Thông tư 31/2011/TT-BKHCN

CIRCULAR

GUIDING CONTENT AND METHOD OF OPERATION OF TECHNOLOGY ASSESSMENT AND VALUATION ORGANIZATIONS

Pursuant to the Law on Technology Transfer;

Pursuant to Decree No. 28/2008/ND-CP dated March 14, 2008 of the Government stipulating the functions, tasks, powers and organizational structure of the Ministry of Science and Technology;

Pursuant to Decree No. 133/2008/ND-CP dated December 12, 2008 of the Government stipulating in detail and guiding the implementation of the Law on Technology Transfer;

The Minister of Science and Technology makes guidance on the content and mode of operation of the technology assessment and valuation organization as follows:

Chapter I

GENERAL PROVISIONS

Article 1. Scope of adjustment and subject of application

1. This Circular makes guidance on the content and mode of operation of the assessment and valuation of technology organizations in accordance with Clause 2, Article 29 of Decree No. 133/2008/ND-CP dated December 31, 2008 of the Government.

2. This Circular applies to organizations and individuals involved in the providing and using services of technology assessment and valuation.

Article 2. Explanation of terms

1. Technology assessment is the activity to determine the level, value, economic efficiency and social and economic and environmental impacts of technology.

2. Technology valuation is the activity to determine the value of technology

3. Technology assessment and valuation organization is the technology transfer services organization performing the activity of technology assessment and valuation services to meet the conditions as prescribed in this Circular.

4. Assessment and valuation expert is the individual performing activity of technology assessment and valuation to meet the standards prescribed in this Circular.

5. Reasonable and necessary costs are the ones required to perform the technology assessment and valuation including wage, labor and material costs and testing, verification and inspection (if any).

Article 3. Principle of technology assessment and valuation services activity

1. Complying with the standards and regulations of Vietnamese law and the relevant international agreements which Vietnam has committed to implement.

2. Taking responsibility before law for occupational activities and the result of technology assessment and valuation.

3. Ensuring the professional independence and honesty, objectivity in the technology assessment and valuation.

4. Keeping secret of information of organization and individual whose technology is appraised and valuated, except accepted by them or otherwise provided by law.

5. Activity of technology assessment and evaluation services shall be performed ​​in accordance with the agreement between the technology assessment and evaluation organization with the individual or organization requesting technology assessment and evaluation on the basis of technology assessment and evaluation service contract which is signed between the parties.

Article 4. Price of technology assessment and evaluation services

1. Price of technology assessment and evaluation service is determined by agreement between the technology assessment and evaluation organization with the party in need of assessment and valuation.

2. In case the state management agencies have requirement on technology assessment and evaluation as a basis for the state management, the price of technology assessment and evaluation is determined on the basis of total cost reasonable and necessary cost performed by organization or individual and in accordance with the current regulations.

Chapter II

CONTENT AND MODE OF OPERATION OF TECHNOLOGY ASSESSMENT AND VALUATION ORGANIZATION

Article 5. Content of technology assessment service activity

Upon assessment of technology, it is necessary to consider the technology under the basic contents as follows:

1. Considering the technology appraised in the list of technology with encouraged transfer, list of technology with limited or prohibited transfer.

2. Considering the source and origin of technology: countries, territories…; companies, corporations, institutes and schools ... that create technology.

3. Considering the rights related to technology.

a) Ownership and use right of technology, the right to transfer to a third party;

b) Right to renovate and receive information on technology renovation;

c) Distribution right (exclusive or not exclusive), the territorial sphere with the right to sell products created by technology;

d) Industrial property rights relating to technology.

4. Valuation of technological level and engineering.

a) Considering technological level and life circle;

b) Uniformity of the device;

c) Considering the equipment, raw materials manufactured in accordance with the production line;

d) Raw material and energy consumption per unit of product;

e) Equipment life, possibility for replacement and renovation;

f) Convenience capacity in operation and management.

