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

DECISION

On the grant of certificates of technology transfer for technologies encouraged for transfer^[1]

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

Pursuant to the June 17, 2020 Law on Investment;

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

Pursuant to the Government’s Decree No. 31/2021/ND-CP of 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 of 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 the grant of certificates of technology transfer for technologies encouraged for transfer.

Article 1. Scope of regulation

This Decision provides competence, dossiers, order, procedures and funds for grant, re-grant, modification, supplementation and invalidation of certificates of technology transfer for technologies encouraged for transfer (below referred to as certificates).

Article 2. Subjects of application

This Decision applies 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 transferring technologies encouraged for transfer to Vietnamese enterprises to be eligible for special investment incentives and support under Article 20 of the Law on Investment;

c/ State agencies competent to grant certificates and agencies and individuals involved in the grant, re-grant, modification, supplementation and invalidation of certificates.

2. This Decision does not apply to the transfer of technologies classified as state secrets in the fields of security and national defense or transfer of technologies subject to asset procurement with special budget funds for security and national defense.

Article 3. Competence to grant certificates

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

1. The Ministry of Science and Technology, for grant of certificates of technology transfer for technologies encouraged for transfer under investment projects for which the National Assembly or Prime Minister is competent to approve the investment policy, and investment projects subject to special investment incentives and support.

2. Specialized science and technology agencies of provincial-level People’s Committees, for grant of certificates of technology transfer for technologies encouraged for transfer under investment projects in their localities which do not fall into the cases specified in Clause 1 of this Article.

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

1. A dossier of application for certificate must comprise:

a/ An application for certificate of technology transfer, for technologies encouraged for transfer, made according to Form No. 01 provided in the Appendix to this Decision;

b/ The original or a certified copy of the Vietnamese-language technology transfer agreement or a notarized or certified Vietnamese translation of the foreign-language technology transfer agreement;

c/ Written explanations about technology transfer contents for technologies encouraged for transfer in the agreement, made according to Form No. 02 provided in the Appendix to this Decision;

d/ Copies of the protection title or registration form (in case the protection title has not been granted) for the industrial property object, and the certificate of transfer of the ownership of or right to use the industrial property object (in case of transfer of rights to the industrial property object);

dd/ A report on technology transfer, for technologies encouraged for transfer according to contents of the technology transfer agreement bearing certifications by all parties involved in the technology transfer, made according to Form No. 03 provided in the Appendix to this Decision;

e/ A copy of one of the following papers: The decision approving the investment policy, investment registration certificates, enterprise registration certificates, or other papers of the equivalent validity of the parties involved in technology transfer.

2. Order and procedures for grant of certificates:

a/ A certificate shall be considered to be granted after technology transfer contents are implemented for production of products. In case the technology transfer agreement contains provisions on product standards, the products must be up to standards stated in the agreement;

b/ The technology transferor and transferee shall, on behalf of the parties involved in technology transfer, hand-deliver or send by post or submit via the public service portal 1 dossier of application for certificate to the certificate-granting agency;

c/ Within 3 working days after receiving the dossier, the certificate-granting agency shall examine its completeness and validity. In case the dossier is incomplete or invalid or contains provisions that need to be modified or supplemented, the certificate-granting agency shall request in writing the modification or supplementation thereof, clearly stating contents of and time limit for modification or supplementation;

d/ Within 5 working days after receiving the complete and valid dossier, the certificate-granting agency shall decide to establish a science and technology advisory Council (below referred to as the Council) for appraisal of the dossier;

dd/ The Council will have between 7 and 11 members, including its head, a secretary being a civil servant of the certificate-granting agency, and other members. Members of the Council include 2 advisors who have profound knowledge about the transferred technology; representatives of specialized and related state management agencies; and independent experts and scientists specialized in the transferred technology to be appraised, who account for at least half of the Council’s members;

e/ A meeting shall be held for appraisal of the dossier of application for certificate.

The Council shall organize a meeting for appraisal of the dossier of application for certificate within 5 workings days after its establishment. Each of the Council’s meetings must be attended by at least 2/3 (two thirds) of its members, including its head, an advisor and a secretary. In case less than 2/3 (two thirds) of total members attend the meeting, the Council’s head shall consider and decide on the solicitation of written opinions of absent members. Written opinions of absent members are equally valid as those of attending members.

The Council shall consider the conformity of the transferred technology with the List of technologies encouraged for transfer provided in the Law on Technology Transfer; assess the implementation of technology transfer contents in the technology transfer agreement and other relevant contents.

The Council operates on a collective basis and votes by secret ballots for grant or refusal to grant a certificate. The plan voted for by more than half of the Council’s members shall be selected as its official opinion.

Written opinions of the Council’s members and its meeting minutes shall be made according to Forms No. 04 and No. 05 provided in the Appendix to this Decision.

