resolution by the Vietnamese Law. Section 2. Effectiveness of the Grant Agreement. This Grant Agreement shall be effective upon signature by both Parties and made into [number] copies of equally legal effect. The Benefactor shall keep [indicate the number] copies and the Beneficiary shall keep [indicate the number] copies. Legal representative of FIRST-PMU Legal representative of Beneficiary [Name, title, sign and stamp] [Name, title, sign and stamp of the authorized person] THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 7-1: Sample Procurement Plan (to be included in the Grant or Sub-Loan): No. Contract Description Estimated cost (USD/ VND) Procurement Methods Bank’s review Expected date of bid opening Expected date of contract signing Contract duration THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 8-1: Forms of Accounting Books Fostering Innovation through Research, Science and Technology Project Management Unit........................ Form S03 - H Issued under Decision No.19/2006/QD-BTC 30 March 2006, the Ministry of Finance General Ledger (used in method of General Journal) Year........... Account..................................................Ref No................................................................. Vouchers Code Date A B General Journal Page Line No. No. D E Description C Opening Balance Monthly movement Ref Account Code F Amount Debit Credit 1 Sum of monthly amounts Sum of quarterly amounts Sum of yearly amounts - This book contains............pages, numbered from 01 to.... - Date of book opening.................................................... Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………………. Project Director (Signature, name, stamp) 2 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation Through Research, Science and Technology Project Management Unit........................ Form S04 - H Issued under Decision No.19/2006/QD30 March 2006, the Ministry of Finance General Journal Year........... Vouchers Code Date A B Description C Brought forward from previous page Recorded into Ledger D Line No. E Ref. Account code F Amount Debit Credit 1 Carried forward to next page - This book contains............pages, numbered from 01 to.... - Date of book opening.................................................... Prepared by (Signature, name) Chief Accountant (Signature, name) Date:.............................. Project Director (Signature, name, stamp) 2 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S11 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Cash Book Year 20.................. Currency: VND Vouchers no. Date A Amount Description Receipt Payment B C D Opening balance brought forward Movement in period Receipt Payment 1 2 Closing balance 3 Sum of amounts - This book contains............pages, numbered from 01 to.... - Date of book opening.................................................... Prepared by (Signature, name) Chief Accountant (Signature, name) Date:.............................. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S12 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Bank/Treasury Deposit Book Year 20……. Account opened at (location):............................... Account no.: ............................................ Currency: VND Voucher Date A Code Date B C Amount Description D Deposit (Receipt) 1 Withdrawa l (Payment) 2 Closing Balance 3 Opening balance: Movement in period: Sum of amounts… - This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date:.............................. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Form S23 – H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Fostering Innovation through Research, Science & Technology Project Management Unit........................ Details of materials, tools, instruments and goods Account no.............................. Date......................... No. A Name, design of materials, tools, instruments and goods B Amount Opening Balance Receipt Dispatch Closing Balance 1 2 3 4 TOTAL Prepared by (Signature, name) Date: ………………….. Chief Accountant (Signature, name) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Form S13 – H Fostering Innovation through Research, Science & Technology Project Management Unit........................ Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Book for following up of cash at Bank/Treasury (in foreign currency) Year...................... Voucher Code Date A B - Description Exchange rate C 1 Receipts (deposit) Convert Original into VND 2 3 Payment (withdrawal) Convert Original into VND 4 5 This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Date:................................. Prepared by (Signature, name) Chief Accountant (Signature, name) Project Director (Signature, name, stamp) Closing balance Convert into Original VND 6 7 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Stock Book (Stock Card) Date of opening……………….Number of pages…… Name of tools, instruments......................................................Unit................................................................. Design, properties....................................................................Code............................................................... Voucher Date of Quantity Accountant's receipt/ Code Description signature Date Receipt Dispatch Stock dispatch Receipt Dispatch A B C D E 1 2 3 4 - This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date:................................. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S22 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Details of materials, tools and instruments Year....... Name of Nam of account.............................................................. warehouse....................................................................... Name of materials, tools, instruments........................................ Design........................................................................ Voucher Code Date A B - Name of materials, tools instruments C Unit................................................................... Properties..................................................................... Receipt Dispatch Unit Unit Quantity Price Amount Quantity Amount Quantity Price 1 2 3 4 5 6 7 This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date:................................. Project Director (Signature, name, stamp) Stock Unit Price Amount 8 9 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Form S31 – H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Fostering Innovation through Research, Science & Technology Project Management Unit........................ Fixed Asset Book Year........ Name / Type of fixed assets …………………………………….. Increase in fixed assets Voucher Code Date 1 2 - Name, features and code of assets Country of origin 3 4 Depreciation of fixed assets Time Asset of use code 5 6 Fixed asset original price % In-period depreciation Accumulated depreciation 7 8 9 10 Decrease in fixed assets Voucher Reasons of Remaining Code Date Decrease value of in fixed fixed asset asset 11 12 13 14 This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S32 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Book for following up fixed assets, tools and instruments at place of use Year....... Units (department/division/person) using the items........................ Voucher Code Date 1 2 Increase in assets Name of fixed assets, tools, Unit Quantity instruments 3 4 5 Decrease in assets Voucher Unit price Amount 6 7 Code Date Reasons of decrease Quantity Amount 8 9 10 11 12 Total - This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S33 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Detailed Account Year…… Name of Account: Unit: Add … Tel… Voucher Code Date A B - Amount Balance Description Debit Credit Debit Credit C 1 2 3 4 This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S42a - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Book for following up project funding sources Year ....... Voucher Code Date A Total Description B Opening Balance State Budget source Contributions of beneficiaries WB source Increase Decrease Increase Decrease Increase Decrease Increase Decrease 1 2 3 4 5 6 7 8 Arising amounts: Accumulated amount Closing balance - This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S42b - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Central Project Management Unit (CPMU) Book for following up funding allocation to subordinate units Year ....... Name of the unit to be allocated with funding ........................................................................................................ Voucher Date Code A Total Amount Description B State Budget Fund WB Fund Debit Credit Debit Credit Debit Credit 1 2 3 4 5 6 TOTAL - This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S52 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Detailed Book for Receipts (5113/5114) Year 20…. Name of receipts..................:… Voucher Code Date A - Description B Total amount 1 Payment to State Budget 2 Allocated Payment… Payment… 3 4 This book contains…..........pages, numbered from 01 to…........ Date of book opening ………………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) Note 5 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S53 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Book for following up Value – Added Tax Year…….. Voucher Code Date A - Description VAT paid VAT to be paid VAT unpaid B 1 2 3 This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S62a - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Detailed Book for Project Management Year 20...... Voucher Code Total Amount Date A - Description B GOV 1 Salaries Allowances Bonus Welfare Contributions Public Services Office facilities ..... GOV 13 GOV 15 GOV 17 ... WB 2 GOV WB GOV WB GOV WB GOV 3 4 5 6 7 8 9 WB 10 GOV 11 WB 12 WB 14 WB 16 WB 18 This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) ... THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S62b - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Detailed Book for Project Implementation Year 20...... Component 1 Total Amount Voucher Cod e Dat e A Descriptio n B - GOV 1 WB 2 Sub-comp 1.1 Total GO V 3 W B 4 GOV 5 WB 6 Component 2 Sub-comp 1.2 GOV 7 WB 8 Total GO V 9 W B 10 Component 3 Sub-comp 2.1 Sub-comp 2.2 Sub-comp 2.3 GO V 11 GO V 13 GO V 15 W B 12 W B 14 W B 16 Tota l 17 GO V 18 This book contains…..........pages, numbered from 01 to…........ Date of book opening …………… Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) W B 19 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Research, Science & Technology Project Management Unit........................ Form S63 - H Issued under Decision 19/2006/QD-BTC 30 March 2006, the Ministry of Finance Business Expenses (Capital Construction) Book Year 20…… -Name of works……………….............................................................................................................................................. -Start date ….................................................................................................................. -Completion date …............................................................................................................... -Approved cost estimates….............................of which XL:___________TB:_____________other costs______________. Voucher Description Code Date A B Total amount 1 Construction cost WB Other GOV sources 2 3 4 Details of Expenses Equipment cost Other GOV WB sources 5 6 7 Other costs GOV WB 8 9 Total - This book contains…..........pages, numbered from 01 to…........ Date of book opening ……………. Prepared by (Signature, name) Chief Accountant (Signature, name) Date: ……………….