Decision 29/2023/QD-TTg procedures for identification of investment projects using obsolete technologies

DECISION

Providing the dossier, order and procedures for identification of investment projects using obsolete technologies, potentially causing environmental pollution or being resource-intensive^[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 Government’s Decree No. 31/2021/ND-CP of March 26, 2021, detailing and guiding a number of articles of the Law on Investment;

Pursuant to the Government’s Decree No. 107/2016/ND-CP of July 1, 2016, providing conditions for provision of conformity assessment services;

At the proposal of the Minister of Science and Technology;

The Prime Minister promulgates the Decision providing the dossier, order and procedures for identification of investment projects using obsolete technologies, potentially causing environmental pollution or being resource-intensive.

Article 1. Scope of regulation

1. This Decision provides the dossier, order and procedures for identification of investment projects using obsolete technologies, potentially causing environmental pollution or being resource-intensive, and assessment of machinery, equipment and technological lines of investment projects.

2. This Decision does not apply to investment projects serving national defense or public security tasks.

Article 2. Subjects of application

This Decision applies to:

1. Agencies in charge of identifying investment projects using obsolete technologies, potentially causing environmental pollution or being resource-intensive as specified at Points a and b, Clause 11, Article 27 of the Government’s Decree No. 31/2021/ND-CP of March 26, 2021, detailing and guiding a number of articles of the Law on Investment (below referred to as Decree No. 31/2021/ND-CP);

2. Investors; organizations designated to assess machinery, equipment and technological lines; and related agencies, organizations and individuals.

Article 3. Interpretation of terms

1. Investment projects using technologies means investment projects that use machinery, equipment and technological lines to turn out products.

2. Technology identification of investment projects means the consideration, assessment and identification of technological lines, machinery and equipment of investment projects as specified at Points a and b, Clause 10, Article 27 of Decree No. 31/2021/ND-CP to conclude whether or not the projects use obsolete technologies, potentially causing environmental pollution or being resource-intensive.

3. Age of machinery or equipment means the time period (calculated by year) from the year of manufacture to the year of assessment of the machinery and equipment.

Article 4. Dossiers, order and procedures for technology identification of investment projects

1. A dossier of request for technology identification of an investment project must comprise:

a/ A written request for technology identification, made according to Form No. 01 provided in the Appendix to this Decision;

b/ An explanatory report on the current state of the technology used in the investment project, made according to Form No. 02 provided in the Appendix to this Decision;

c/ A valid assessment certificate of the machinery, equipment and technological lines used in the investment project (below referred to as assessment certificate), made according to Form No. 03 provided in the Appendix to this Decision.

2. Order and procedures for technology identification of an investment project:

a/ The investor shall hand-deliver or send by post or via an online public service portal 1 dossier of request for technology identification to the agency in charge of technology identification according to regulations on decentralization of powers at Points a and b, Clause 11, Article 27 of Decree No. 31/2021/ND-CP (below referred to as in-charge agency).

b/ If the dossier is not complete or valid as prescribed, the in-charge agency shall immediately return the dossier to the investor and notify the investor of the documents that need to be amended or supplemented for the latter to complete the dossier, in case the investor hand-delivers the dossier at the single-window section of the in-charge agency. If the dossier is submitted via the online public service portal or by post, within 2 working days after receiving the dossier, the in-charge agency shall make a written request for the investor to modify, supplement and complete the dossier. 

c/ Within 3 working days after receiving a complete and valid dossier, the in-charge agency shall send a document to the state management agency in charge of environmental affairs and relevant specialized management agency of the corresponding level according to regulations on decentralization of powers to solicit the latter’s opinion. In case of necessity, the in-charge agency shall consult independent organizations and experts on specialized issues and technology identification of the investment project.

d/ Within 15 working days, the consulted agencies and independent organizations and experts shall send their replies to the in-charge agency.

dd/ For large-scale investment projects with complicated technology, in case of necessity, within 20 working days after receiving a complete and valid dossier, the in-charge agency shall decide to establish a Science and Technology Advisory Council as specified in Clause 3 of this Article and organize a field survey at the investment project to identify technology of the investment project.

e/ Within 5 working days after receiving all opinions from the coordinating agency, the Science and Technology Advisory Council, independent organizations and experts and in-charge agency shall make their written opinions on technology identification of the investment project, made according to Form No. 04 provided in the Appendix to this Decision.