The Council’s head shall, on behalf of its members, sign a report on results of the appraisal of the dossier of application for certificate of technology transfer for technologies encouraged for transfer, made according to Form No. 06 provided in the Appendix to this Decision;

g/ Within 5 working days after receiving the report on appraisal results and the Council’s meeting minutes, the certificate-granting agency shall consider and decide on the grant of the certificate according to Form No. 07 provided in the Appendix to this Decision. In case of refusal, it shall reply in writing, clearly stating the reason.

Article 5. Validity and invalidation of certificates

1. A certificate is valid from the date of its grant.

2. A certificate-granting agency shall consider and decide on the invalidation of a certificate in the following cases:

a/ The dossier of application for certificate is forged;

b/ Contents of the certificate are violated;

c/ The invalidation is requested by the competent state agency in case of a violation of a relevant law.

3. In case of invalidation of a certificate, its validity shall be terminated as soon as the violating act is committed. In case it is impossible to identify accurate time of violation commission, the certificate’s validity is terminated at the time of violation detection.

4. A decision on invalidation of a certificate shall be notified to all parties involved in the technology transfer, state management agencies in charge of investment and taxation and agencies related to the decision and providing investment incentives and support.

Article 6. Modification and supplementation of certificates

1. A certificate may be modified or supplemented in case parties involved in the technology transfer, who reach an agreement on modification or supplementation of technology transfer contents for technologies encouraged for transfer, have been granted the certificate and have implemented the modified or supplemented contents.

2. A dossier of request for modification or supplementation of a certificate must comprise:

a/ A written request for modification or supplementation of the certificate of technology transfer for technologies encouraged for transfer, made according to Form No. 08 provided in the Appendix to this Decision;

b/ The original certificate;

c/ The original or a certified copy of the written agreement on modification or supplementation of the Vietnamese-language technology transfer agreement or the notarized or certified Vietnamese translation of the foreign-language agreement;

d/ Documents related to the modified or supplemented contents specified at Points c, d, dd and e, Clause 1, Article 4 of this Decision.

3. Order and procedures for modification or supplementation of a certificate:

a/ The technology transferor or transferee shall, on behalf of involved parties, hand-deliver or send by post or submit via the public service portal 1 dossier of request for modification or supplementation of the certificate to the certificate-granting agency;

b/ Within 3 working days after receiving the dossier, the certificate-granting agency shall examine its completeness and validity. In case the dossier is incomplete or invalid, or has contents that need to be modified or supplemented, it shall make a written request for dossier modification or supplementation, clearly stating to-be-modified or -supplemented contents and modification or supplementation time limit;

c/ Within 10 working days after receiving the complete and valid dossier, the certificate-granting agency shall consider and grant the modified or supplemented certificate of technology transfer for technologies encouraged for transfer. In case of refusal to grant such certificate, it shall reply in writing, clearly stating the reason.

4. In case there is a change in technology transfer contents regarding the technology or technological products or production scale or product quality standards, the certificate-granting agency shall grant the modified or 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 it is lost, damaged or there is a change in the name or address of one of the parties involved in the technology transfer.

2. A dossier of request for re-grant of a certificate must comprise:

a/ A written request for re-grant of the certificate of technology transfer for technologies encouraged for transfer, made according to Form No. 09 provided in the Appendix to this Decision;

b/ The original certificate of technology transfer for technologies encouraged for transfer (except when it is lost);

c/ Copies of one of the following papers: investment registration certificate, enterprise registration certificate, or other papers of equivalent validity of the parties involved in the technology transfer (in case of a change in the name or address of one of the parties involved in the technology transfer).

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

a/ The technology transferor or transferee shall, on behalf of the involved parties, hand-deliver or send by post or submit via the public service portal 1 dossier of request for re-grant of the certificate to the certificate-granting agency;

b/ Within 3 working days after receiving the dossier, the certificate-granting agency shall examine its completeness and validity. In case the dossier is incomplete or invalid, or has contents that need to be modified or supplemented, it shall make a written request for the dossier modification or supplementation, clearly stating to-be-modified or -supplemented contents and modification or supplementation time limit;

c/ Within 5 working days after receiving the complete and valid dossier, the certificate-granting agency shall consider and re-grant the certificate.

Article 8. Implementation fund

1. The fund for appraisal of dossiers of application for certificates comes from the non-business science and technology funding source annually allocated to certificate-granting agencies under the provisions on state budget decentralization of the Law on the State Budget.

2. Norms of expenditures and payment and account-finalization of the implementation fund must comply with the Law on the State Budget and its guiding documents.

Article 9. Implementation provisions

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

2. Ministers, heads of ministerial-level agencies, heads of government-attached agencies, chairperson of provincial-level People’s Committees and related agencies and organization shall implement this Decision.-

For the Prime Minister
Deputy Prime Minister
TRAN HONG HA

* The Appendix to this Decision is not translated.