Circular No. 03/2016/TT-BKHCN on the dossier, contents, and procedures for reviewing the scientific basis of socio-economic development programs and the technology of investment projects.

CIRCULAR

Regulations on the dossier, content, and procedures for scientific basis assessment of socio-economic development programs, and technology assessment of investment projects

scientific basis assessment of socio-economic development programs

technology assessment of investment projects

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Pursuant to the Law on Science and Technology dated June 18, 2013;

On the basis of the Investment Law dated November 26, 2014;

Pursuant to the Law on Public Investment dated June 18, 2014;

Pursuant to the Law on Construction promulgated on June 18, 2014;

Decision No. 157/QĐ-TTg dated February 1, 2021 of the Prime Minister promulgating the National Product Development Program until 2030;

Pursuant to Decree No. 118/2015/NĐ-CP dated November 12, 2015 of the Government detailing and guiding the implementation of certain provisions of the Investment Law;

WHEREAS, Decree No. 59/2015/NĐ-CP dated June 18, 2015 of the Government on project management for investment in construction;

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

At the request of the Director of the Department of Evaluation, Appraisal, and Technology Supervision and the Director of the Legal Department;

The Minister of Science and Technology issues this Circular regulating the dossier, content, and procedures for scientific basis assessment of socio-economic development programs, and technology assessment of investment projects.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

2. Applicability:

This Circular regulates the dossier, content, and procedures for scientific basis assessment of socio-economic development programs (hereinafter referred to as scientific basis assessment); technology assessment of investment projects subject to investment policy approval, investment projects subject to investment registration without investment policy approval under the Investment Law, or investment projects subject to investment policy approval and investment decision by competent authorities under laws on public investment and construction (hereinafter referred to as technology assessment).

第二条 组织和实施奖励工作的支出水平，如政府第152/2025/NĐ-CP号决定关于分级授权和奖励领域的分权规定

This Circular applies to state management agencies, organizations, and individuals involved in establishing and assessing socio-economic development programs and investment projects.

Article 2. Interpretation of Terms

In this Circular, the following terms are understood as follows:

1. Socio-economic development program (hereinafter referred to as development program) is a set of synchronized objectives, tasks, and solutions regarding economy, society, science, technology, environment, mechanisms, policies, laws, and organization to implement one or more objectives determined in the national, regional, territorial, or local socio-economic development strategies and sectoral or field development plans within a specific period.

2. Leading agency for investment project assessment is a state agency with authority responsible for leading and coordinating with relevant ministries, sectors, and localities to issue investment registration certificates or submit investment policy decisions or investment decisions to competent authorities according to the law.

3. Leading agency for program assessment development is a state agency with authority responsible for leading and coordinating with relevant ministries, sectors, and localities to submit the development program for approval by the competent authority.

Article 3. Scientific Basis Assessment and Technology Assessment Agencies

1. The Ministry of Science and Technology receives the application dossier and conducts scientific basis assessment of development programs under the Prime Minister's approval authority; technology assessment of investment projects subject to investment policy approval or investment decision by the following competent authorities: National Assembly, Prime Minister, Ministries, and central agencies.

2. Provincial and centrally-administered city Science and Technology Departments receive the application dossier and conduct scientific basis assessment of local development programs not covered by Clause 1 of this Article; technology assessment of investment projects subject to local investment policy approval or investment decision by local competent authorities or investment projects subject to local investment registration without investment policy approval.

Article 4. Funding for scientific basis review and technology review work

The agency responsible for reviewing the scientific basis and technology shall use state budget funds to cover the costs of reviewing the scientific basis and technology in accordance with current regulations.

Chapter II

DOCUMENTS, CONTENT AND PROCEDURES, FORMALITIES

 SCIENTIFIC BASIS REVIEW

Article 5. Documents for scientific basis review

The documents for scientific basis review include:

1. The proposal document from the leading agency conducting the development program review.

2. Documentation submitted to the competent state management agency for approval of the development program in accordance with the laws on planning, approving, and managing overall socio-economic development plans.

3. Report on the results of theoretical and practical research for developing the development program.

4. Evaluation record of the acceptance of research results (if applicable).

5. List of investment projects under the development program (if applicable).

Article 6. Content of scientific basis review

1. Arguments regarding the necessity of the development program.

2. Analysis of conditions and current status of socio-economic development (geographical location, topographical characteristics, climate and hydrology, economic situation, social situation, etc.); evaluation of the implementation of the previous development program phase (if applicable); discussion on comparative advantages, difficulties, limitations; international experience (if applicable).

3. Legal basis, scientific arguments, reliability of information, data, materials used for planning and building the development program.

