Thông tư 16/2014/TT-BKHCN

CIRCULAR

ON REQUIREMENTS PERTAINING TO ESTABLISHMENT AND OPERATION OF TECHNOLOGY MARKET INTERMEDIARIES

Pursuant to Decree No. 20/2013/NĐ-CP dated February 26, 2013 of the Government defining the functions, tasks, entitlements and organizational structure of the Ministry of Science and Technology;

Pursuant to Decree No. 08/2014/NĐ-CP dated January 27, 2014 of the Government on guidelines for Law on science and technology;

At the request of the Director of National Agency for Technology Entrepreneurship and Commercialization Development and Director of Legal Department;

The Minister of Science and Technology issues a Circular on requirements pertaining to establishment and operation of technology market intermediaries.

Chapter I

GENERAL PROVISIONS

Article 1. Scope and regulated entities

1. This Circular promulgates requirements pertaining to establishment and operation of Technology Market Intermediaries (hereinafter referred to as TMIs) under forms of science and technology organizations (hereinafter referred to as STOs).

2. This Circular applies to organizations or individuals that directly or indirectly establish, operate and manage following types of TMIs:

a) Technology Exchanges;

b) Technology Exchange Centers;

c) Technology Transfer Promotion Centers;

d) Intellectual Property Valuation Centers;

dd) Innovation Support Centers;

e) Technology Incubators, Technology Business Incubators.

A TMI may be established under form of an Exchange, a center, an office, an incubator or another form.

TMIs shall be named as prescribed in Circular No. 03/2014/TT-BKHCN dated March 31, 2014 of the Minister of Science and Technology on guidelines for requirements pertaining to establishment and registration for operation of STOs, representative offices or branches of STOs (hereinafter referred to as Circular No. 03/2014/TT-BKHCN)

3. Any TMI other than those prescribed in Clause 2 of this Article shall be established and operated as prescribed in regulations of law on intellectual property, technology transfer, standards, measure and quality and other laws on relevant fields.

Article 2. Interpretation of terms

For the purposes of this Circular, these terms below shall be construed as follows:

1. TMI means an organization that acts as the middlemen between suppliers, demander and other parties in exchange of technology or intellectual property as prescribed in regulations of law on civil, trade, investment, enterprises, science and technology.

2. Technology Exchange means a type of TMIs that provide parties with all services relating to exchange of technology or intellectual property, including: purchase offer, sale offer, presentation, representative, agent, consultancy, brokerage, valuation support, technical assistance, facilitating negotiation, business deal in exchange of technology or intellectual property.

3. National Technology Exchange means a public Technology Exchange that provide all parties with services relating to exchange of technology or intellectual property nationwide to serve national strategy for socio-economic development.

4. Local Technology Exchange means a public Technology Exchange that provide parties with all services relating to exchange of technology or intellectual property in administrative divisions to serve local strategy for economic development.

5. Technology Exchange Center means a type of TMIs that provide parties with several services relating to exchange of technology or intellectual property in administrative divisions or certain fields.

6. Technology Transfer Promotion Center means a type of TMIs that provide STOs, STEs and other organizations creating findings on scientific research and development of technology or intellectual property with consultancy services or support for commercialization of those findings.

7. Intellectual Property Valuation Center means a type of TMIs that provide owners or representatives of owners of findings on scientific research and development of technology or intellectual property or persons having rights to use that findings or relevant parties with consultancy services or support for valuation of that findings.

8. Innovation Support Center means a type of TMIs that provide organizations or individuals with consultancy services or support for innovation in products or services, management process, business structure; acquirement and mastery of technology; administration, exploitation and commercialization of intellectual property; administration of innovation operation.

9. Technology Incubator or Technology Business Incubator means a type of TMIs that provide organizations or individuals with consultancy services or support for scientific research and technology development; improvement, application or commercialization of technology; business model creation, investment capital mobilization and other activities to facilitate establishment and development of STEs.

Article 3. Tasks of TMIs

1. Tasks of a Technology Exchange:

a) Enabling parties to exchange technology or intellectual property legally, safely and effectively;

b) Controlling and observing technology exchange; listing ask prices and bid prices of technology or intellectual property in each period;

c) Performing tasks prescribed in Point a and Point b of Clauses 2, 3, 4 and 5 of this Article.