3. The Science and Technology Advisory Council shall consist of a chairperson, a deputy chairperson and a secretary; representatives of the in-charge agency and related state management agencies; a representative of the provincial-level Department of Science and Technology of the locality where the project is to be implemented, in case the in-charge agency is the Ministry of Science and Technology according to regulations on decentralization of powers at Point a, Clause 11, Article 27 of Decree No. 31/2021/ND-CP; and experts whose fields of expertise are suitable to the to-be-assessed machinery, equipment and technological line. The number of experts must not be lower than one-third of the number of members of the Council.

The Science and Technology Advisory Council shall operate on the principles of democracy, objectivity and honesty, and take responsibility before law and the agency that established the Council for its consultations and recommendations.

Article 5. Assessment certificates and designated assessment organizations

1. Assessment certificates shall be issued by assessment organizations designated to assess machinery, equipment and technological lines of investment projects in accordance with law.

The validity period of an assessment certificate is 12 months from the date of its issuance.

2. Assessment organizations that have a certificate of registration for assessment activities issued according to the Government’s Decree No. 107/2016/ND-CP of July 1, 2016, providing conditions for provision of conformity assessment services (below referred to as Decree No. 107/2016/ND-CP), which covers assessment of machinery, equipment and technological lines, may register with competent agencies to be designated to assess machinery, equipment and technological lines of investment projects.

3. Assessment organizations that have been designated to assess used machinery, equipment and technological lines imported according to the Prime Minister’s Decision No. 18/2019/QD-TTg of April 19, 2019, providing the import of used machinery, equipment and technological lines, may register with competent agencies to add designated assessment of machinery, equipment and technological lines of investment projects into their scope of operation.

Article 6. Dossiers of registration for designation of assessment organizations

1. For first-time designation, a dossier must comprise:

a/ An application for designation for assessment of machinery, equipment and technological lines of investment projects, made according to Form No. 05 provided in the Appendix to this Decision;

b/ A copy of the certificate of registration of assessment activities;

c/ A list of assessors, made according to Form No. 06 provided in the Appendix to this Decision, accompanied by copies of professional training certificates and documents proving assessor’ satisfaction of the competency requirements specified in Decree No. 107/2016/ND-CP;

d/ Copies of technical documents, applicable standards or technical regulations, methods and processes, and procedures for assessment in conformity with national standard (TCVN) ISO 17020, corresponding to the scope of registration for designation;

dd/ A copy of the certificate of recognition of assessment capacity issued by a lawful accreditation organization (if any).

2. In case of adding assessment of machinery, equipment and technological lines of investment projects to the scope of operation as specified in Clause 3, Article 5 of this Decision, a dossier must comprise:

a/ An application for addition of designated assessment of machinery, equipment, and technological lines of investment projects to the scope of operation, made according to Form No. 07 provided in the Appendix to this Decision;

b/ The documents specified at Points c, d and dd, Clause 1 of this Article, corresponding to the scope of additional registration.

3. Within 90 days before its designation decision expires, if wishing to continue to be designated, an assessment organization shall make a dossier as specified for the case of first-time designation in Clause 1 of this Article.

Article 7. Competence, order and procedures for designation of assessment organizations

1. The Ministry of Science and Technology shall be competent to designate organizations to assess machinery, equipment and technological lines of investment projects.

2. Order and procedures for first-ever designation and re-designation in case the designation decision expires:

a/ The assessment organization shall make 1 dossier of registration for designation or re-designation for assessment of machinery, equipment and technological lines of investment projects and hand-deliver it or send it by post or via the Ministry of Science and Technology’s online public service portal.

b/ Within 3 working days after receiving the registration dossier, if the dossier is not complete or valid as prescribed, the Ministry of Science and Technology shall issue a notice, requesting the assessment organization to modify and supplement the dossier.

c/ Within 30 days after receiving a complete and valid dossier, the Ministry of Science and Technology shall evaluate actual capacity of the assessment organization by appointing an expert or forming an evaluation team. The evaluation of actual capacity must comply with Clause 4 of this Article. Expenses for evaluation activities of the expert or evaluation team shall be covered by the assessment organization registered for designation.