…. Project Director (Signature, name, stamp) Other sources 10 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 8-2: Chart of Accounting for Key Transactions 1. ACCOUNTING OF EXPENDITURES USING STATE BUDGET FUNDS 4621 66212 Payments for project activities 66211 331 111 Completed of Withdraw cash to the Contruction/ Payments forforSellers/contractors by cash Payments Project activities by cash Outstanding advances to sellers/contractors Settlement for completed project approved (Post single entry to Debit/Credit of off-balance sheet account 009) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 2. ACCOUNTING FOR EXPENDITURES USING WB FUNDS 4622 1122 66222 Payments for project activities 66221 Payments for CPMU activities WB Transferred Money into 331 111 Withdraw money to Payment for CPMU activities by Payments for Sellers/contractors by cash cash Completion of Contruction/ Payments for Project activities by cash Outstanding advances to sellers/contractors Settlement report of completed project has approval (Post single entry to Debit/Credit of off-balance sheet account 007) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 3. ACCOUNTING FOR EXPENSES OF PMU 334 662 Salary & allowance to pay staff 111, 112 332 Decrease of managements costs Social/health insurance to pay to staff 111, 112 Payment of public services 152 Out of store Instrument & tool (If have store) 466 Increase in sources fund of fixed assets THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 4. ACCOUNTING FOR PAYMENT TO PROJECT STAFF 334 311, 312 662 To calculate salary for To deduct salary of staff for advances Payment to staff 332 To deduct salary of staff for insurance 332 111, 112 Pay salary to staff Transferred of insurance to agencies relevant THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 5. ACCOUNTING FOR ADVANCES 111, 112 312 152, 211 Advanced for purchasing fixed asset and Outstanding advances by cash for staff Raw materials 662 Liquidated of advances 111, 334 Repayment of advances THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 6. ACCOUNTING FOR PROCUREMENT AND RECEIPT OF FIXED ASSETS 211/213 111/112/462 Payment for buy fixed assets 466 At the Same time 466 662 Reduced of fixed assets By liquidation & selling out Increase of sources fund for fixed assets 214 4621/4622 Reduction of depreciation Receipts of fixed assets from CPMU of fixed assets At the Same time 466 662 Increase of sources fund for fixed assets THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 7. ACCOUNTING FOR LIQUIDATION OF FIXED ASSETS Income for liquidated of fixed assets 5113 111, 112 Expense for liquidated of fixed assets 4214 Differences of income > Expense for liquidation of fixed assets Differences of income < Expense for liquidation of fixed assets 466 211, 213 Reduction of original rate Leased financial assets 214 Accumulated of Depreciation THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 8. ACCOUNTING FOR INCOME FROM SALE OF BIDDING DOCUMENTS Income from sale of bidding documents 5114 111, 112 Cost for bidding opening 4215 Differences between income > expenses for bidding opening Differences between income < expenses for bidding opening THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 9. SETTLEMENT OF FUNDS UPON PROJECT COMPLETION (for both WB fund, counterpart fund and others) 662 466 462 Settlement reports has approval Allocated of 111,112,152,311,3 31 Accounted for liquid assets 214 Fixed assets 211, 213 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 8-3: Forms of Financial reports for Submission to WB First Project (IFR.3) DESIGNATED ACCOUNT STATEMENT (At end of quarter...) BÁO CÁO TÀI KHOẢN CHỈ ĐỊNH (đến cuối quý...) Đợn vị: USD/VNĐ PART A: ACCOUNT TRANSACTION (PHẦN A: GIAO DỊCH TÀI KHOẢN) Opening Balance (Dự đầu kỳ) USD i Add (Cộng) Total amount deposited by CPMU for the period ii (Tổng số tiền CPMU nhận về TK chỉ định trong kỳ / WB tạm ứng trong kỳ) Bank Interest (Lãi Ngân hàng) iii Amount refunded to cover ineligible disbursements iv (Sổ tiển từ chối về các khoản chi không hợp lệ) Deduct (Trừ) Amount withdrawn for the period (Số tiền đã rút ra trong kỳ) v Bank charges (Phí Ngân hàng) vi Amount refunded to the World Bank (Số tiền trả lại cho WB) vii Closing Balance (Số dự cuối kỳ) viii PART B. Account reconciliation (PHẦN B: Đối chiếu tài khoản) Amount advanced by the World Bank (Tổng số tiền tạm ứng từ WB) ix Less (Trừ) Total Amount recovered by the World Bank (Tồng số tiền hoàn trả lại WB) Outstanding amount advanced to Designated Account at the period end (Tổng số tiền WB tạm ứng vào tài khoản chỉ định đến cuối kỳ báo cáo) Ending balance of Designated Account at the period end (Số dự tài khoản chỉ định đến cuối kỳ báo cáo) x xi xii Add (Cộng) Amount claimed but not yet credited (Số tiền đề nghị rút nhưng chưa được cấp) xiii Amount withdrawn but not yet claimed (Số tiến chi nhưng chưa xin rút vốn) xiv Ineligible expenditures to be refunded (Chi phí không hợp lệ phải hoàn trả) xv Less (Trừ) Bank Interest (Lài ngân hàng) Total advanced to Designated Account as at period end (Tổng số tiền tạm ứng chuyển về tài khoản chỉ định đến cuối kỳ báo cáo) Prepared by (Người lập biểu) Chief Accountant (Kế toán trưởng) xvi xvii Director (Giảm đốc dự án) VNĐ THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project First Project (IFR.1) PROJECT RESOURCES AND USE OF FUNDS (For the end quarter...) BÁO CÁO NGUỒN VỐN VÀ SỬ DỤNG NGUỒN VỐN (đến cuối quý...) Hoạt động chủ yếu (Hợp phần/tiểu hợp phần) (Components/ sub.components) Opening Balance (Số dự đầu kỳ) IDA account (TK vốn WB) Counterpart account (TK vốn đối ứng) Other Bank account (TK khác) Cash (tiền mặt) Total (Cộng) Source of Fund (Nguồn vốn) Government Funds (Vốn đối ứng) IDA Funds (Vốn vay WB) Other fund (Nguồn vốn khác) Total of source fund (Cộng) Foreign exchange difference (Chênh lệch tỷ giá ngoại tệ) Less (Trừ) Used of fund (Sử dụng nguồn vốn) IDA credit (Vốn vay WB) Component 1 (Hợp phần 1) Sub. component 1.1 Sub. component 1.2 Component 2 ( Hợp phần 2) Actual (Thực hiện) Current quarter (Trong quý) Year to date (Lũy kế từ đầu năm) Cumulative to date (Lũy kế từ đầu dự án) Planed (kế hoạch) Current quarter (Trong quý) Year to date (Lũy kế từ đầu năm) Cumulative to date (Lũy kế từ đầu dự án) Unit ( Đợn vị); USD Variances (Tỷ lệ) Current quarter (Trong quý) Year to date (Lũy kế từ đầu năm) Cumulative to date (Lũy kế từ đầu dự án) PAD/iii Life of project (Thời gian thực hiện dự án) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Sub. component 2.1 Sub. component 2.2 Sub. component 2.3 Component 3 ( Hợp phần 3) GOV credit (Vốn đối ứng) Component 1 (Hợp phần 1) Sub. component 1.1 Sub. component 1.2 Component 2 ( Hợp phần 2) Sub. component 2.1 Sub. component 2.2 Sub. component 2.3 Component 3 ( Hợp phần 3) Total used of funds Closing Balance (Số dư cuối kỳ) IDA Account (TK vốn WB) Counterpart account (TK vốn đối ứng) Other account (TK khác) Cash (Tiền mặt) Total (Tổng cộng) Prepared by (Người lập biểu) Chief Accountant (Kế toán trưởng) Director (Giám đốc dự án) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project First Project (IFR.2) USE OF FUNDS BY PROJECT ACTIVITIES (For the end quarter...) BÁO CÁO SỬ DỤNG NGUỒN VỐN THEO HOẠT ĐỘNG DỰ ÁN (đến cuối quý...) Unit ( Đơn vi): USD Project activities (Eligible Expenditur e Categories) (Các hạng mục/hoạt động chủ yếu) IDA credit (Vốn vay IDA) Component 1 (Hợp phần 1) S.component 1.1 S. component 1.2 Component 2 (Hợp phần 2) S.component 2.1 S. component 2.2 S. component 2.3 Component 3 (Hợp phần 3) GOV credit (Vốn đối ứng) Accumulated Actual Disbursemen t At 31/12 Last year (Lũy ké thực hiện đến 31/12 năm Trước) Disbursement in the year (giải ngân trong năm) Quarter 1 (Quý 1) Quarter 2 (Quý 2) Quarter 3 (Quý 3) Quarter 4 (Quý 4) Planed ( Kế Hoạch ) Planed ( Kế Hoạch ) Planed ( Kế Hoạch ) Planed ( Kế Hoạch ) Actua l (Thực Hiện) Actua l (Thực Hiện) Actua l (Thực Hiện) Actua l (Thực Hiện) Accumulated during the year (Lũy kê trong năm ) Planed actual disbursemen t (KH giải ngân năm) Cumulativ e to date (Lũy kế TH trong năm) % yearl y (Tỷ lệ TH Năm) Accumulated from the start of the project to dated (Lũy kế từ đầu dự án đến cuối kỳ báo cáo) Net Cumulativ Achievemen Amoun e to date t t (Lũy kế Rate (%) (Tổng TH đến (Tỷ lệ vốn cuối TH %) Theo Kỳ BC) H.định) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Component 1 (Hợp phần 1) S. component 1.2 Component 2 (Hợp phần 2) S.component 2.1 S. component 2.2 S. component 2.3 Component 3 (Hợp phần 3) TOTAL (Cộng) Prepared by (Người lập biểu) Chief Accountant (Kế toán trưởng) Director (Giám đốc dự án) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Line Agency: MOST Project Owner: FIRST Form 4 DISBURSEMENT REPORT ODA FUND, DONOR’s NAME: WB (BÁO CÁC GIẢI NGÂN VỐN ODA, TÊN CỦA NHÀ TÀI TRỢ: WB) Quarter ….year…. (Quý……..Năm……….) Name Of main Items/ Activities (Tên hạng Mục/hoạt Động chủ Yếu) Accumulated Actual Disbursement At 31/12 Previous year (Lũy kế Thực hiện Đến 31/12 Năm trước) Quarter I (Quý 1) planed actual (Kế Hoạch) (Thực Hiện) Disbursement in year (Gi¶I ng©n trong n¨m) Quarter II Quarter III Quarter IV Accumulated during year (Quý2) (Quý 3) (Quý 4) (Lũy kế trong năm) % of Planed AccumuImplemAnnual Lated entation planed actual planed actual planed actual DisburActual of annul sement Disbur. plan (Kế (Thực (Kế (Thực (Kế (Thực (KHgỉai To date (Tỷ lệ Hoạch) Hiện) Hoạch) Hiện) Hoạch) Hiện) Ngân (Lũy kế TH Năm) TH từ Đầu năm 1 1 2 3 4 5 2 3 4 5 6 7 8 9 10 11 (3+5+7 +9) 12 (4+6+8 +10) sovới KHnăm) 13 (12:11) Unit: USD Accumulated from the Start of project (Lũy kế từ khởi đầu dự án) Net Accumu- AchieLoan Lated vement Amount Actual Rate (Tổng Disbur. (%) Số vốn Phân bổ theo H. định 14 To date (Lũy kế TH từ Đầu DA) 15 (2+12) Total (Cộng) Exchange rate (Tỷ giá) ...........……………………………………………………….Average Exchange rate (Tỷ giá bình quân)……………………. Total equivalent to Mil VND ( Tổng số tiền quy đổi ra Triệu VND)……………………………………………………………………………………………… Date (Ngày…tháng….năm) Project Owner (Chủ dự án) (sign, stemp) (Ký tên, đóng dấu) (Tỷ lệ Giải Ngân) 16 (15:14) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Line Agency: MOST Project Owner: first Form 5 REPORT ON DESIGNATED ACCOUNT (BÁO CÁO VỀ TÀI KHOẢN CHỈ ĐỊNH) Quarter ….year…. (Quý……..Năm………) Donor (Nhà tài trợ): WB Designated account name: CPMU (Tên tài khoản chỉ định): BQL dự án.... Currency USD………………………… (Đơn vị tiền tệ) (Đô la mỹ) Quarter I (Quý 1) Quarter II (Quý 2) Quarter III (Quý 3) Quarter IV (Quý 4) Opening Balance: (Số dư đầu kỳ) Add: (Cộng) - Donor provided during the period (Nhà tài trợ cấp trong kỳ) - Earned interest (Lãi ngân hàng) Less: (Trừ) - Total expenditures paid in the period (Tổng chi phí đã chi trong kỳ) - Banking service fee (Phí dịch vụ ngân hàng) Closing balance (Số dư cuối kỳ) Date (Ngày…tháng….năm) Project Owner (Chủ dự án) (sign, stemp) (Ký tên, đóng dấu) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Line Agency: MOST Project Owner: FIRST Form 6 DISBURSEMENT REPORT- COUNTERPART FUNDS (BÁO CÁO GIẢI NGÂN - VỐN ĐỐI ỨNG) Quarter ….year…. (Quý…..Năm…..) Name Of main Accumulated Actual Items/ Activities Disbursement At 31/12 Previous year (Tên hạng Mục/hoạt động chủ yếu 1 1 2 3 4 5 Quarter I planed actual (Lũy kế thực hiện đến 31/12 năm trước (Kế hoạch) (Thực Hiện) 2 3 4 Unit: Million VND (Triệu VND) Accumulated from the start Disbursement in year (Giải ngân trong năm) Quarter II Quarter III Quarter IV Accumulated during year of project (lũy kế năm) (Lũy kế từ đầu dự án) % of Planed AccumuTotal AccumuAchieImplemAnnual Lated Fund Lated vement entation Approplaned actual planed actual planed actual DisburActual Actual Rate of annul sement Disbur. ved Disbur. (%) plan To date To date (Kế (Thực (Kế (Thực (Kế (Thực (KH (Lũy kế (Tỷ lệ (Tổng) (Lũy kế (Tỷ lệ hoạch) Hiện) hoạch) Hiện) hoạch) Hiện) giải Thực TH so Số vốn TH từ Giải ngân) Ngân hiện từ Với KH P. bổ khởi đầu Năm) đầu năm) Năm) theo Dự án) H.định) 5 6 7 8 9 10 11 12 13 14 15 16 (3+5+7 (4+6+8 (12:11) (2+12) (15:14) +9) +10) Total (Cộng) Date (Ngày…tháng….năm) Project Owner (Chủ dự án) (sign, stemp) (Ký tên, đóng dấu) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Mẫu SOE SATEMENT OF EXPENDITURES (No Records required for submission) Payment made during the period from .......... to ........... Against contract lees than threshold Goods valued at less than USD 100,000 equivalent; Individual consultants valued at less than USD 50,000 equivalent Consultants firm valued at less than USD 100,000 equivalent For expenditures under category B1.2 Project preparation facility support and capacity building Item no 1 Name and Address of Contractors/ Suppliers/ Consultants Contract Number And Contract date Contract Period Reviewed (Y/N) WB Control Number** (If applicable) Contract Amount (USD) 2 3 4 5 6 Total Invoice Amount (USD) % Eligibility 7 8 Amount Eligible For Financing (USD) Amount Charged To Designated Account (if applicable) Exchange Rate (Col.6 Divided by Col.7 9 10 11 Note: ** WB control number applicable only when contract was period reviewed by the Bank Supporting Documents for this SOE retained at Project Coordination Unit Project Director Remarks 12 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 8-4: Form of financial reports for submission to the Government of Vietnam Fostering Innovation through Science, Research and Technology Project Management Unit.........................................…… Form B04 - H (Issued under Decision 19/2006/QĐ-BTC 30 March 2006, the Ministry of Finance) REPORT ON INCREASE AND DECREASE OF FIXED ASSETS Quarter , year 20... Unit: VND No. Name – Type of Assets Unit 2 3 1 Opening Balance Increase Decrease Closing Balance Quant Amt Quant Amt Quant Amt Quant Amt 4 5 6 7 8 9 10 11 I – Tangible Fixed Assets 1 2 3 4 5 Building, architectonic model - House for living - Office …. Equipment & machine ... Transportation vehicles ... Management tools & instruments ... Other fixed assets m2 - Sum 2.1. II-Intangible Fixed Assets 1 2 Accounting software ....... ………. VND VND Sum Total 2.2. Date: ……………………. Prepared by (Sign, name) Chief Accountant (Sign, name) Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Science, Research and Technology Project Management Unit.........................................…… Form B06 - H (Issued under Decision 19/2006/QĐ-BTC 30 March 2006, the Ministry of Finance) NOTES TO FINANCIAL REPORTS Year………. I – PROJECT IMPLEMENTATION PROGRESS IN THE YEAR: 1 – Staff and salaries: - Available staff by 31/12………………..