2. Tasks of a Technology Exchange Center:

a) Displaying, presenting, advertising and providing technology or equipment at the requests of organizations or individuals;

b) Providing consultancy, acting as a broker in technology exchange; conducting technology exchange according agreements on representative, entrustment, authorization, agency or deposit at the requests of organizations or individuals;

c) Performing tasks prescribed in Point a and Point b of Clauses 1, 4 and 5 of this Article.

3. Tasks of a Technology Transfer Promotion Center:

a) Supporting for commercialization of findings on scientific research and technology or intellectual property development given by STOs, STEs, or other organizations having that findings;

b) Providing services of orders for research, improvement and transfer of technology and investment cooperation in scientific research and technology development;

c) Performing tasks prescribed in Point a and Point b of Clauses 4 and 5 of this Article.

4. Tasks of an Intellectual Property Valuation Centers:

a) Providing owners or representatives of owners of findings on scientific research and technology or intellectual property development, or persons having rights to use research or relevant entities with consultancy services or support for valuation of that findings;

b) Conforming to requests of competent agencies in valuation of findings on scientific research and technology or intellectual property development.

5. Tasks of an Innovation Support Centers:

a) Providing organizations or individuals with consultancy pertaining to methods for innovation in products or services; innovation in management process, business structure, administration of innovation activities; or administration, exploitation and commercialization of intellectual property;

b) Providing organizations or individuals with services pertaining to selection, acquirement, decipher, mastery, and innovation of technology;

c) Performing tasks prescribed in Point a and Point b of Clauses 3 and 4 of this Article.

6. Tasks of a Technology Incubators or a Technology Business Incubator:

a) Providing necessary facilities and services to serve technology incubation or technology business incubation;

b) Providing consultancy or training in scientific research and technology development; improvement, application or commercialization of technology; startup enterprises, business administration, market development, brand name creation and administration of intellectual property;

c) Popularizing technology or STEs;

d) Investing, mobilizing investment capital, supporting financial or credit to incubation and commercialization of technology or STEs;

dd) Performing tasks prescribed in Point a of Clause 3 and Point b Clause 5 of this Article.

Chapter II

REQUIREMENTS PERTAINING TO ESTABLISHMENT AND OPERATION OF TMIS

Article 4. General requirements, competence and procedures for establishment and operation

1. General requirements, competence and procedures for establishment and operation of TMIs shall comply with regulations on establishment and operation of STOs as prescribed in Decree No. 08/2014/NĐ-CP dated January 27, 2014 of the Government on guidelines for Law on science and technology (hereinafter referred to as Decree No. 08/2014/NĐ-CP) and Circular No. 03/2014/TT-BKHCN

2. Competence in establishment, acquisition, division, dissolution of TMIs shall comply with Article 12 of Law on science and technology and Article 5 of Decree No. 08/2014/NĐ-CP

Competence in establishment of public Technology Exchanges or public Technology Exchange Centers shall comply with following regulations:

a) National Technology Exchange shall be established according to the Decision of the Minister of Science and Technology and the approval of the President of People’s Committee of the province where the headquarter of Technology Exchange locates;

b) A Local Technology Exchange shall be established according to the Decision of the President of People’s Committee of the province where the headquarter of Technology Exchange locates and the approval of the Minister of Science and Technology;

c) A public Technology Exchange Center shall be established according to the Decision of the President of People’s Committee of the province.

3. Each application for registration of TMI operation which is sent to the Registry of science and technology activities affiliated to the Ministry of Science and Technology, the Service of Science and Technology must contain a description meeting requirements prescribed in Clauses 5, 6, 7, 8 and 9 of this Circular and valid enclosed documents.

4. The Registry of science and technology activities, the Service of Science and Technology must send the application prescribed in Clause 3 of this Article and a request for approval issued by Department of market development and STEs affiliated to the Ministry of Science and Technology pertaining to conformity of requirements prescribed in this Circular which is considered as the basis for certification of operation of the TMI, unless Department of market development and STEs affiliated to the Ministry of Science and Technology have provided that approval before establishment.

5. Department of market development and STEs affiliated to the Ministry of Science and Technology must send responses within 05 working days from the date on which the valid dossier is received. If the documents of dossier are required to be amended or verified, Department of market development and STEs affiliated to the Ministry of Science and Technology shall send notifications to relevant organizations or individuals of completion of the dossier and relevant agencies as prescribed in Clause 4 of this Article.

6. The agency in charge of verification of dossier of public TMI establishment shall request for approval for conformity with requirements prescribed in this Circular according to equivalent procedures as prescribed in Clause 4 and Clause 5 of this Article.