4. Development viewpoints and objectives of the development program.

5. Assessment of the impact of the development program on sustainable development, socio-economic development of sectors, fields, localities, regions, and the country.

6. Examination of the compatibility and synchronization of the development program with national, regional, territorial strategies, overall socio-economic development plans, sectoral plans, and other approved plans.

7. Examination of the main goals and indicators of the development program; plans and solutions for implementing the development program.

8. Examination of scientific and technological solutions, resources for implementation; feasibility and management measures for implementing the development program; arguments for the list of component investment projects and priorities (if applicable).

9. Other related issues (if applicable).

 The scientific basis review form is established according to Model 1 attached to this Circular. The content of the review document follows Model 3 attached to this Circular.

Article 7. Procedures and formalities for scientific basis review

1. The leading agency conducting the development program review sends one set of documents in accordance with Article 5 of this Circular to the agency responsible for reviewing the scientific basis in accordance with Article 3 of this Circular.

2. Within fifteen working days from the date of receipt of the request for review, the agency responsible for reviewing the scientific basis sends the review document to the leading agency conducting the development program review.

3. In cases where the development program has complex content, involves multiple sectors, and has wide-ranging impacts, the agency responsible for reviewing the scientific basis decides to seek opinions from experts or independent consulting organizations or establish a scientific and technological advisory board to examine:

a) For cases seeking opinions from experts or independent consulting organizations, the agency responsible for reviewing the scientific basis sends the documents to the experts or independent consulting organizations for their opinions. Experts and independent consulting organizations must be individuals or organizations with sufficient capacity and experience in the relevant field. The opinions of experts and independent consulting organizations serve as a basis for the agency responsible for reviewing the scientific basis to provide review opinions on the development program.

The expert and independent consulting organization's evaluation forms are carried out according to Model 5 attached to this Circular.

b) For cases seeking opinions from a scientific and technological advisory board, the review period may be extended but not exceeding thirty working days, and the agency responsible for reviewing the scientific basis must notify the leading agency conducting the development program review beforehand. The head of the agency responsible for reviewing the scientific basis issues a decision to establish the scientific and technological advisory board. The scientific and technological advisory board operates in accordance with the laws on science and technology.

The evaluation forms of the scientific and technological advisory board members and the minutes of the scientific and technological advisory board are carried out according to Models 7 and 8 attached to this Circular.

4. The choice of review method stipulated in this provision shall be decided by the head of the agency responsible for reviewing the scientific basis.

Chapter III

DOCUMENTS, CONTENT AND PROCEDURES, FORMALITIES

 TECHNOLOGY REVIEW

Article 8. Technology Appraisal Documents

The technology appraisal documents include:

1. The proposal document of the leading agency for the investment project appraisal.

2. Investment project dossier in accordance with the provisions of the law. In the investment project dossier, under the content on science and technology, it must clearly state: the name of the technology, the origin of the technology, the process flow diagram of the technology, analysis and selection of technology options; key technical parameters, usage status of machinery, equipment, and main production lines (list of machinery, equipment, production lines; characteristics, technical features, capacity, new or used).

3. Report on the results of theoretical and practical research for building the investment project (if applicable).

4. Evaluation record of the acceptance of research results (if applicable).

5. Assessment of the impact of technology on economic and social efficiency.

6. Preliminary assessment of the impact of technology on the environment.

7. Draft technology transfer contract (if there is a contribution in kind through technology).

8. List of used machinery, equipment, and production lines imported (if applicable).

Article 9. Content of Technology Appraisal

1. Technology of the investment project:

a) Reviewing technology listed in the Catalogue of Technologies (encouraged to transfer, restricted from transferring, or prohibited from transferring) as stipulated by the law on technology transfer;

b) Reviewing the production line ensuring the production of products as planned both in quantity and quality;

c) Reviewing the production line ensuring standards for energy conservation, industrial hygiene, labor safety, and environmental protection;

d) Reviewing the technology option proposed in the investment project dossier: analyzing and comparing the advantages and disadvantages of each option, and based on the completeness of the technology, the advancement of the production line, and the suitability of the production line, making comments on the selected technology option;

đ) For high-tech investment projects, in addition to the provisions set out in this Circular, the technology of the project must meet the criteria and standards prescribed by the law on high technology.

2. Products created by the technology, product market:

a) Product quality standards applied;

b) Market demand forecast (domestic and international) taking into account similar products and the reliability of the forecast;

c) Forecast of the market share of products created by the technology, export ratio;

d) Competitiveness (in terms of quality, design, cost) of products created by the technology.

