Decision 12/2023/QD-TTg granting certificates of transfer of technologies encouraged for transfer

DECISION
On granting certificates of transfer of technologies encouraged for transfer

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Pursuant to the Law on Organization of the Government dated June 19, 2015; Law on Amending and Supplementing a Number of Articles of the Law on Organization of the Government and the Law on Organization of Local Administration dated November 22, 2019;

Pursuant to the Law on Investment dated June 17, 2020;

Pursuant to the Law on Technology Transfer dated June 19, 2017;

Pursuant to the Government’s Decree No. 31/2021/ND-CP dated March 26, 2021 detailing and guiding the implementation of a number of articles of the Law on Investment;

Pursuant to the Government’s Decree No. 76/2018/ND-CP dated May 15, 2018 detailing and guiding the implementation of a number of articles of the Law on Technology Transfer;

At the proposal of the Minister of Science and Technology;

The Prime Minister promulgates the Decision on granting certificates of transfer of technologies encouraged for transfer.

              Article 1. Scope of regulation

This Decision provides for competence, dossier, order, procedures and funds for implementation of grant, re-grant, amendment, supplementation, invalidation of certificates of transfer of technologies encouraged for transfer (hereinafter referred to as certificates for short).

              Article 2. Subjects of application

1. This Decision shall apply to:

a) Investment projects involving transfer of technologies on the List of technologies encouraged for transfer specified at Point dd Clause 2 Article 15 of the Law on Investment;

b) Investment projects involving transfer of technologies encouraged for transfer to Vietnamese enterprises for eligibility for special investment incentives and supports specified in Article 20 of the Law on Investment;

c) State agencies competent to grant certificates, organizations and individuals engaged in grant, re-grant, amendment, supplementation, invalidation of certificates.

2. This Decision shall not apply to transfer of technologies being state secrets in the fields of security, national defense or transfer of technologies in cases of procurement of properties from special budget sources for security and national defense.

Article 3. Competence to grant certificates

Agencies competent to grant certificates (hereinafter referred to as certificate-granting agencies):

1. The Ministry of Science and Technology shall grant certificates in case of transfer of technologies encouraged for transfer in investment projects subject to approval of investment policy by the National Assembly or Prime Minister and investment projects eligible for application of special investment incentives and supports.

2. Specialized science and technology agencies of provincial-level People’s Committees shall grant certificates in case of transfer of technologies encouraged for transfer in investment projects at the localities other than those specified in Clause 1 of this Article.

Article 4. Dossiers, order and procedures for grant of certificates

1. A dossier of application for a certificate must comprise:

a) A written request for grant of a certificate of transfer of technologies encouraged for transfer, made according to the Form No. 01 in the Appendix issued together with this Decision;

b) The original or a certified true copy of the written agreement on technology transfer in Vietnamese, or a notarized or certified Vietnamese translation of the written technology transfer agreement in a foreign language;

c) Written explanation of the content of transfer of technologies encouraged for transfer in the written agreement on technology transfer, made according to the Form No. 02 in the Appendix issued together with this Decision;

d) A copy of protection title or an application of registration for industrial property subject (for cases where the protection title has not been granted), certificate of transfer of ownership of or right to use industrial property subject (for cases with transfer of right involving industrial property subject);

dd) A report on implementation of activities of transfer of technologies encouraged for transfer according to contents of the written technology transfer agreement, certified by all parties to the technology transfer, made according to the Form No. 03 in the Appendix issued together with this Decision;

e) A copy of one of the following papers: decision on investment policy approval, investment registration certificate, enterprise registration certificate or another document of equivalent legal validity of the parties to the technology transfer.

2. Order and procedures for grant of the certificate:

a) The consideration and grant of the certificate shall be carried out after the contents of technology transfer have been implemented and products have been produced. In case the written technology transfer agreement stipulates product standards, the products must meet the standards in accordance with such agreement;

b) The technology transferor or technology transferee shall, on behalf of the parties to technology transfer, send a dossier of application for a certificate in person or by post or through the online public service portal to the certificate-granting agency;

c) Within 03 working days from the date of receipt of the dossier, the certificate-granting agency shall consider the completeness and validity of the dossier. If the dossier is incomplete, invalid or needs to be amended and supplemented, the certificate-granting agency shall issue a written request, clearly stating contents to be amended and supplemented and the time limit for amendment and supplementation;

d) Within 05 working days from the day of receiving the complete and valid dossier, the certificate-granting agency shall decide to establish the science and technology advisory council (hereinafter referred to as the council for short) to appraise the dossier of application for a certificate;

dd) The council consists of from 07 to 11 members, including: Chairperson, Secretary being officers of the certificate-granting agency and the council’s members.  Components of the council include: 02 criticism members being people with deep knowledge of the transferred technology; representatives of specialized state management agencies, relevant state management agencies and at least 1/2 (one-half) of the council’s members being independent experts and scientists consistent in their field of the transferred technology to be appraised;

e) Meeting for appraisal of dossier of application for the certificate.

Within 05 working days from the date of establishment, the council shall hold a meeting for appraisal of the dossier of application for the certificate. At least 2/3 (two-thirds) of the council’s members attend the meeting, in which the chairperson, criticism members and Secretary must be present. In case of under 2/3 (two-thirds) of the council’s members, the council's chairperson shall consider and decide to collect written opinions of the absent members. Written opinions of its absent members shall have the same validity as those of its present members.