………………………...................persons Of whom: + Part-time staff …………………………………………………..persons + Permanent staff………………………………………………….. persons + Contract-based staff…...……………………………………….....persons - Increase:……………………….…………………………………………......persons - Decrease:………………………………………………..…………………. persons - Increase in salary fund………………………….....................................VND Of which contract-based salary fund............................................................ 2 – Performance of components: Project objectives: - Component 1... - Component 2... Component 3... - ..................... II – DETAILS OF FUNDING: No. A 1 2 3 4 5 Items Code Opening Balance Closing Balance B 1 2 3 Project funding sources: - State Budget - WB fund - Other funding sources (contributions) Cash Cash in hand Deposit at Service Bank/State Treasury - State Budget fund account - WB fund account Stock Payables Receivables THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project III – INCREASE AND DECREASE OF FUNDS (If any) : No. Items Total amount Bonus Welfare Income balance B 1 2 3 4 A 1 2 3 4 Other funds Opening balance Increase Decrease Closing balance IV. PAYMENT TO THE STATE BUDGET (If any) ....................... ...................... V .STATUS OF USE OF PROJECT FUNDING No. Items 1 2 Costs by the end of the last period Approved expenditure plan Current year implementation cost State WB fund Total Budget Accumulated costs by the end of the reporting period Project management cost Project implementation cost Total VI – NOTES: (To be provided by the Project Director) VII – COMMENTS AND RECOMMENDATIONS (To be provided by the Project Director) Date: ……………………. Prepared by (Sign, name) Chief Accountant (Sign, name) Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Science, Research and Technology Project Management Unit.........................................…… Form B01 - H (Issued under Decision 19/2006/QĐ-BTC 30 March 2006, the Ministry of Finance) BALANCE SHEET Quarter.........Year........... Unit: VND Grade -1 Acc. Grade -2 Acc. A 111 1111 1112 112 1121 1122 113 121 152 153 155 211 2111 Grade3 Acc. Name of account B A- On-Balance Sheet Accounts Type I: Cash and materials Cash Vietnamese currency Foreign currency Cash at bank/Treasury Vietnamese currency Foreign currency Cash in transit Short term financial investments Materials Tools, instruments Products & goods Type II: Fixed assets Tangible fixed assets Buildings, architectonic models Opening Balance Debit 1 Credit 2 Arising Amount Within the reporting period Accumulated to date Debit 3 Credit 4 Debit 5 Credit 6 Closing Balance Debit 7 Credit 8 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science Grade -1 Acc. Grade -2 Acc. A 2112 2113 2114 2118 213 2131 2138 214 2141 2142 241 2411 2412 2413 311 3111 3118 312 331 3311 3318 332 3321 Grade3 Acc. Name of account B Equipment & machines Transportation & transmit tools Management tools & instruments Other fixed assets Intangible fixed assets Accounting software Other intangible fixed assets Depreciation of fixed assets Depreciation of tangible fixed assets Depreciation of intangible fixed assets Construction works in progress Purchase of fixed assets Capital constructions Major repair of fixed assets Type III: Payment Receivables Receivables from clients Other receivables Advances Payables Payables to suppliers Other payables Salary deductions Social insurance and Technology" Project Opening Balance Debit 1 Credit 2 Arising Amount Within the reporting period Accumulated to date Debit 3 Credit 4 Debit 5 Credit 6 Closing Balance Debit 7 Credit 8 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science Grade -1 Acc. Grade -2 Acc. A 3322 3323 3324 333 3331 3335 3338 334 3341 3348 336 341 342 412 413 421 4212 4213 4214 4215 Grade3 Acc. Name of account B Health insurance Trade union fees Unemployment insurance Payables to the state VAT Individual income tax Other payables Payables to staff Payables to officers & civil servants Payables to other staff Advances Advances to employees Internal payments Type IV: Funding sources Asset revaluation difference Exchange rate difference Unsettled difference in revenuesexpenses Difference in business revenuesexpense Differences in orders' revenuesexpenses Differences in revenues-expenses of asset liquidation Differences in revenues-expenses of procurement activities and Technology" Project Opening Balance Debit 1 Credit 2 Arising Amount Within the reporting period Accumulated to date Debit 3 Credit 4 Debit 5 Credit 6 Closing Balance Debit 7 Credit 8 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science Grade -1 Acc. Grade -2 Acc. A 4218 431 4311 4312 4313 4314 441 4411 4412 4413 4418 462 4621 4622 4623 4628 466 511 5111 5112 5113 5114 Grade3 Acc. Name of account B Other differences in revenuesexpenses Funds Bonus fund Welfare fund Income balance fund Administrative development fund Capital construction funding sources State Budget fund WB fund Grants Other funding sources Project fund sources State Budget fund WB fund Grants Other funding sources Funds to form fixed assets Type V: Receivables Receivables Fees and charges Revenues by orders Revenues by asset liquidation Revenues from sale of bidding documents and Technology" Project Opening Balance Debit 1 Credit 2 Arising Amount Within the reporting period Accumulated to date Debit 3 Credit 4 Debit 5 Credit 6 Closing Balance Debit 7 Credit 8 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science Grade -1 Acc. Grade -2 Acc. Grade3 Acc. A 5118 B 662 6621 66211 66212 6622 66221 66222 6623 6628 001 002 004 005 007 008 009 0091 0092 Name of account and Technology" Project Opening Balance Debit 1 Credit 2 Arising Amount Within the reporting period Accumulated to date Debit 3 Credit 4 Debit 5 Credit 6 Other revenues Type VI: Payment Project expenditures Expenditures out of the State Budget Project management costs Project implementation costs Expenditures out of WB fund Project management costs Project implementation costs Expenditures out of Grants Expenditures out of other funding sources Total B- Off-Balance Sheet Accounts (Type O) Leasehold assets Assets kept Differences in regular revenuesexpenses Long-lasting tools in use Foreign currencies Operating cost estimates Project/program cost estimates Project/program cost estimates Capital construction investment cost estimates Date: ……………………. Closing Balance Debit 7 Credit 8 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science Prepared by (Sign, name) and Technology" Project Chief Accountant (Sign, name) Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Science, Research and Technology Project Management Unit.........................................…… Form B02 - H (Issued under Decision 19/2006/QĐ-BTC 30 March 2006, the Ministry of Finance) REPORT ON USE OF FUNDS AND EXPENDITURE DOCUMENTATION Quarter Year 200… I – STATUS OF FUNDING SOURCES: Unit: VND Funding sources Code No. During reporting period GOV GOV WB Other Total Cumulative to date GOV WB Other Items A 1 2 3 4 5 6 7 8 9 10 B 1 Project funds Funds brought forward Funds received during period Cumulative year-to-date Total funds used during period Cumulative year-to-date Used funds for documentation during period Cumulative year-to-date Funds decrease during period Accumulated funds decrease year-to-date Funds carried forward 2 3 4 5 6 7 8 9 31 32 33 34 35 36 37 38 39 40 II. EXPENDITURE DOCUMENTATION: No Funding sources Code Items A 1 Total B III. Project expenditures Project management costs 1 300 301 2 During reporting period GOV WB Other 3 4 5 Unit: VND Cumulative to date Total GOV WB 6 7 8 Other 9 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science 2 Project implementation costs and Technology" Project 302 Date: ……………………. Prepared by (Sign, name) Chief Accountant (Sign, name) Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Fostering Innovation through Science, Research and Technology Project Management Unit.........................................…… Form F02 - 2H (Issued under Decision 19/2006/QĐ-BTC 30 March 2006, the Ministry of Finance) DETAILED REPORT ON PROJECT FUNDS Quarter…….Year 200.. Project name…………………………………………....Code………………………………………………. Under the program………………………………………………….....…………………………………… Start…………………………………………….. Closing........………………………………………. Project implementation agency……………………………………………………..…………………………….. Total approved expenditures………………………………………….....……………………. Approved expenditures for the current period ……………………………………………………………… I . FUNDING STATUS: No. Funding sources Code Total During reporting period GOV WB Other Total Unit: VNĐ Cumulative to date GOV WB Other Items A B 1 1 2 3 4 Funds brought forward Funds received during reporting period Total funds used during reporting period Funds used during reporting period for documentation Funds decrease during reporting period (if any) Funds carried forward 01 02 03 04 5 6 2 3 4 5 6 05 06 II . DETAILS OF USED FUNDS FOR DOCUMENTATION (Project management costs): 7 8 9 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science No. State Budget Code Items A B 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 6000 6050 6100 6200 6250 6300 6500 6550 6600 6650 6700 6750 6800 6850 6900 7000 9050 18 7750 and Technology" Project Unit: VND Accumulated to date Within the reporting period Total GOV WB Total GOV WB 1 2 3 4 5 6 Salaries Contract-based remuneration Allowances Bonus Welfare Contributions Payment for public services Payment for stationery Communications and information Conferences Work-trip allowances Hiring expenses Cost of project missions Cost of external mission Asset repair for technical work Expenditures for technical work Purchase of assets for technical work Other expenditures Total III. DETAILS OF USED FUNDS FOR DOCUMENTATION (Project implementation cost): During reporting period Unit: VND Cumulative to date THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science No. and Technology" Project Major activities (components) Total A B 1 Component 1 Sub-component 1.1 Sub-component 1.2 2 Component 2 Sub-component 2.1 Sub-component 2.2 Sub-component 2.3 1 GOV 2 WB Other Total GOV WB Other 3 4 5 6 7 8 3 Component 3 Sub-component 3.1 Sub-component 3.2 Total IV. NOTES: - Objectives and contents of research as planned......................................................................................................................................... - Tasks completed........................................................................................................................................................ ........................................................................................................................................................................................................................ Date: ……………………. Prepared by (Sign, name) Chief Accountant (Sign, name) Project Director (Sign, name, stamp) ANNEX 8-5: CONSOLIDATED REPORT ON ANNUAL FINAL ACCOUNTS AND FINAL ACCOUNT FOR COMPLETED PROJECTS (For Central Project Management Units) The Ministry of Science and Technology Form B02/CT-H THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project (Issued under Decision 19/2006/QĐ-BTC 30 March 2006 of the Minister of Finance) Central Management Unit of FIRST Project GENERAL REPORT ON FUNDING STATUS AND EXPENDITURE DOCUMENTATION Year 200..... I. FUNDING STATUS Unit: VND Funding sources Total amount During reporting period No 5 6 Cumulative to date During reporting period SPMU.... (as for CPMU) Cumulative to date Code Items A 1 2 3 4 CPMU B Funds brought forward Funds received during reporting period Total funds used during reporting period Used funds for documentation during reporting period Funds decrease during reporting period Funds carried forward II. Total GOV WB Total GOV WB Total GOV WB Total GOV WB 2 3 4 5 6 7 8 9 10 11 12 13 1 19 20 21 22 14 15 ... 23 24 EXPENDITURES TO CLAIM FOR DOCUMENTATION Unit: VND Funding sources No Total During reporting period CPMU Cumulative to date During reporting period SPMU.... Cumulative to date During reporting period SPMU. Cumulative to date ……. Code Total GOV WB Total GOV WB Total GOV WB Total GOV WB Total GOV WB Total GOV WB 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 Items A 1 B Project expenditures Project management costs 1 300 301 ... THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science 2 Project implementation costs and Technology" Project 302 Prepared by (Sign, name) Chief Accountant (Sign, name) Date: …………………………. Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project DETAILS OF PROJECT MANAGEMENT EXPENDITURES TO CLAIM FOR DOCUMENTATION Funding sources Total Amount Code No. During reporting period Cumulative to date A B Salaries Remuneration Allowances Bonus Welfare Contributions Public services Office facilities Communications Conferences Work trip allowances Hiring cost Cost of project missions Cost of external missions Regular repair Technical work Purchase of assets Other expenses 6750 6800 6850 6900 7000 9050 7750 Total 1 During reporting period SPMU.... Cumulative to date During reporting period Cumulative to date Total GOV WB Tota l GO V WB Total GOV WB Total GOV WB Total GOV WB Total GOV WB 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 Items 6000 6050 6100 6200 6250 6300 6500 6550 6600 6650 6700 CPMU THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project DETAILS OF USED FUNDS FOR DOCUMENTATION Funding sources N . Items A 1 B Compo nent 1 Subcompon ent 1.1 Subcompon ent 1.2 2 Compo nent 2 Subcompon ent 2.1 Subcompon ent 2.2 Subcompon ent 2.3 3 Compo nent 3 T Total Amount During reporting period T ota l GO V W B Contribu tion CPMU Cumulative to date T ota l GO V W B Total The Ministry of Science and Technology Central Project Management Unit (CPMU) Contribu tion During reporting period Tot al GO V W B Contribu tion SPMU..1.. Cumulative to date Tot al GO V W B Contribu tion During reporting period Tot al GO V W B Contribu tion .. . .. . THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Funding Status and Finalization of Used Funds under the Project Year...... I – Funding Sources 2.3. Items Code 2.4. 2.5. Units Balance brought forward Total A 2.6. Counterpart Funding received WB 2.7. Funding received accumulative to date Total Counterpart WB Total Counterpart WB 2 3 4 5 6 7 WB Total 6 7 CPMU SPMU 1.... SPMU 2.... SPMU 3.... SPMU 4.... SPMU 5.... TOTAL II – USED FUNDS FOR DOCUMENTATION 2.1. Project management costs Code 2.8. Items 2.9. 2.10. A Units 2.11. B CPMU SPMU 1.... SPMU 2.... SPMU 3.... SPMU 4.... SPMU 5.... .... TOTAL Accumulative to period start Total Counterpart WB 1 2 3 Total 4 Under the period Counterpart 5 Accumulative to date Counterpart WB WB 8 9 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 2.2. Project implementation costs: Code 2.12. 2.13. 2.14. A Items Units 2.15. B CPMU SPMU 1.... SPMU 2.... SPMU 3.... SPMU 4.... SPMU 5.... .... TOTAL .. Accumulative to period start Under the period Accumulative to date Total Counterpart WB Total Counterpart WB Total Counterpart WB 1 2 3 4 5 6 7 8 9 Contributions Public Services Office Facilities ..... NS NS NS III. FUNDS FOR DOCUMENTATION 3.1 Project management costs Code Items Units CPMU SPMU 1 SPMU 2 SPMU 3 SPMU 4 SPMU 5 ...... Total Total NS WB Salary NS WB Allowances NS WB Bonus NS WB Welfare NS WB NS WB WB WB ... WB THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 3.2. Project implementation costs Code Activities Total GOV WB Units Total GOV WB Component 1 Sub-comp 1.1 Sub-com 1.2 GOV WB GOV WB Total GOV WB Component 2 Sub-comp Sub-comp 2.1 2.2 GOV WB GOV WB CPMU SPMU 1 SPMU 2 SPMU 3 SPMU 4 SPMU 5 ...... Total Prepared by (Sign, name) Chief Accountant (Sign, name) Date: ………………………. Project Director (Sign, name and stamp) Sub-comp 2.3 GOV WB Component 3 Total GOV WB ANNEX 8-6: FINAL ACCOUNT CONSTRUCTION WORKS/WORK ITEMS ON COMPLETED CONTENTS AND METHODS OF PREPARING FINAL ACCOUNT ON COMPLETED CONSTRUCTION WORKS/ WORK ITEMS I. 1. Final account on investment capital (Form 01 – QTDA) Part I: Funding sources To reflect the receipt and use of investment funds for projects, works and work items by funding source. Specifically: - Column A: indicate all funding sources for works/projects: State Budget funds: the Central State Budget allocated for the project, works, and work items. WB funds Other funding sources: contributions of beneficiaries (in-kind contributions to be converted into money) and other funding sources (if any) - Column 1: indicate the plan (cost estimates) of funding sources for projects, works, work items that is approved by competent authorities under the investment decisions or cost estimates of works/work items (detail by funding source). - Column 2: indicate the actual funding sources given to projects, works, and work items to date (detail by funding source). - Column 3: indicate the differences resulting from the increase or decrease of the actual funding against the approved plan (if any). Part II: Total expenditures for documentation - Column A: indicate cost by funding structure (compensation for land clearance, construction, equipment… and other costs) - Column 1, 2, 3, 4: indicate the value of the cost estimates approved by competent authorities according to funding structures and sources: the government fund, WB fund, other funds (including approval for adjustments and modifications to project cost estimates). - Column 5, 6, 7, 8: indicate the actual expenditures to claim for documentation, cumulative to date for completed works, detail by funding structure and source (State Budget fund, WB fund, and other funds). Part III: Investment expenditures to be excluded from the value of the assets formed under investment (if any): Reflect all expenditures for investment, due to objective reasons such as: natural disasters, storms, floods, fire and explosion (if any)… that cause damage to THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project works/work items and decided by competent authorities to be excluded from (decrease in funding) and not accounted for in the assets formed under investment (detail by work and funding source). Part IV: Value of assets formed under investment - Column A: group according to types of assets: fixed assets and current assets - Column 1: indicate the value of assets according to actual funding - Column 2: indicate the value of assets according to the converted value at the time of asset handover to the users. Part V: Explanation for finalization report on investment funding - Progress of works/work items: the Project Director briefly presents the advantages and disadvantages during implementation of works/work items. - Changes against the initially approved plan such as: works scale and structures, replacement of the project owner, change in project management methodology… - Change in technical designs, total cost estimates and selection method for contractors… - Comments and evaluations of the results of works/work items, observance of the state's regulations on the processes and procedures for management of capital construction, funding, material and assets during implementation. - Recommendations: the Project Director gives recommendations to the line ministry and stakeholders. 2. Related legal documents (Form 02 – QTDA) Including legal documents related to the decision, purpose of investment and investment expenditures to claim for documentation. - Column A: indicate name of related documents - Column 1: indicate code and date of issuance of each document - Column 2: indicate name of units/organizations issuing the documents - Column 3: indicate total cost estimate approved (as in the approved decision of investment) 3. Investment progress throughout years (Form 03 – QTDA) Show the progress of use of funding (from start date to completion date) on a yearly basis for finalization of completed works/work items. - Column A: detail by funding structure (construction, equipment, and other costs) by year. - Column 1: total plan (cost estimate) as approved by year, including funding sources (State Budget, WB, other sources). THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science - and Technology" Project Column 2, 3, 4: total plan (cost estimate) by funding source (State Budget, WB, others) and by funding structure (construction, equipment, others). - Column 5: total amount of actual funding by year including funding sources (State Budget, WB, others) - Column 6, 7, 8: detail of use of funding by year and by funding structure. - Column 9: total amount of actual funding by year including funding structures. - Column 10, 11, 12: actual amount of funding by year, detail by funding structure and source. 4. Investment expenditures for documentation (Form 04 – QTDA) Reflect all investment expenditures from start date to completion date of works for clearance, including funding sources (State Budget, WB and others). - Column A: indicate name of works/work items from start date to completion date, detail by funding structure (construction and instalment, equipment, other costs). - Column 1: total cost estimate approved for each work/work item, including funding sources (State Budget, WB, other sources). - Column 2, 3, 4: cost estimate approved for each work/work item, detail by funding structure and source. - Column 5: actual amount of funding cumulative from start date to completion date for documentation under each work/work item, including funding sources (State Budget, WB, other sources). - Column 6, 7, 8: indicate the actual amount from start date to completion date for documentation under each work/work item, detail by funding structure and source. 5. Increase in new assets (Form 05 – QTDA) Reflect all assets formed under the investment, including quantity, value and converted value. - Column A: indicate name and code of each asset completed and handed over for use. - Column 1: indicate the measurement unit of each asset. - Column 2: indicate quantity of assets (group assets of the same unit price) - Column 3, 4: actual unit price and converted unit price of each asset (groups of assets) - Column 5, 6: total amount of actual (original) value and converted value of each asset (groups of assets). - Column 7: date of first use - Column 8, 9, 10: detail by funding source (State Budget, WB, others) - Column 11: indicate name of the unit receiving the assets. 6. Current asset handover (Form 06 – QTDA) Note: if the value of current assets in Form 01/QTDA is zero, this report is excluded THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Reflect all current assets for handover to the users upon work completion, including quantity, value and converted value, detail by user - Column A: indicate name of current assets for handover (cash, deposits, materials, debts, other current assets). - Column 1: indicate measurement unit of current assets. - Column 2: indicate quantity of current assets for handover. - Column 3, 4: indicate the actual and converted unit price of current assets for handover. - Column 5, 6: indicate total amount of actual and converted value of each current asset for handover. - Column 7: indicate name of users 7. Table of reconciliation of data on funding allocation, lending and payment (Form 08/QTDA) This is a table of reconciliation for each funding source for completed works/work items between the project owner and the agency providing funding and making payment (State Treasury) - Column A: numbering - Column B: items to be reported (by year, cumulative to completion date) - Column 1, 2: data of the project owner by year and cumulative to completion date and by funding source (State Budget and WB). Data of the project owner: to be recorded by PMU on the funding allocated for each work/work item from start date to completion date (detail by funding source) - Column 3, 4: indicate data of the agency providing funding/lending/making payment (State Treasury), detail by year and funding source (State Budget and WB) Data of the agency providing funding/lending/making payment: The State Treasury records the funding allocation and payment for each work/work item from start date to completion date (detail by funding source) - Column 5: differences in funding allocation and payment between the project owner and the agency (if any). II. FORMS FOR FINAL ACCOUNTS ON COMPELTED CONSTRUCTION WORKS/WORK ITEM The Ministry of Science and Technology Project Management Unit ..................... Form 01- QTDA (Issued under Circular 19/2011/TT/BTC 14 February 2011, the Ministry of Finance) CONSOLIDATED FINAL ACCOUNT OF COMPLETED WORKS/WORK ITEMS Project name Name of works/work items: Proejct Owner: Investment decision issued by: Place of construction: THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Approved scale of works......................................................Actual: ......................... Total costs approved…………………….. Date of start - completion: Approved……………………Actual………………...... I – FUNDING SOURCES: Unit: VND Actual progress Paid Differences 2 3 As Planned Funding source A 2.16. Total amount 1 - State Budget fund - WB fund - Other sources + Contributions of beneficiaries + Other sources II – INVESTMENT EXPENDITURES TO CLAIM FOR DOCUMENTATION Unit: VND Costs for clearance Approved cost estimates Items A Total -Compensation, land clearance - Construction - Equipment -Project management -Consultancy - Other costs GOV WB Other Total GOV WB Other Total 1 2 3 4 5 6 7 8 III – INVESTMENT EXPENDITURES EXCLUDED FROM THE ASSETS FORMED UNDER INVESTMENT Total amount: ……………………………………………………………… Of which: - State Budget fund ……….………………………………. - WB fund…………………………………………………. - Other sources: …………………………………………… IV – VALUE OF ASSETS FORMED UNDER INVESTMENT: Unit: VND No. A Value Name of assets 2.17. B Total Actual 1 Converted 2 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science 1 2 and Technology" Project Fixed assets Current assets V- NOTES TO FINALIZATION REPORT 1 – Progress of works/work items: - Changes against planning: ……………… Scale and structures of works, project management methods, replacement of project owner, methods for selection of contractors, funding sources, total funding...................................................... Changes in technical designs and approved cost estimates: …………………………... 