5. Assessment of value and economic efficiency;

a) Investment cost and level compared to other equivalent technology;

b) Financial capacity (capital determination)

c) Input factor: with the local sources of raw material; domestic raw materials (other localities) or import contracts to ensure a stable source of raw material for production;

d) Input factor for product: with stable market or stable output contract farming;

e) Economic efficiency: Assessing the economic criteria of the project such as payback period, Internal Rate Of Return (IRR) ...;

f) Socio-economic efficiency: Labor usability and disseminated effect.

6. Assessment of safety and environment

a) Emissions, wastewater and solid waste;

b) Project location and land use area consistent with the project scope;

c) Level of risk and solutions of prevention and remedy;

d) Environmental treatment solutions to minimize environmental impact, achieving the targets in line with environmental standards in Vietnam.

7. When appraising technology in each specific sector or group of sectors, it is likely to consider other contents suitable to the characteristics of each specific sector or group of sectors.

Article 6. Contents of technology valuation service activity

Upon technology valuation, it is necessary to consider technology under the following basic contents:

1. Basic characteristics of technology

a) Level of mechanization and automation upon application of technology;

b) Novelty of technology;

c) Rate of high-tech products when applying technology;

d) Life of the technology and degree of intangible depreciation;

e) Risk of competition of similar technologies.

2. Technological superiority upon used

a) Rationalization solutions of production upon application of technology;

b) Superiority and increase of competitiveness of product quality upon use of technology;

c) Safety, environmental impacts after application of technology;

d) Appropriate level, technological innovation upon applied;

e) Cost rate(or consumption rate) of energy and raw materials per unit of product before and after the application of technology;

f) Increase in profit from the sale of products after use of technology.

3. Other related issues when using technology

a) Scope of technology transfer: technology transferred exclusively or not exclusively; initial or secondary transfer; entire or partial transfer or only transfer of know-how; transfer with or without industrial property;

b) Rationality when using materials available in the country and locality upon application of technology;

c) Rationality as the products of technology are used to replace imported or exported to foreign markets.

4. When valuating technologies in a specific sector or group of sectors, it is likely to further consider other contents in accordance with the characteristics of the sector or group of sectors.

Article 7. Types of technology assessment and valuation organization.

1. The technology assessment and valuation organization including enterprises established and operating under the Enterprise Law, science and technology organizations established and operating under the provisions of the Law on Science and Technology.

2. The technology assessment and valuation organization with foreign-invested capital specified in the Circular and the provisions in Article 13 of Decree No. 80/2010/ND-CP dated July 14, 2010 of the Government stipulating the cooperation and investment with foreign countries in the area of science and technology.

Article 8. Mode of technology assessment service activity

1. Mode of using expert to appraise technology

a) For technologies that are simple, common, widely known or similarly appraised, the appraising organization can use a technology assessment expert to conduct the assessment. This expert shall consider and put out the technology assessment conclusion and take responsibility for his/her technology assessment conclusion;

b) Where necessary, this expert can refer to the opinions of other specialized experts to put out the assessment conclusion.

2. Mode of using the Board of technology assessment.

a) For new technology, multi-area related technology or special technology related to the environment, human health, the Board of technology assessment must be established;

b) Board of technology assessment shall be established by the technology assessment organization, the number of members is odd with at least 03 members who are technology assessment experts, including 01 member as the Chairman of the Board. The Board of technology assessment shall work on the principle of collective, public discussion and directly between the members and conclude by majority;

c) Responsibility, power, form and order of operation of the Board of technology assessment specified by the technology assessment organization;

d) Operational cost of the Board of technology assessment shall be paid by technology assessment organization.

3. Standards of technology assessment expert include:

a) Having the university, college degree or higher and professional capability in accordance with the requirements and the area of technology in need of assessment;

b) Having at least three years of work in the area of technology in need of assessment;

c) Having full capacity and civil act.

Article 9. Mode of technology valuation service activity

1. Mode of using technology valuation expert

a) For technologies that are simple, common, widely known or similarly valuated, the valuation organization can use a technology valuation expert to conduct the valuation. This expert shall consider and put out the technology valuation conclusion and take responsibility for his/her technology valuation conclusion;

b) Where necessary, this expert can refer to the opinions of other specialized experts to put out valuation conclusion.