Article 5. Requirements pertaining to establishment and operation of a Technology Exchange

1. Requirements pertaining to staff:

a) There are at least 05 staff members obtaining at least Bachelor’s Degrees, in which at least 40% of those are official members, 30% of those obtain certificates of training in: consultancy, brokerage or promotion of technology transfer; administration of intellectual property; technology valuation; or intellectual property valuation;

b) The Head of the Technology Exchange must obtain at least a Bachelor's Degree, a certificate of at least one in the skills prescribed in Point a of this Clause and has at least 03 years' experience in commercialization of technology or intellectual property.

2. Requirements pertaining to facilities applying to National Technology Exchange:

a) Having rights to use at least 1,000 m² of area for at least 05 years which is used for presentation, consultancy, negotiation of transfer of technology or intellectual property and other activities serving tasks of the Technology Exchange;

b) Having a database or rights to use and exploit the database of supply and demand sources of technology or intellectual property; technology brokers; organizations or specialists valuating technology or intellectual property; organizations or specialists supporting technique and consultancy of transfer of technology or intellectual property, standards, measures, or quality;

c) Having technical process, management process of exchange of technology or intellectual property which ensure rights and interests of organizations or individuals exchanging technology;

d) Having its own website or rights to use common websites of technology or intellectual property exchange;

dd) Having electric trading boards and technical measures to ensure the technology or intellectual property exchange and updates of information about technology exchange.

3. Requirements pertaining to facilities applying to a Local Technology Exchange:

a) Having rights to use at least 500 m² of area for at least 05 years which is used for: presentation, consultancy, negotiation of transfer of technology or intellectual property and other activities serving tasks of the Technology Exchange;

b) Performing tasks prescribed in Point b, c, d and dd Clause 2 of this Article.

4. Requirements pertaining to facilities applying to a non-public Technology Exchange shall comply with Point b, c and d Clause 2 of this Article.

Article 6. Requirements pertaining to establishment and operation of a Technology Exchange Center

1. Requirements pertaining to staff:

a) Performing tasks prescribed in Point a Clause 1 Article 5 of this Article;

b) The Head of the Technology Exchange must obtain at least a Bachelor's Degree, a certificate of at least one in the skills prescribed in Point a Clause 1 Article 5 of this Circular and has at least 01 year' experience in commercialization of technology or intellectual property.

2. Requirements pertaining to facilities applying to a public Technology Exchange Center of central-affiliated cities and provinces (hereinafter referred to as provinces):

a) Having rights to use at least 300 m² of area for at least 03 years which is used for: presentation, consultancy, negotiation of transfer of technology or intellectual property and other activities serving tasks of the Technology Exchange Center;

b) Performing tasks prescribed in Point b, c, d Clause 2 of Article 5 of this Circular.

3. Requirements pertaining to facilities applying to a non-public Technology Exchange Center shall comply with Points b, c and d Clause 2 Article 5 of this Circular.

Article 7. Requirements pertaining to establishment and operation of a Technology Transfer Promotion Center

1. Requirements pertaining to staff shall comply with Clause 1 Article 6 of this Circular.

2. Requirements pertaining to facilities

a) Having a database or rights to use and exploit the database of supply of technology and demand for commercialization of research findings of technology development or intellectual property of STOs, STEs or individuals engaged in technology;

b) Performing tasks prescribed in Point c Clause 2 Article 5 of this Article.

Article 8. Requirements pertaining to establishment and operation of an Intellectual Property Valuation Center

1. Requirements pertaining to staff:

a) There are at least 05 staff members obtaining at least Bachelor’s Degrees, in which at least 40% of those are official members, 30% of those obtain certificates of training in intellectual property valuation;

b) The Head of the Center must obtain at least a Bachelor's Degree, a certificate of intellectual property valuation and has at least 01 year' experience in property valuation.

2. Requirements pertaining to facilities

a) Having system of necessary specialist materials or technical equipment to provide intellectual property valuation;

b) Having technical process of intellectual property valuation.

3. Any valuation enterprises which meet requirements pertaining to operation as prescribed in Law on prices may perform tasks of a Intellectual Property Valuation Center as prescribed in this Circular.

Article 9. Requirements pertaining to establishment and operation of an Innovation Support Center

1. Requirements pertaining to staff:

a) There are at least 05 staff members obtaining at least Bachelor’s Degrees, in which at least 40% of those are official members, 30% of those obtain certificates of training in innovation or administration of intellectual property;

b) The Head of the Center must obtain at least a Bachelor's Degree and has at least 01 year' experience in technical consultancy, innovation and administration of intellectual property.