2 – Comments, evaluations of progress: - Compliance with the procedures and processes for investment and construction of the state: - Management of funding and assets during investment ……………………… 3 – Recommendations: ………………………………………………………………………… Prepared by (Sign, name) Chief Accountant (Sign, name) Date: ………………………… Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science The Ministry of Science and Technology Project Management Unit ..................... and Technology" Project Form 01- QTDA (Issued under Circular TT 19/2011/TT/BTC 14 February 2011, the Ministry of Finance) RELATED LEGAL DOCUMENTS No. Name of document A Prepared by (Sign, name) Code & Date of issuance Issued by 1 2 Chief Accountant (Sign, name) Approved amount (if any) Remarks 3 4 Date: ………………………… Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Form 01- QTDA (Issued under Circular TT 19/2011/TT/BTC 14 February 2011, the Ministry of Finance) The Ministry of Science and Technology Project Management Unit ..................... CURRENT ASSETS FOR HANDOVER No. Items Unit Quant Unit Price Actual 1 2 3 B Materials: 2.18. 1 2 3 …... Funding: Cash Deposits …. 1 2 3 …. Receivables payables Receivables: Mr…. Mrs…. ….. 1 2 3 Convert ed 4 Unit: VND Users Total amount Actual Convert ed 5 6 7 and Payables: Total amount Note: If the value of current assets as in Form 01/QTDA equals to zero, this report is excluded. Prepared by (Sign, name) Chief Accountant (Sign, name) The Ministry of Science and Technology Project Management Unit ..................... Date: ………………………… Project Director (Sign, name, stamp) Form 01- QTDA (Issued under Circular 19/2011/TT/BTC 14 February 2011, the Ministry of Finance) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project TABLE OF RECONCILIATION DATA ON FUNDING ALLOCATION, LENDING AND PAYMENT - Project/program name: Project/program owner Agency allocating funds/lending/making payment I – Status of funding, lending and payment; No. Project Owner's Data Items A 1 2 B Accumulative funding, lending, payment from start date Details of funding lending, payment every year Year 1 Year 2 Year... Agency's Data GOV WB GOV WB 1 2 3 4 Differences (if any) 5 Explanation for differences (Increase/Decrease): ……………………………… II – COMMENTS, EVALUATIONS AND RECOMMENDATIONS: 1 – Comments: - Compliance with processes and procedures for construction and investment management… - Compliance with financial management for investment… 2 – Controls of processes for funding, allocation and payment.................................... 3 – Recommendations: on funding sources and expenditures to claim for documentation under authority.................................................. Date: …………………. Project Owner Chief Accountant Project Director (Sign, name) (Sign, name, stamp) Date: ……………………… Agency allocating funds/lending and payment Head of Department Manager/Director (Sign, name) (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project The Ministry of Science and Technology Project Management Unit ..................... Form 01- QTDA (Issued under Circular 19/2011/TT/BTC 14 February 2011, the Ministry of Finance) PERFORMANCE DURING YEARS OF IMPLEMENTATION No. 2.19. Year A Funding plan (Cost estimates) Total Of which amount GOV WB Other 1 2 3 4 Total amount 5 Actual spending Of which GOV WB 6 7 Other 8 Unit: VND Converted funds Total Of which amount GOV WB Other 9 10 11 12 Total Construction Equipment Other costs 1 Year 1: Total Construction Equipment Other costs 2 Year 2: Total Construction Equipment Other costs 3 Year 3.... Prepared by (Sign, name) Chief Accountant (Sign, name) Date: ……………………. Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project The Ministry of Science and Technology Project Management Unit ..................... Form 01- QTDA (Issued under Circular TT 19/2011/TT/BTC 14 February 2011, the Ministry of Finance) INVESTMENT EXPENDITURES FOR DOCUMENTATION BY COMPLETED WORKS/WORK ITEMS Unit: VND Approved cost estimates Name of works (Work items) A Total Amount 1 Expenditures for documentation GOV WB Other 2 3 4 Total Amount 5 GOV WB Other 6 7 8 Total - Construction - Equipment - Other costs - Work A: Total: - Construction - Equipment - Other costs Work item 1: Total: - Construction - Equipment - Other costs Work item 2: Total: - Construction - Equipment - Other costs Prepared by (Sign, name) Chief Accountant (Sign, name) Date: ………………………….. Project Director (Sign, name, stamp) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project The Ministry of Science and Technology Project Management Unit ..................... Form 01- QTDA (Issued under Circular 19/2011/TT/BTC 14 February 2011, the Ministry of Finance) INCREASE IN NEW ASSETS Unit price No. Name and code of fixed assets A B 2.20. 1 2 3 4 Total value (original) Unit Quant Actual Converted Actual 1 2 3 4 5 Converted 6 Unit: VND Funding Source Date of first use 7 GOV WB Other 8 9 Users 10 Total ...... Prepared by (Sign, name) Chief Accountant (Sign, name) Date: ………………………… Project Director (Sign, name, stamp) 11 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project ANNEX 8-7: TERMS OF REFEFENCE FOR INTERNAL AUDIT National consultant for internal audit for the “Fostering Innovation through Research, Science and Technology” project I. Objectives and scope of the internal audit assignment 1.1. Objectives Internal audit has the following objectives: To help the project achieve its development objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, internal controls, and governance processes. In particular, the Internal Auditor is required to: Assure that the design and operation of risk management, internal controls and governance systems are effective; Propose recommendations for improvement of the risk management, internal controls and governance system and monitoring the remedial actions. 1.2. Scope of work a. Overview The internal Auditor is required to: Review, develop and implement the risk management, internal controls and governance systems for FIRST project in coordination with the CPMU. Review the risk management, internal controls and governance systems of SPMUs (beneficiaries: GRIs, Firms) and support these SPMUs in project implementation and financial management. Make recommendations for improvement and monitor remedial actions to be taken. b. System under review The system under review includes policies and procedures adopted by CPMU and SPMUs to support CPMU in achieving the project objectives and building internal control capacity within CPMU. Project internal controls should comprise policies and procedures adopted by CPMU to support the achievement of objectives of ensuring, as far as possible, the value for money of its operations, including: - adherence to management policies, laws and regulations; - safeguarding of assets, prevention and detection of fraud and error; THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project - promoting orderly, economic, efficient and effective operations consistent with program objectives, - timely preparation of financial information; and - building internal audit capacity within the CPMU. c. Specific audit works i) Audit of grants The audit of project grants which are awarded to beneficiaries (research institutes, universities, enterprises) will be undertaken to ensure the proper use of grant funds in accordance with the following requirements: a. The grant funds are used towards the identified objectives and effectiveness b. Compliance with the guidelines and procedures set forth in PIM c. Financial management and accounting reports are in compliance with the Donor's regulations and the Ministry of Finance's policies. ii) Detailed audit works Ensure the effective operation of project systems (risk management, internal controls and governance). Details are as follows: 1. Ensure effectiveness and efficiency of budgeting process by activities below: ensuring that properly authorized disbursements from the Fund are made on a timely basis; management policies (in budgets, short and long-range forecasts) are complied with; 2. Ensure effectiveness and efficiency of accounting by activities below: Project transactions, that should have been entered in the CPMU, SPMUs, beneficiaries records and accounts, are recorded; unauthorized transactions were not recorded; those transactions that are entered are analyzed and posted correctly; source programs, which control the operation of the accounting systems in CPMU and beneficiaries (original entry and subsequent analysis and posting), cannot be tampered with; unauthorized access to the CPMU accounting system is denied; ensure that Project assets are properly controlled and accounted for; 3. Ensure effectiveness and efficiency of internal controls by activities below: ensuring the appropriateness of the internal control system in monitoring project expenditures and other financial activities and ensuring safe control of assets purchased by project funds to achieve objectives of internal controls; THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project ensuring the internal controls are in compliance with policies and guidelines on procurement, financing and reporting requirements of funding arrangements and contracts; responsible to find out and detect the fraud and corruption; assets of the entity are neither misappropriated nor used in an uneconomical or inefficient fashion; deviation from plan ( financing, procurement….) are noted, investigated and timely responses made; assist in developing the accounting and financial management policies and procedures in the Financial Management Section of the Implementation Manual; ensure implementation of the Financial Management provisions throughout the Project; ensure implementation of the procurement and contract provisions in the Implementation Manual throughout the project; advise the Project Coordinator of CPMU on all financial and control considerations of the project; and train the staff seconded to assist Internal Audit. 4. Ensure effectiveness and efficiency of reporting system by activities below: financial information is communicated in the most effective way so that those entitled to it may maximize their use of it; and the financial statements show a true and fair view; ensure the maintenance of up-to-date Fund financial accounts. 5. Co-operation with External Financial Auditor, Integrated Performance Auditor and MOST Inspectorate - Internal audit can use the external auditing report including the conclusion for reference. - To assist the MOST Inspectorate (or internal audit unit of MOST) to evaluate the implementation’s process based on the guidelines and principles from the WB. - Maintain communication with relevant agencies of the Project. II. Applicable auditing standards The internal audit shall be carried out in accordance with International Standards on Internal Auditing Standards issued by the Institute of Internal Auditors and International Standards on Auditing (where applicable), as promulgated by the International Federation of Accountants (IFAC) or Local Standards on Auditing. III. Reporting and deliverables The Consultant shall prepare reports after each auditing session as scheduled in Section V below. Within 45 days from the last day of each auditing session, the Consultant shall complete the following reports (in Vietnamese and English and in electronic format if required): a) Audit reports for selectively audited units. THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project b) Other reports under the objectives and scope of assignment of the auditor. The reports will be in English and Vietnamese, with 10 hard copies for each language version in a format and manner acceptable to the Donor (WB) and the Client (CPMU). Internal audit reports shall be submitted at the same time to the CPMU Director and World Bank as well as MOST's department of finance for review and submission to MOST's leaders. IV. Auditing schedule and arrangements: - The Consultant is expected to carry out the service twice per year. Each audit will not be longer than three months (the first audit is expected to start on January 1 and end on March 31 and the second is from October 1 to December 31 every year). - Prior to each auditing session, the Consultant will prepare an annual internal audit plan to submit to CPMU for agreement prior to implementation (including selection of units to be audited). - During the execution of the assignment, the internal auditor will conduct regular visits to SPMUs (beneficiaries: GRIs, firms) to evaluate their financial management, transactions, accounting records and reports related to FIRST which are maintained at these SPMUs. Site visits will be done on rotating basis and focused on beneficiaries with low capacity in project management and lack of experience in implementing WB financed projects in order to provide timely actions for improvement. V. Supporting Documents