1. business and industrial
2. business operations
3. management
4. project management

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
bangkok@most.gov.vn
Tel Aviv
Israel
Chu Thanh Hải
00972544628966
telaviv@most.gov.vn
New Dehli
India
Phạm Văn Trung
00919871516868
newdehli@most.gov.vn
Guangzhou
China
Vũ Quang Hiếu
008613070211678
quangchau@most.gov.vn
Kunming
China
Phạm Minh Tiến
008618988412468
conminh@most.gov.vn
Beijing
China
Hoàng Duy Cường
0018618381469
backinh@most.gov.vn
Seoul
South Korea
Nguyễn Đình Tâm
008201047261964
seoul@most.gov.vn
Tokyo
Japan
Vũ Ngọc Minh
008043365256
tokyo@most.gov.vn
Osaka
Japan
Vũ Việt Dũng
00818042492907
osaka@most.gov.vn
Paris
France
Dương Đức Dũng
0033681588685
paris@most.gov.vn
Taipei
Taiwan
Đào Văn Thông
00886225036840
dailoan@most.gov.vn
Canberra
Australia
Vũ Văn Tới
0061423641975
canberra@most.gov.vn
California
USA
Đỗ Hồng Nam
004158295369
california@most.gov.vn
New York
USA
Nguyễn Hữu Hưng
009173990940
newyork@most.gov.vn
Washington
USA
Trần Ngọc Ca
0012022563219
washington@most.gov.vn
Moscow
Russia
Đinh Quang Tuyến
0079629967932
moscow@most.gov.vn
Berlin
Germany
Bạch Ngọc Dậu
004915203434168
berlin@most.gov.vn
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/
tqthang@most.gov.vn
2
Hoàng Minh Thức *
Chief of Department of Planning and
General Affairs – MOST; Project Vice
Director
090 343 0336/
hmthuc@most.gov.vn
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/
nnsong@most.gov.vn
5
Phạm Thị Thúy Diệp
Project Coordinator
097 905 6688/ dieppt@firstmost.vn
6
Phạm Văn Diễn *
Head of General Department, NATEC –
MOST
04. 39440144/
pvdien@most.gov.vn
7
Trần Xuân Hồng *
Director of National Center for
Technological Progress
04.38251331
txhong@most.gov.vn
8
Đinh Việt Bách *
Manager of Scientific Organization and
Personnel Division, Department of
Organization and Personnel Division –
MOST
0168 955 5686/
dvbach@most.gov.vn
9
Nguyễn Đức Hoàng *
Manager of International Cooperation
Division, SATI – MOST
098 208 6099/
duwcshoangf@gmail.com
10
Triệu Bảo Hoa *
Deputy Manager of Asia and Africa
Division, DIC – MOST
098 870 8518/
trieubaohoavn@yahoo.com
11
Nghiêm Quốc Đạt *
Officer, DIC – MOST
098 358 0066/
nqdat73@gmail.com
12
Vũ Văn Sơn
Procurement specialist
sonvv@first-most.vn
13
Phan Thị Thu Hà
Accounting and financial specialist
091 350 2356/
Phanha2106@gmail.com
14
Lê Đình Quang
Consultant for CoreTechLab component
093 894 6229/
quangdle@gmail.com
15
Trần Thị Thanh Hà
Officers for information,
telecommunications
090 421 3020/
thanhha@vnmedia.vn
16
Lê Hoài Phương *
Staff of Finance Department - MOST
097 657 4488/
phuongmoit@gmail.com
17
18
Bùi Quốc Anh *
Nguyễn T. Thu Phương
Staff of Dept. of International Cooperation
– MOST
098 610 9148/
Officers for M&E
phuongnt72@gmail.com
quocanh11a8@yahoo.com
19
Đặng Huyền Ngọc
Procurement Assistant
093 402 0289
ngocdh@first-most.vn
20
Bùi Tuấn Anh
Component Consultant
090 220 2626
tuananhb@first-most.vn
*: 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: tqthang@most.gov.vn

Project Office E-mail: First@most.gov.vn
(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
(first@most.gov.vn) 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: tqthang@most.gov.vn

Project Office E-mail: First@most.gov.vn
(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 (first@most.gov.vn,
tqthang@most.gov.vn) 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: tqthang@most.gov.vn

Project Office E-mail: First@most.gov.vn
(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 (first@most.gov.vn, tqthang@most.gov.vn) 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: tqthang@most.gov.vn

Project Office E-mail: First@most.gov.vn
(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
first@most.gov.vn 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.
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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.
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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.
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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