The council shall consider the compatibility of the transferred technology and the List of technologies encouraged to transfer under the Law on Technology Transfer; evaluate the implementation of technology transfer contents stated in the written technology transfer agreement and other relevant contents.

The council shall work on a collegial basis, vote the grant of the certificate through secret ballots. A plan voted by over 1/2 (one-half) of its members shall be the council’s official opinion.

The written opinion for members of the science and technology advisory council and  the council’s meeting minutes shall be made according to Forms No. 04 and 05 in the Appendix issued together with this Decision, respectively.

The council’s Chairperson shall, on behalf of the council, sign the Report on appraisal results of dossier of application for the certificate of transfer of technologies encouraged for transfer that is made according to Form No. 06 in the Appendix issued together with this Decision;

g) Within 05 working days after receiving the Report on appraisal results and the meeting minutes of the council, the certificate-granting agency shall consider and decide on grant of the certificate, using Form No. 07 in the Appendix issued together with this Decision. In case of refusal, it must reply and clearly state the reason in writing.

Article 5. Effect and invalidation of certificates

1. A certificate becomes effective on the date of its grant.

2. The certificate-granting agency is competent to consider and decide on invalidation of a certificate in the following cases:

a) The dossier of application for such certificate has been forged;

b) A violation of the contents of the certificate is committed;

c) It is so requested by a competent state agency in case a violation of a relevant law is committed.

3. In case the certificate is invalidated, the validity of the certificate ceases from the time of occurrence of the violation. In case it is not possible to determine exactly such time, the validity of the certificate shall be ceased from the time the violation is detected.

4. The decision on invalidation of the certificate must be notified to the parties to the technology transfer, the state management agency in charge of investment, the state management agency in charge of taxation and other relevant agencies relating to decision and implementation of incentives and support.

              Article 6. Amendment and supplementation of certificates

1. Amendment and supplementation of certificates shall apply to cases where the parties to technology transfer agree to modify and supplement the contents of transfer of technologies encouraged for transfer for which a certificate has been granted, and such amended and supplemented contents have been performed.

2. A dossier of application for amendment and supplementation of a certificate must comprise:

a) A written request for amendment, supplementation of the certificate of transfer of technologies encouraged for transfer, made according to the Form No. 08 in the Appendix issued together with this Decision;

b) The original of the certificate;

c) The original or a certified true copy of the written agreement on amendment and supplementation of written technology transfer agreement in Vietnamese, or a notarized or certified Vietnamese translation of the written agreement in a foreign language;

d) Documents related to the amended and supplemented contents as prescribed at Points c, d, dd and e Clause 1 Article 4 of this Decision.

3. Order and procedures for amendment and supplementation of the certificate:

a) The technology transferor or technology transferee shall, on behalf of the parties, send a dossier of application for amendment and supplementation of the certificate in person or by post or through the online public service portal to the certificate-granting agency;

b) Within 03 working days from the date of receiving the dossier, the certificate-granting agency shall consider the completeness and validity of the dossier. If the dossier is incomplete, invalid or needs to be amended and supplemented, the certificate-granting agency shall issue a written request, clearly stating contents to be amended and supplemented and the time limit for amendment and supplementation;

c) Within 10 working days from the date of receipt of the complete and valid dossier, the certificate-granting agency shall consider and grant the amended and supplemented certificate of transfer of technologies encouraged for transfer. In case of refusal, it must reply and clearly state the reason in writing.

4. In case there are changes in the content of technology transfer relating to technology, technological products or output, products’ quality standards, the certificate-granting agency shall establish a council and grant the amended and supplemented certificate according to the order specified in Clause 2 Article 4 of this Decision.

Article 7. Re-grant of certificates

1. A certificate shall be re-granted in case the certificate is lost, damaged or the name and address of one of the parties to the technology transfer is changed.

2. A dossier of application for re-grant of the certificate must comprise:

a) A written request for re-grant of the certificate of transfer of technologies encouraged for transfer, made according to the Form No. 09 in the Appendix issued together with this Decision;

b) The original of the certificate of transfer of technologies encouraged for transfer (except for cases of loss of certificate);

c) A copy of one of the following papers: investment registration certificate, enterprise registration certificate or another document of equivalent legal validity of the parties to the technology transfer (in case names and addresses of the parties to the technology transfer are changed).

3. Order and procedures for re-grant of the certificate:

a) The technology transferor or technology transferee shall, on behalf of the parties, send a dossier of application for re-grant of the certificate in person or by post or through the public service portal to the certificate-granting agency;

b) Within 03 working days from the date of receipt of the dossier, the certificate-granting agency shall consider the completeness and validity of the dossier. If the dossier is incomplete or needs to be amended and supplemented, the certificate-granting agency shall issue a written request, clearly stating contents to be amended and supplemented and the time limit for amendment and supplementation;

c) Within 05 working days from the date of receipt of the complete and valid dossier, the certificate-granting agency shall consider and decide on re-grant of the certificate.

Article 8. Funds

1. Funds for appraisal of dossiers of application for certificates shall be allocated from the scientific and technological non-business funds allocated annually to the certificate-granting agency in accordance with the Law on State Budget’s regulations on state budget assignment.

2. Spending norms, payment and finalization of funds shall comply with the Law on State Budget and guiding documents.

              Article 9. Implementation provisions

1. This Decision takes effect on July 01, 2023.

2. Ministers, heads of ministerial-level agencies, heads of government-attached agencies, chairpersons of People’s Committees of provinces and centrally-run cities, and relevant agencies and organizations shall take responsibilities for the implementation of this Decision.

* All Appendices are not translated herein.