to be provided to the Consultant The auditor will be given access to all legal documents, correspondence and any other information associated with the Project that may reasonably be deemed necessary to enable him/her to undertake the audit. VI. Qualifications and Requirements: - Good health; - Bachelor’s degree in economics, finance and accounting/audit (prefer candidates with CPA or ACCC, CIA certificates, and post graduate degrees). - At least 10 years of experience in financial and accounting fields, audit/internal audit (prefer candidates with experience in ODA projects and independent international audit companies). - At least 5 years of experience in financial and accounting fields, audit and internal audit for World Bank funded projects (prefer candidates with experience as leaders of independent audit teams or internal auditors under World Bank funded projects). - Good computer skills (Microsoft Word, PowerPoint, Excel, Internet); - Fluent written and spoken English. THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science VII. and Technology" Project Inputs - The Consultant will be given access to office equipment and facilities (computers, printers, photocopiers and stationery, etc.) at PMU office. - Expected working duration: Terms of the contract is 5 years with man-months not exceeding 6 months per year. VIII. Terms of Payment Details of payment for the Consultant will be agreed upon by the two parties at contract negotiations and signing. THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 9-1: Legal Basis 1. World Bank Safeguard Policies and Guidelines OP 4.01: Environmental Assessment1 The OP 4.01 is triggered as the project may cause some minor/moderate adverse environmental and social impacts associated with the construction of VINALAB-MAMET under component 2c and subprojects and activities under Components 2a and 2b. Public Consultation and Information Disclosure OP4.01 requires during the EA process, that project-affected groups and local non-governmental organizations (NGOs) be consulted about the project's environmental aspects and takes their views into account. OP 4.01 further requires that such consultations are initiated as early as possible during project preparation and throughout project implementation as necessary to address EA-related issues that affect them. As per the World Bank’s Policy on Access to Information and OP4.01 all Environmental Assessment reports will be disclosed locally inaccessible place and also at the Infoshop in Washington DC. The World Bank Group Environmental, Health & Safety (EHS) General Guidelines The EHS Guidelines are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP), as defined in IFC's Performance Standard 3 on Pollution Prevention and Abatement. The EHS Guidelines contain the performance levels and measures that are normally acceptable to The World Bank Group and are generally considered to be achievable in new facilities at reasonable costs by existing technology. When host country regulations differ from the levels and measures presented in the EHS Guidelines, projects are expected to achieve whichever is more stringent. If less stringent levels or measures are appropriate in view of specific project circumstances, a full and detailed justification for any proposed alternatives is needed as part of the site-specific environmental assessment. This justification should demonstrate that the choice for any alternate performance levels is protective of human health and the environment. The FIRST Project has been screened and rated as environmental Category B under the World Bank's safeguard policy on environmental assessment (OP/BP 4.01). Only the OP/BP 4.01 is triggered, any proposed sub-project triggering other WB safeguard policies other than OP/BP 4.01is not eligible for financing. The safeguard policies triggered by project activities are presented in table 1. Table 1. World Bank Safeguards Policies Triggered by the FIRST Project World Bank Safeguard policies Triggered Environmental Assessment (OP/BP 4.01) Yes Natural Habitats (OP/BP 4.04) No Forests (OP/BP 4.36) No Pest Management (OP 4.09) No 1 For more details about WB guidelines and Policies, please visit Bank websites: http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:64168427~piP K:64168435~theSitePK:584435,00.html and http://www.ifc.org/ifcext/sustainability.nsf/Content/EHSGuidelines THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Physical Culture Resources (OP/BP 4.11) No Indigenous Peoples (OP/BP 4.10) No Involuntary Resettlement (OP/BP 4.12) No Safety of Dams (OP/BP 4.37) No Projects on International Waters (OP/BP 7.50) No Projects in Disputed Areas (OP/BP 7.60) No 2. Vietnam’s Legislation for Environmental Assessment and Management The following Vietnamese laws, decrees and standards are applicable to the Project: Laws Environment Protection Law 52/2005/QH11 passed by the National Assembly dated on 29/11/2005 regulating responsibilities of individuals and organizations regarding environmental protection. The Law on Water resources no. 08/1998/QH10 dated 20 May 1998 The Law on traffic and transportation No. 23/2008/QH12 The Law on construction No. 16/2003/QH11 Decrees and Circulars Decree No. 80/2006/ND-CP dated August 9th, 2006 by Vietnamese Government on detail regulations and guidance on the implementation of some Articles of the Environment Law. Decree No. 29/2011/NÐ-CP dated 18 April 2011 regarding regulations on strategic environmental assessment, environmental impacts assessment and environmental protection commitments Decree No. 73/2010/ND-CP on administrative penalization security and society issues Decree No. 59/ND-CP on management of solid waste Decree of Government No. 149/2004/ND-CP on the permits for water resource exploration, exploitation and use, or for discharge of wastewater into water source Decree No. 1338/NĐ-CP on technical guidelines for construction within weak foundation area Decree No. 22/2010/TT-BXD on regulation of construction safety; Circular No. 26/2011/TT-BTNMT dated 18 July 2011 detailing some articles of Decree no. 29/2011/ND-CP dated 18 April 2011 regarding regulations on strategic environmental assessment, environmental impacts assessment and environmental protection commitments Circular No.12/2006/TT-BTNMT on Regulations on Companies engaging in Hazardous Waste Generation, Transportation and Disposal Circular No.12/2011/TT-BTNMT on Hazardous waste management Circular No.02/2005/TT-BTNMT on guiding the implementation of the Government Decree 149/2004/ND-CP on the permits for water resource exploration, exploitation and use, or for discharge of wastewater into water source Decision 35/2010/QĐ-UBND on the permits for water resource exploration, exploitation and use, or for discharge of wastewater into water source within the area of Hanoi Decision No.23/2006/QD-BTNMT on the List of Hazardous Waste THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Instruction No. 02 /2008/CT-BXD on safety and sanitation issues in construction agencies Among the above legislations, the Decree No. 29/2011/ND-CP details some regulations that the project has to directly cross-reference as discussed below: Appendix II lists the projects that requires EIA be prepared. Appendix III lists the projects of which EIAs are subjected to MONRE appraisal and approval. Below are most relevant to the proposed projects: Projects that use land of national park, natural reserve, world heritage, national historical/ cultural/landscape, biosphere conservation sites, except those using less than 20 ha of land in the buffer of biosphere conservation sites; Projects that require conversion of watershed protection forests, waves/wind/sand blowing protection forests, from 20 ha of specialized forests or from 100 ha of other natural forests, from 20 ha of two crops rice field land, from 100 ha new aquaculture farms on sandy soil; Projects implemented in areas covering more than one province. Standards QCVN 03: 2008/BTNMT: National technical regulation on the allowable limits of heavy metals in the soils; TCVN 6774:2000 – water quality – freshwater quality for aquatic lives QCVN 05:2009/BTNMT-National technical regulations on ambient air quality; QCVN 06: 2009/BTNMT: National technical regulation on hazardous substances ambient air QCVN 07: 2009/BTNMT: National technical regulation on hazardous waste thresholds QCVN 08: 2008/BTNMT: National technical regulation on quality of surface water QCVN09:2008/BTNMT: National technical regulation on quality of groundwater QCVN 14: 2008/BTNMT :National technical regulation on domestic wastewater QCVN 15:2008/BTNMT: National technical regulation on the pesticide residues in the soils; QCVN 40:2011/BTNMT: National technical regulation on industrial wastewater TCVN 5308-9: Technical regulation on safety in construction; TCVN 7222:2002: General requirements on waste water treatment plants; TCVN 4447:1987: Earth works-Codes for construction Chance finds procedures Law on Cultural Heritage (2002) Law on Cultural Heritage (2009) for supplementary and reformation Decree No. 98/2010/ND-CP for supplementary and reformation THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 9-2: Environmental and social safeguards checklist With all sub-project/activities under Component 2 of FIRST project, the CPMU environmental staff/consultant will do screening to determine the eligibility of subprojects. The CPMU environmental staff or/and consultant will complete the checklist. By indicating “Yes” to any safeguard policy other than Environment Assessment-OP4.01, the sub-project will be considered as not eligible. Note: if any policy is triggered by the sub-project, the project’s owner must indicate the severity of the potential impact as instructed in the Table below. If not, the sub-project will be considered as environmentally non-eligible. Note: Explanation should be given with each Yes/No question. In addition, if the policy OP/BP 4.01 is triggered by the subproject, the project’s owner must indicate the severity of the potential impact as instructed in the Table below. THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science Safeguard policy Environmental Assessment and Technology" Project Identification of Possible Safeguard issue(s) Does the project have the potential for adverse environmental or social risks and impacts in its area of influence Please check on box No Yes If Yes, indicate here the potential severity for the impact and proposed project design elements that will help prevent potential adverse impacts Natural Habitats The Bank does not finance projects that degrade or convert critical habitats (protected areas or sites important for biodiversity). Do the project activities have the potential to cause significant conversion (loss) or degradation of non-critical natural habitats? (The loss can occur either directly e.g. construction activities) or indirectly (through human activities induced by the project) No Yes Pest management Are any pesticides or procurement of pesticide equipment being financed by the project No Yes Does the project introduce new pest management practices or expand or alter existing pest management practices No Are there other project activates that may lead to substantially increased pesticide use No Does the project include the manufacture or disposal of environmentally significant quantities of pest control products? No Does the project have the potential to have an impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests? No Forests Yes Provide your response here, if applicable THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Does the project aim to bring about changes in the management, protection, or utilization of natural forests or plantations No Yes Safety of Dams Are any project activities related to the construction for a large-scale dam? No Yes Cultural property Would project activities likely adversely affect physical cultural resources? No Yes No Yes These could be temples, burial sites, or archeological sites Projects in international Waterways Are project activities being conducted in international waterway Involuntary Resettlement Is there any possibility that project activities would displace persons involuntarily? Please note that loss of land or other assets caused by: (i) relocation or loss of shelter; (ii) loss access to assets in protected areas resulting in adverse impacts on livelihoods; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. If Land is acquired and no person is involuntarily displaced, the policy is not triggered. Yes Indigenous peoples (ethnic minorities) Would the project likely have negative impacts on ethnic minorities or have the potential to bring positive benefits to ethnic minorities Yes Date Screened by Verified by (full name and signature) (Sign and stamp by the PMU director) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 9-3: Environmental Impacts Screening After referring to each sub-project proposal and their relevant “environmental and Social safeguards check list”, the central PMU and its consultant are required to fill in the Environmental Impact Screening Form to determine the magnitude of positive and negative impacts that each subproject can bring about and thus to decide if the sub-project is environmentally eligible. Subproject name: 1. Determination of subproject type EIA-type EPC-type EMP-type C-type 2. Reason for the Sub-project type characterization (fill the environmental-social screen table) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Socio-environmental issue Will the construction and associated activities cause: (Instruction: Where possible, give quantitative information in “comments” column when the answer is “yes” for the case that no mitigation measures applied, FIRTST-PMU can add questions at the end of this table and give the answer if additional issues are identified. 