2. Mode of using the Board of technology valuation

a) For new technology, multi-area related technology or special technology related to the environment, human health, the Board of technology valuation must be established;

b) Board of technology valuation shall be established by the technology valuation organization, the number of members is odd with at least 03 members who are technology valuation experts, including 01 member as the Chairman of the Board. The Board of technology valuation shall work on the principle of collective, public discussion and directly between the members and conclude by majority;

c) Responsibility, power, form and order of operation of the Board of technology valuation specified by the technology A organization;

d) Operational cost of the Board of technology valuation shall be paid by technology valuation organization.

3. Standards of technology valuation expert include:

a) Having the university, college degree or higher and professional capability in accordance with the requirements and the area of technology in need of valuation;

b) Having at least three years of work in the area of technology in need of valuation;

c) Having financial knowledge

d) Having full capacity and civil act.

Article 10. Content of technology assessment and valuation service contract

1. The activity of technology assessment and valuation services shall be performed on the basis of technology assessment and valuation service contract signed between the technology assessment and valuation organization with the individual and organization in need of technology assessment and valuation.

2. The technology assessment and valuation service contract must be made in writing including the following contents

a) Name and address of the agencies, organizations and individuals that require technology assessment and evaluation;

b) Name and address of the technology assessment and evaluation organization;

c) Name of technology in need of assessment and evaluation;

d) Scope and content of technology in need of assessment and evaluation;

e) List of materials or equipment involved (if any);

f) Service price, time limit and method of payment;

g) Rights and obligations of the parties;

h) Responsibility of the parties upon breach of contract;

i) Validity of contract;

K) Signatures of representatives of the parties and the organization’s seal;

l) In addition to the above contents, the technology assessment and valuation service contract must ensure that the content of a service contract must be in accordance with provisions in the Civil Code and other relevant laws.

Article 11. Result of technology assessment and valuation

The result of technology assessment and valuation shall be made by the record of technology assessment and evaluation and report of result of technology assessment and evaluation.

1. Record of assessment and evaluation shall show the particular issues to be considered in the process of assessment and valuation including the items agreeably stated in the contract of technology assessment and valuation services. The record should clearly state the time and place of the assessment and valuation and the signatures of experts at the bottom of the record.

2. Report on technology assessment and evaluation must contain the following basic information:

a) Ground for carrying out the technology assessment and valuation (names, number of contract of technology assessment and valuation services, conclusion time);

b) Name of the individual or organization requesting the technology assessment and valuation, management agency (if any);

c) Name of technology, scope and content of technology in need of assessment and valuation;

d) Technology valuation method (for technology valuation activity);

e) Content of technology assessment and valuation conclusion;

f) Location, time for performance and completion of technology assessment and valuation.

g) Signature of experts, head of technology assessment and valuation organization assessment and seal of the organization.

Chapter III

IMPLEMENTATION ORGANIZATION

Article 12. Responsibilties of technology assessment and valuation organization

1. Based on the provisions of this Circular, the technology assessment and valuation organization shall build the specific method and process of technology assessment and valuation in each area sector by sector and group of sector.

2. Information on technology assessment and valuation must be posted on the website of the organization and of the Ministry of Science and Technology.

Article 13. Responsibilities of state management agencies

1. The Ministry of Science and Technology shall assign the Department of Assessment, Verification and Inspection of Technology to implement the management, monitoring and inspection of activities of technology assessment and valuation organizations nation-wide.

2. The Ministries and sectors related to the areas of activities of technology assessment and valuation organizations and locality where the headquarters of technology assessment and valuation organizations are located shall coordinate with the Ministry of Science and Technology to perform periodic and irregular inspection of the compliance with the laws of these technology assessment and valuation organizations.

Article 14. Effect

This Circular takes effect 45 days after its signing date.

Any problem arising in the course of implementation should be promptly reported to the Ministry of Science and Technology for amendment or supplementation accordingly.