3. Equipment in the production line:

a) Equipment in the production line must have features and quality suitable for the requirements of the technology to produce products as planned in terms of quality and quantity;

b) The synchronization of equipment in the production line (the list of equipment in the investment project demonstrates the ability to perform stages in the production line, meeting the requirements for quantity and quality of products). In cases where investors contribute capital in the form of equipment, the equipment must ensure synchronization and compatibility with the technology;

c) Based on the list of major equipment in the investment project, the following main contents need to be reviewed specifically: the characteristics and technical features of the equipment; the capacity of the equipment; the condition of the equipment (new or used); warranty period;

d) For investment projects that list a list of used machinery, equipment, and production lines expected to be imported, they need to be appraised according to the contents mentioned in point a, b of this clause and the following contents:

- Reviewing the condition of machinery, equipment, and production lines (age of equipment (year of manufacture), time already used, remaining usable time, etc.);

- Origin and place of manufacture of machinery, equipment, and production lines;

- Reviewing the degree of compliance of production standards for machinery, equipment, and production lines with national technical regulations (QCVN) or national standards (TCVN) of Vietnam or standards of G7 countries regarding safety, energy conservation, and environmental protection.

4. Raw materials, fuels, materials, spare parts, components in the investment project:

a) Reviewing the ability to exploit, supply, transport, and store raw materials, fuels, and materials for the investment project;

b) Reviewing the types, quantities, and values of various types of spare parts, components, or semi-finished products that need to be imported or used domestically for processing, assembly, and production;

c) Reviewing the types, quantities, and values of raw materials, fuels, and materials that need to be imported, the ability to use raw materials locally and nationally, and the ability to use environmentally friendly raw materials.

5. Impact of technology on economic and social efficiency:

Reviewing the impact of technology on the economic and social development of the locality, industry, and sector (improving the technological level of production in the industry and sector, contributing to technological innovation in local production, contributing to increasing the value of products, creating core products, and products with strengths of the locality).

6. Impact of technology on the environment:

Reviewing the impact of technology on the natural environment, society, public health...

7. Other related issues as required by the leading agency for the investment project appraisal (if applicable).

Article 10. Technology Appraisal Process and Procedures

1. The leading agency for project investment appraisal shall submit one set of application documents for technology appraisal in accordance with Article 8 of this Circular to the technology appraisal agency as stipulated in Article 3 of this Circular.

2. Within fifteen working days (for projects requiring investment approval or investment decision) or ten working days (for projects requiring investment certificate issuance but not requiring investment approval), from the date of receipt of the application documents, the technology appraisal agency shall send the appraisal document to the leading agency for project investment appraisal.

The technology appraisal form shall be prepared according to Form 2 attached to this Circular. The content of the appraisal document shall follow Form 4 attached to this Circular.

3. In cases where the project involves complex technological content, affects multiple industries, and has a wide-ranging impact, the technology appraisal agency shall organize consultations with experts or independent consulting organizations or scientific and technological advisory boards to review:

a) For cases involving expert opinions, the technology appraisal agency shall send the documents to the expert or independent consulting organization for their opinion. The expert or independent consulting organization must have sufficient expertise and experience in the relevant field. The expert's opinion serves as the basis for the technology appraisal agency to issue its technology appraisal opinion on the project.

The expert's evaluation form for the project's technology shall follow Form 6 attached to this Circular.

b) For cases requiring opinions from a scientific and technological advisory board, the head of the technology appraisal agency shall issue a decision to establish such a board. The advisory board shall operate in accordance with laws governing science and technology.

The evaluation form of the scientific and technological advisory board members and the minutes of the scientific and technological advisory board shall be carried out according to Forms 7 and 8 attached to this Circular.

4. The choice of appraisal method specified in this Article shall be decided by the head of the technology appraisal agency.

Chapter IV

ORGANIZATION AND IMPLEMENTATION

Article 11. Implementation Organization

1. The Department of Evaluation, Appraisal, and Technical Inspection is responsible for implementing this Circular.

2. By January 31 each year, provincial and municipal science and technology departments shall summarize and evaluate the previous year's scientific basis appraisals and technology appraisals, and report according to Form 9 attached to this Circular to the Ministry of Science and Technology for consolidation.

Article 12. Effective Date

1. This Circular takes effect from May 15, 2016.

2. This Circular replaces Circular No. 10/2009/TT-BKHCN dated April 24, 2009, issued by the Minister of Science and Technology, guiding the technical review of investment projects.

3. During the implementation of this Circular, if there are any issues or difficulties, ministries, ministerial-level agencies, government agencies, provincial and municipal people's committees, and other agencies, organizations, and individuals should reflect these issues to the Ministry of Science and Technology for appropriate amendments and supplements to this Circular.