The evaluation of actual capacity at the assessment organization shall be notified in writing 5 working days in advance to the assessment organization that has submitted the registration dossier. When the evaluation finishes, the expert or evaluation team shall make an evaluation record with the contents specified in Clause 4 of this Article.

In case the assessment organization is required to remedy errors stated in the evaluation record, within 30 days, the assessment organization shall send a report on remediation results to the Ministry of Science and Technology. In case the remediation needs to be prolonged, the assessment organization shall report thereon to the Ministry of Science and Technology in writing and clearly state the time of officially completing the remediation.

d/ Within 10 working days after receiving the report on results of remediation of the errors stated in the evaluation record, if the assessment organization has remedied all errors and meets law-prescribed requirements, the Ministry of Science and Technology shall issue a decision to designate the organization to assess machinery, equipment and technological lines of investment projects, made according to Form No. 08 provided in the Appendix to the Decision. The validity period of a designation decision is 3 years from the date of its signing.

In case of refusal, the Ministry of Science and Technology shall notify the reason in writing to the assessment organization.

3. Order and procedures for designation of an assessment organization in case of addition of the scope of assessment operation:

The assessment organization shall make 1 dossier of registration for addition of assessment of machinery, equipment and technological lines of investment projects to the scope of operation, and hand-deliver it or send it by post or via the online public service portal to the Ministry of Science and Technology.

The order and procedures for registration for consideration and designation of an assessment organization in case of addition of assessment of machinery, equipment and technological lines of investment projects must comply with Clause 2 of this Article.

4. Content of evaluation of actual capacity:

a/ The assessment organization’s compliance with the law in the field it registers for being designated;

b/ Authenticity of the registration dossier;

c/ Maintenance of the assessment organization’s management system and operational capacity meeting the requirements specified in national standard TCVN ISO/IEC 17020 or international standard ISO/IEC 17020;

d/ Qualifications and capacity of assessors.

Article 8. Responsibilities of the Ministry of Science and Technology

1. To assume the prime responsibility for, coordinate with related agencies in, and guide provincial-level Departments of Science and Technology to conduct, technology identification of investment projects under this Decision.

2. To designate organizations to assess machinery, equipment and technological lines of investment projects and publish the List of designated assessment organizations on its Portal.

3. To assume the prime responsibility for inspecting and examining the assessment of machinery, equipment and technological lines performed by designated assessment organizations in accordance with law.

Article 9. Responsibilities of ministries, ministerial-level agencies and provincial-level People’s Committees

1. Ministries and ministerial-level agencies shall coordinate with the Ministry of Science and Technology in implementing this Decision.

2. Provincial-level People’s Committees shall direct provincial-level Departments of Science and Technology:

a/ To assume the prime responsibility for technology identification of investment projects in accordance with this Decision.

b/ Before December 20 every year, to send to the Ministry of Science and Technology reports on technology identification of investment projects, made according to Form No. 09 provided in the Appendix to this Decision. The data collection period is from December 15 of the year preceding the reporting period to December 14 of the reporting period.

Article 10. Responsibilities of assessment organizations

1. To assess machinery, equipment and technological lines in investment projects according to this Decision and relevant regulations.

2. To adhere to the principles of independent, objective and scientific operation; to comply with the law on assessment and take responsibility before law for the accuracy of assessment results; to be subject to inspection and examination by state management agencies in charge of assessment.

3. Before December 20 every year, to send to the Ministry of Science and Technology reports on assessment of machinery, equipment and technological lines of investment projects, made according to Form No. 10 provided in the Appendix to this Decision. The data collection period is from December 15 of the year preceding the reporting period to December 14 of the reporting period.

4. To notify the Ministry of Science and Technology of all changes that affect the assessment capacity in the designated fields within 15 days upon occurrence of changes.

Article 11. Implementation provisions

1. This Decision takes effect on February 15, 2024.

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

For the Prime Minister
Deputy Prime Minister
TRAN LUU QUANG

* The Appendix to this Decision is not translated.