1. Clearance of trees at construction sites, camps, or storage areas? 2. Water pollution (increased turbidity due to construction wastes or construction materials, fuels from construction sites come into water bodies), or localized flooding due to wastewater from subproject site? 3. Noise, dusts and vibrations generated from subprojects and construction activities (e.g. pilling, concrete mixing etc.)? 4.Generation of construction waste? 5.Landscape degradation at site exploited for filling materials? 6.Increased land sliding potentials at excavated sites? 7.Traffic disturbance due to the transportation and temporary loading of construction materials, and/or construction activities? 8. Damages to crops, existing infrastructure? 9.Interruption of existing public services (irrigation, power supply, telecommunication phone line etc.)? 10.Safety risks to local community, particularly children, and workers? 11.Limit access to water by local water users, or limit access to other public services? Yes No comment THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 12.Graves, explosive materials, cultural/ archeological objects are exposed? 13. Erosion during operation phase of rehabilitated irrigation works? 14.Disrupt access to households? 15. Others 3. Conclusions Is the sub-project environmentally eligible? Yes No 4. If there is any approved safeguard documents was obtained? Yes No If yes, please clarify 5. What further Environmental Assessment Instruments should be prepared by subproject owner? EIA EMP EPC None Date Verified and Screened by Full name and signature of Environmental Staff/Consultant THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 9-4: Environmental management plan (EMP) model for FIRST subproject 1. Subproject description Provide pertinent background for parties who may conduct the EMP, whether they are government agencies/sponsors, consultants or NGOs. Include a brief description of the major components of the proposed project, a statement about its need and objectives, the implementing agency, a brief history of the project (including alternatives considered), its current status and timetable, and the identities/natures of any associated projects. A summary description of the environmental setting should be provided. 2. Applicable Environmental Legislations Identify laws, regulations and guidelines likely to govern the conduct of the assessment or specify the content of its report. They may include any or all of the following: World Bank Operational Policy; i.e. "Environmental Assessment; Public Consultation and Information Disclosure and The World Bank’s Environmental, Health and Safety National laws and/or regulations on environmental reviews and impact assessments; Regional, provincial or communal environmental assessment regulations; and EA regulations of any other financing organizations involved in the project. Identify design or operating standards that project components must meet to be in compliance with environmental safeguards. This will include, for example, air emission standards and occupational health and safety requirements. 3. Adverse Impacts and Mitigate Measures Summary of impacts: Predicted adverse environmental and social impacts (and any uncertainties about their effects) for which mitigation is necessary should be identified and summarized. Description of mitigation measures: Each measure should be briefly described in relation to the impact(s) and conditions under which it is required. These should be accompanied by, or referenced to, designs, development activities (including equipment descriptions), operating procedures, and implementation responsibilities. Proposed mitigation measures to facilitate public consultation should be clearly described and justified. The presentation of adverse impacts and mitigation measures can be as follows: Activities Design Phase Environmental Impacts/Issue Mitigating Measures Responsibility Date (Start/End) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Subproject implementation phase Subproject Operation phase 4. Institutional Arrangements Responsibilities for mitigation, monitoring, and supervision should be defined along with arrangements for information flow, especially for coordination between agencies responsible for mitigation. This is especially important for projects requiring cross-sectoral/Institutional integration. In particular, the EMP specifies who is responsible for undertaking the mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring of implementation, training, financing, and reporting. Institutional arrangements should also be crafted to maintain support for agreed enforcement measures for environmental protection. Where necessary, the EMP should propose strengthening the relevant agencies through such actions as: establishment of appropriate organizational arrangements; appointment of key staff and consultants; and, arrangements for counterpart funding and on-lending. 2.1. Organizations The organizations in charge of implementation and supervision of the mitigation and monitoring measures can be described via a chart. For example: MOST The World Bank PMU Equipment suppliers and contractors (where applicable) Sub projects Department of Natural Resources & Environment (DONRE) PMU THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 2.2. Responsibilities These stakeholders may be involved in the subproject environmental management. The responsibilities of the relevant stakes holders in each subproject should be represented as bellows No Organization 1 Subproject owner 2 Design Engineer 3 PMU 4 Contractors/Equipment Suppliers 5 Construction Supervision Consultant 6 Environmental Consultant 7 Etc. 5. Responsibilities Monitoring and Reporting 2.1. Description of monitoring program (where applicable) The EMP identifies monitoring objectives and specifies the type of monitoring required; it also describes performance indicators which provide linkages between impacts and mitigation measures identified in the EA report, parameters to be measured, methods to be used, sampling location and frequency of measurements, detection limits (as appropriate) and definition of thresholds to signal the need for corrective actions. Monitoring and supervision arrangements should be agreed by the subproject owner and PIU/PMU the Bank and the borrower to: ensure timely detection of conditions requiring remedial measures in keeping with good practice; furnish information and the progress and results of mitigation and institutional strengthening measures; and, assess compliance with national and Bank environmental safeguard policies. MONITORING PLAN THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science What parameter is to be monitored? and Technology" Project Where How When Is the parameter to be monitored? Are the parameter to be monitored/ type of monitoring equipment? is the parameter to be monitoredfrequency of measurement or continuous Standard applied Monitoring Cost What is the cost of equipment or contractor charges to perform monitoring Responsib Report to ility / frequency Time (Start/End Date) THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 2.2. Supervision of Contingency Plan Preparation, training activities (where applicable) For example: contingency plan against fire risk 2.3. Environmental Compliance Framework For example Compliance framework for equipment suppliers 6. Capacity Building/Training Plan (where applicable) Organizer Course Participants Frequency Duration Content Budget 7. Budgets Cost estimates: These should be specified for both the initial investment and recurring expenses for implementing all measures defined in the EMP, integrated into the total project costs and factored into loan negotiations. It is important to capture all costs – including administrative, design and consultancy, and operational and maintenance costs – resulting from meeting required standards or modifying project design. 8. Consultation and Public Disclosure Presenting the results of Consultation and Public Disclosure 9. Other Information Include here lists of data sources, project background reports and studies, relevant publications, and other items to which the consultant's attention should be directed. THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 9-5: Sample Format for Checklist on Environmentally Friendly Design Criteria General Information Name of Project Name of engineer/ technical officer Date of Site Study Completed Information Source Proposed Output Design Criteria Name of site for office rehabilitation/construction Person(s) who conducted the studies The date on which the on site studies were completed. Name and contact of person(s) contacted Office rehabilitation or new office construction Yes No Unknown 1. Maximizing the blending of architectural design to important cultural site next or nearby to the site. 2. Maximizing natural light in order to minimize artificial light needs. 3. Maximizing natural ventilation systems, minimizing the necessities of air conditioning 4. Maximizing rain water storage for the irrigation of gardens and green zones in the office (where applicable) 5. Promoting the usage of environment-friendly materials (avoid asbestos and other hazardous or toxic materials) 6. Planting of native species in gardens and green areas in the offices (where applicable) 7. Stabilization of slopes using vegetative measures (where required) 8. Adequateness of fire safety system 9. Etc. Others (describe) 227 Remark THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 9-6: Environmental Code of Practice (ECOPs) (Adapted for FIRST from standardized ECOPs for World Bank – funded small work project in Vietnam) ISSUES/RISKS 1. Dust generation/ Air pollution 2. Noise and vibration 3. Water pollution MITIGATION MEASURE The Contractor implement dust control measures to ensure that the generation of dust is minimized and is not perceived as a nuisance by local residents, maintain a safe working environment, such as: - water dusty roads and construction/rehabilitation sites; - covering of material stockpiles; - Material loads covered and secured during transportation to prevent the scattering of soil, sand, materials, or dust; - Exposed soil and material stockpiles shall be protected against wind erosion. The contractor is responsible for compliance with the relevant Vietnamese legislation with respect to noise and vibration. All vehicles must have appropriate “Certificate of conformity from inspection of quality, technical safety and environmental protection” following Decision No. 35/2005/QD-BGTVT; to avoid exceeding noise emission from poorly maintained machines. When needed, measures to reduce noise to acceptable levels must be implemented and could include silencers, mufflers, acoustically dampened panels or placement of noisy machines in acoustically protected areas. Avoiding or minimizing transportation though community areas and avoiding as well as material processing areas (such as cement mixing). Portable or constructed toilets must be provided on site for construction workers. Wastewater from toilets as well as kitchens, showers, sinks, etc. shall be discharged into a conservancy tank for removal from the site or discharged into municipal sewerage systems; there should be no direct discharges to any water body. Wastewater over permissible values set by relevant Vietnam technical standards/regulations must be collected in a conservancy tank and removed from site by licensed waste collectors. At completion of construction works, water collection tanks and septic tanks shall be covered and effectively sealed off. 228 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science 4. Drainage and sedimentation 5. Solid waste and Technology" Project Do not allow waste, litter, oils or foreign materials into water sources Do not wash cars or machinery in natural water sources A comprehensive listing of sources and location of wastewater discharge will be prepared and maintained Appropriate operating procedure will be undertaken for minimization of wastewater (such as neutralizing predisposal treatment, etc.) The Contractor shall follow the detailed drainage design included in the construction plans, to ensure drainage system is always maintained cleared of mud and other obstructions. Ensure drainage system is always maintained cleared of mud and other obstructions Areas of the site not disturbed by construction activities shall be maintained in their existing conditions. At all places of work, the Contractor shall provide litter bins, containers and refuse collection facilities. Solid waste may be temporarily stored on site in a designated area approved by the Supervision Consultant/Project Owner and relevant local authorities prior to collection and disposal. Waste storage containers shall be covered, tip-proof, weatherproof and scavenger proof. No burning, on-site burying or dumping of solid waste shall occur. Recyclable materials such as wooden plates for trench works, steel, scaffolding material, site holding, packaging material, etc. shall be collected and separated on-site from other waste sources for reuse, for use as fill, or for sale. If not removed off site, solid waste or construction debris shall be disposed of only at sites identified and approved by the Supervision Consultant/Project Owner and included in the solid waste plan. Under no circumstances shall the contractor dispose of any material in environmentally sensitive areas, such as in areas of natural habitat or in watercourses. Used oil and grease shall be removed from site and sold to an approved used oil recycling company. Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles and machinery shall be collected in holding tanks and removed from site by a specialized oil recycling company for disposal at an approved hazardous waste site. Store chemicals in safe manner, such as roofing, fenced and appropriate labeling. Do not use unapproved toxic materials, including lead-based paints Areas to be cleared should be minimized as much as possible. The Contractor shall remove topsoil from all areas where topsoil will be impacted on by rehabilitation activities, including temporary activities such as storage and stockpiling, etc.; the stripped topsoil shall be 6. Chemical or hazardous wastes 7. Disruption of vegetative cover 229 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and ecological resources 8. Traffic management 9. Interruption of utility services 10. Restoration of affected areas 11. Worker and public Safety and Technology" Project stockpiled in areas agreed with the Supervision Consultant/Project Owner for later use in re-vegetation and shall be adequately protected. The application of chemicals for vegetation clearing is not permitted. Prohibit cutting of any tree unless explicitly authorized in the vegetation clearing plan. When needed, erect temporary protective fencing to efficiently protect the preserved trees before commencement of any works within the site. The Contractor shall ensure that no hunting, trapping shooting, poisoning of fauna takes place. Before construction, carry out consultations with local government and community and with traffic police. Significant increases in number of vehicle trips must be covered in a construction plan previously approved. Routing, especially of heavy vehicles, needs to take into account sensitive sites such as schools, hospitals, and markets. Installation of lighting at night must be done if this is necessary to ensure safe traffic circulation. Place signs around the construction/rehabilitation areas to facilitate traffic movement, provide directions to various components of the works, and provide safety advice and warning. Employing safe traffic control measures, including road/rivers/canal signs and flag persons to warn of dangerous conditions. Avoid material transportation for construction during rush hour. Signpost shall be installed appropriately in both water-ways and roads where necessary. Provide information to affected households on working schedules as well as planned disruptions of water/power at least 2 days in advance. Any damages to existing utility systems of cable shall be reported to authorities and repaired as soon as possible. Cleared areas such as disposal areas, site facilities, workers’ camps, stockpiles areas, working platforms and any areas temporarily occupied during construction of the project works shall be restored using landscaping, adequate drainage and revegetation. Soil contaminated with chemicals or hazardous substances shall be removed and transported and buried in waste disposal areas. Contractor shall comply with all Vietnamese regulations regarding worker safety. Training workers on occupational safety regulations and provide sufficient protective clothing for workers in accordance with applicable Vietnamese laws. 230 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 12. Communication with local communities 13. Chance find procedures Install fences, barriers, dangerous warning/prohibition site around the construction area which showing potential danger to public people. The contractor shall provide safety measures as installation of fences, barriers warning signs, lighting system against traffic accidents as well as other risk to people and sensitive areas. If previous assessments indicate there could be unexploded ordnance (UXO), clearance must be done by qualified personnel and as per detailed plans approved by the Construction Engineer. Do not use of alcohol by workers during work hours Do not work without safety equipment (including boots and helmets) The contractor shall coordinate with local authorities (leaders of local communes, leader of villages) for agreed schedules of construction activities at areas nearby sensitive places or at sensitive times (e.g., religious festival days). Copies in Vietnamese of these ECOPs and of other relevant environmental safeguard documents shall be made available to local communities and to workers at the site. Disseminate project information to affected parties (for example local authority, enterprises and affected households, etc.) through community meetings before construction commencement. Provide a community relations contact from whom interested parties can receive information on site activities, project status and project implementation results. Inform local residents about construction and work schedules, interruption of services, traffic detour routes and provisional bus routes, blasting and demolition, as appropriate. Notification boards shall be erected at all construction sites providing information about the project, as well as contact information about the site managers, environmental staff, health and safety staff, telephone numbers and other contact information so that any affected people can have the channel to voice their concerns and suggestions. Do not create nuisances and disturbances in or near communities If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall: Stop the construction/excavation activities in the area of the chance find; Delineate the discovered site or area; 231 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department of Culture and Information takes over; Notify the Supervision Consultant/ Project Owner who in turn will notify responsible local or national authorities in charge of the Cultural Property of Viet Nam (within 24 hours or less); Relevant local or national authorities would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values; Decisions on how to handle the finding shall be taken by the responsible authorities. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage; If the cultural sites and/or relics are of high value and site preservation is recommended by the professionals and required by the cultural relics authority, the Project’s Owner will need to make necessary design changes to accommodate the request and preserve the site; Decisions concerning the management of the finding shall be communicated in writing by relevant authorities; Construction works could resume only after permission is granted from the responsible local authorities concerning safeguard of the heritage. 232 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 10-1: Project Monitoring and Evaluation (M&E) framework 1. Project Development Objective Indicators Cumulative Target Values Indicator Name Unit of Measure Baseline YR1 YR2 YR3 YR4 End Target Frequency Data Source/ Methodology Responsibility for Data Collection 1. Increase in the number of international scientific publications made by beneficiary organizations (disaggregated by gender) NASATI/ Percentage 0.00 0.00 0.00 5.00 5.00 10.00 Annual MOST/CPMU MOST 2. Increase in innovative activity by beneficiary organizations (disaggregated by gender) MOST/ Percentage 0.00 0.00 0.00 5.00 5.00 10.00 Annual MOST/CPMU NASATI Notes: 1. International scientific publications refer to publications recorded in the Thomson Reuters and Scopus databases or their successor databases; gender of each author of a publication will be recorded. 2. Innovative activity refers to new to firm number of products or processes introduced following the Frascati manual definition; gender of each head of the organization will be recorded. 233 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science 2. and Technology" Project Intermediate Results Indicators Cumulative Target Values Indicator Name Unit of Measure Baseline YR1 YR2 YR3 YR4 End Target Frequency Data Source/ Methodology Responsibility for Data Collection 1. Number of international researchers participated in Number project (disaggregated by gender) 0.00 0.00 0.00 20.00 30.00 50.00 Annual Project M&E MOST/PMU Reports No No Yes Yes Yes Yes Once NASATI NASATI/ 2. Conduct STI Survey Yes/No MOST 3. Number of GRIs with satisfactory implementation of GRI grant Number 0.00 0.00 3.00 3.00 5.00 6.00 Annual Project M&E NASATI/ Reports MOST/PMU Annual GRI performance indicators database (Project M&E Reports) 4. Number of competitive grants awarded to Number innovative technology enterprises(disaggregated by gender) 5. Number of matching Number 0.00 0.00 10.00 0.00 15.00 1.00 20.00 3.00 grants successfully 234 25.00 3.00 32.00 4.00 Annual MOST/ VISTEC/ NASATI Project M&E MOST/PMU Reports NASATI THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project implemented by researchinnovation consortia 6. National Core Technology Laboratory for Mechanical Manufacturing Automation and Embedded Technology (VINALAB-MAMET) begins its business operation Yes/No 7. Research report delivered Number No No No Yes Yes Yes Annual Project M&E MOST Reports 0.00 0.00 0.00 0.00 0.00 1.00 Once Project M&E MOST/PMU Reports Notes: These Intermediate Results Indicators are described as follows: Indicator Name 1. Number of international researchers participated in project (disaggregated by gender) Description Gender of participating foreign talent will be recorded; gender of local collaborators will also be recorded. 2. Conduct STI Survey The status (Yes/No) of STI Survey conducted each year. 3. Number of GRIs with satisfactory implementation of GRI grants As determined by an independent evaluation to be carried out by a recognized professional organization or university. 235 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project 4. Number of competitive grants awarded to innovative technology enterprises (disaggregated by gender) 5. Number of matching grants successfully implemented by researchinnovation consortia 6. National Core Technology Laboratory for Mechanical Manufacturing Automation and Embedded Technology (VINALAB-MAMET) begins its business operation 7. Research report delivered Indicator will follow the definition of this PIM for enterprises which are eligible to receive the competitive grants; gender of head of the enterprise will be recorded. Grants in process of execution will be used for this count during the implementation period of the project. The start (Yes/No) of VINALAB-MAMET business operation by a private firm. Number of research papers on project activities completed and delivered. 236 THE MINISTRY OF SCIENCE AND TECHNOLOGY "Fostering Innovation through Research, Science and Technology" Project Annex 10-2: Project Report - Sample table of contents 1. Project Progresses and Calendar a. Past events (Trainings and Workshops that took place throughout the last three months) b. Upcoming Events (Trainings, Workshops, Study tour; as scheduled in the latest procurement plan) c. Description of problems encountered and issues that need to be addressed 2. Status of Components a. Progress, achievements and bottleneck of each sub-component i. Proposal received, reviewed, and awarded for each type of Grant ii. Progress on CoretechLab iii. Status of NASATI and other SPMUs’ sub-projects iv. Hits to the Project website v. .... b. Explanation of deviations from the targets c. Discuss any noticeable update of Intermediate results indicators 3. Update on the Beneficiaries a. New parties joining the Project b. Update on SPMU (NASATI and others) c. Personnel changes in the Central Project Management Unit 4. Financial and Procurement Report 5. Annexes Minutes, Proceedings and Lists of Participants of Trainings/Meetings/Workshops (last three months) 237
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