2. Requirements pertaining to facilities

a) Having system of necessary specialist materials, technical equipment to provide consultancy services, technical assistance and innovation to enterprises;

b) Having technical process, management process of technology exchange which ensures rights and interests of organizations or individuals engaging in consultancy services, technical assistance and innovation.

Article 10. Requirements pertaining to establishment and operation of a Technology Incubator or a Technology Business Incubator

1. Requirements pertaining to staff:

a) There are at least 05 staff members obtaining at least Bachelor’s Degrees, in which at least 40% of those are official members, 30% of those obtain certificates of training in: technology incubation or management of technology incubation, technology business incubation; enterprise administration; investment consultancy; or financial consultancy;

b) The Head of the Technology Exchange must obtain at least a Bachelor's Degree, a certificate of at least one in the skills prescribed in Point a of this Clause and has at least 01 year' experience in: technology incubation, technology commercialization; technology business incubation; enterprise development; investment; or finance.

2. Requirements pertaining to facilities:

a) Having rights to use at least 100 m² of area for at least 01 year which is used for establishing a common physical workspace for incubated entities;

b) Having lawful rights to use laboratories, pilot production facilities or necessary equipment for incubation of relevant fields;

c) Having a database and rights to use and exploit the database of technology, incubated entities, technology specialists, consultants on relevant incubation;

d) Having a process for technology incubation or technology business incubation.

Chapter III

IMPLEMENTATION

Article 11. Responsibilities of State management agencies for technology

1. Department of market development and STEs and Services of Science and Technology within their competence shall:

a) Raise public awareness about policies, laws, programs and projects related to development of TMIs;

b) Cooperate with professional agencies or organizations in training programs, refresher courses, issuance of certificates to develop human resources for TMIs;

c) Collect and update demand for commercialization of technology or intellectual property of STOs or STEs; demand for acceptance or innovation of technology of enterprises and provide them to TMIs;

d) Cooperate with communications in organization of typical TMIs in promotion of commercialization of technology or intellectual property, research findings of technology development;

dd) Support for necessary facilities or technical equipment to maintain and develop operation of TMIs;

e) Support for connection of TMIs of local markets for technology and support local TMIs in connection with TMIs in foreign markets for technology; access and associate with operation of investment funds, investment companies in technology or intellectual property field;

g) Providing TMIs with information about supply and demand of technology or intellectual property to promote commercialization of research findings of development of technology or intellectual property;

h) Cooperate with competent agencies in inspection and solutions for violations against regulations of law on TMIs.

2. The agencies in charge provision of information about science and technology prescribed in Article 25, 26, 27 of Decree No. 11/2014/2014/NĐ-CP dated February 18, 2014 of the Government on provision of science and technology information, Registry of science and technology activities and Services of Science and Technology must provide information about organization and operation of TMIs to Department of market development and STEs and send reports to the Minister of Science and Technology.

3. Offices of national technology programs and relevant units must consider supporting projects for establishment and registration for operation of TMIs according to Program for development of technology market by 2020, Program for support for STEs and public STOs in implementation of autonomy mechanism or self responsibility.

Article 12. Responsibilities of TMIs

1. Fulfill responsibilities of STOs as prescribed in Circular No. 03/2014/TT-BKHCN

2. Ensure maintenance of staff and facilities meeting requirements as prescribed in this Circular during their operation.

3. Formulate and implement regulations on association between TMIs and technology supplier-demander, business supporters, science and technology authorities and other authorities.

4. Ensure that information technology infrastructure is synchronized and unable to use general database of technology market.

5. Send annual reports or irregular reports on at the requests of Department of market development and STEs results of operations, difficulties and support measures needed.

Article 13. Transitional provisions

1. Within 06 months from the effective date of this Circular, any TMIs established before the effective date of this Circular must follow procedures for registration or application for replacement, amendment or reissuance of Certificates as prescribed in Circular No. 03/2014/TT-BKHCN and this Circular.

2. Other enterprises or organizations which perform tasks of TMIs shall be eligible for incentives provided for STOs or TMIs as prescribed in Law on science and technology, guiding documents, national programs for science and technology after they register for operation under forms of TMIs as prescribed in this Circular.

Article 14. Effect

1. This Circular comes into force from August 1, 2014.

2. Difficulties that arise during the implementation of this Circular should be reported to the Ministry of Science and Technology for consideration./.