Decision No. 12/2023/QĐ-TTg On Issuing Certificates for Encouraged Technology Transfer

Pursuant to …;

VDECISION ofON ISSUING THE CERTIFICATE OF TECHNOLOGY TRANSFER TO ENCOURAGE TECHNOLOGY TRANSFER

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Pursuant to the Government Organization Law dated June 19, 2015;, amended and supplemented by Decree No. 109/2025/NĐ-CP and Decree No. 193/2025/NĐ-CPPursuant to the Law Amending and Supplementing Certain Provisions of the Government Organization Law and the Local Administration Organization Law dated November 22, 2019;

Pursuant to the Investment Law dated June 7, 2020;1Pursuant to the Technology Transfer Law dated June 19, 2017;

Pursuant to Decision No. development dated March 26, 2021 of the Government detailing and guiding the implementation of certain provisions of the Investment Law;

Pursuant to the Decree12/2021/ND-CPDecision No. 31/2021/NĐ-CPPursuant to Decision No. 76/2018/NĐ-CP dated May 15, 2018 of the Government detailing and guiding the implementation of certain provisions of the Technology Transfer Law;

Pursuant to Decree No.The Prime Minister issues this Decision on issuing the Certificate of Technology Transfer to Encourage Technology Transfer. dateThis Decision stipulates the authority, dossier, procedure, process, and budget for issuing, reissuing, amending, supplementing, and revoking the effect of the Certificate of Technology Transfer to Encourage Technology Transfer (hereinafter referred to as the Certificate).

Pursuant to the proposal of the Minister of Science and Technology;

a) Investment projects involving technology transfer listed in the Catalogue of Encouraged Technology Transfer as specified in Point d Clause 2 Article 15 of the Investment Law;developmentb) Investment projects implementing encouraged technology transfer to Vietnamese enterprises to be eligible for special investment incentives and support as provided for in Article 20 of the Investment Law;

Article 1. Scope of Regulation

c) Competent state agencies issuing the Certificate and organizations and individuals related to the issuance, reissuance, amendment, supplementation, and revocation of the effect of the Certificate.

Article 2. Applicability

1. This Decision applies to:

This Decision does not apply to technology transfer that falls under national secrecy in the fields of security and defense or technology transfer that falls under procurement from special defense and security budgets.

Article 3. Authority to Issue the Certificate

The competent agency issuing the Certificate (hereinafter referred to as the Issuing Agency):

1. The Ministry of Science and Technology shall issue the Certificate for encouraged technology transfer in investment projects within the authority to approve investment proposals of the National Assembly, the Prime Minister, and projects subject to special investment incentives and support.

2. Specialized agencies on science and technology under provincial People's Committees shall issue the Certificate for encouraged technology transfer in local investment projects not falling under Clause 1 of this Article.

Article 4. Dossier, Procedure, and Process for Issuing the Certificate

1. The dossier for requesting the Certificate includes:

a) A request for issuing the Certificate of Encouraged Technology Transfer according to Model No. 01 attached to this Decision;

b) The original or certified copy of the agreement on technology transfer in Vietnamese or a certified translation of the agreement on technology transfer in foreign languages;

c) An explanation of the content of encouraged technology transfer in the technology transfer agreement according to Model No. 02 attached to this Decision;

d) A copy of the patent certificate or application for industrial property objects (in cases where a patent has not been issued), or a certificate of transfer of rights to ownership or use of industrial property objects (in cases where there is a transfer of rights to industrial property objects);

đ) A report on the implementation of encouraged technology transfer activities according to the content in the technology transfer agreement, confirmed by all parties involved in the technology transfer according to Model No. 03 attached to this Decision;

e) A copy of one of the following documents: Decision approving the investment proposal, Investment Registration Certificate, Enterprise Registration Certificate, or other documents with equivalent legal value of the parties involved in the technology transfer.

2. Procedure and Process for Issuing the Certificate:

a) The examination and issuance of the Certificate shall be carried out after the technology transfer contents have been implemented and products have been produced. In cases where the technology transfer agreement specifies product standards, the products must meet the standards set forth in the agreement;

b) The transferring party or receiving party, on behalf of all parties involved in the technology transfer, shall submit one set of the dossier for requesting the Certificate directly, through postal service, or via the online public service portal to the Issuing Agency;

c) Within three working days from the date of receipt of the dossier, the Issuing Agency shall examine the completeness and validity of the dossier. If the dossier is incomplete, invalid, or requires amendments and supplements, the Issuing Agency shall issue a notice requesting such amendments and supplements, specifying the content and deadline for such actions;

d) Within five working days from the date of receipt of a complete and valid dossier, the Issuing Agency shall decide to establish a Scientific and Technological Advisory Board (hereinafter referred to as the Board) to review the dossier for requesting the Certificate;

đ) The Board shall consist of seven to eleven members including the Chairman, Secretary who is a civil servant of the Issuing Agency, and Board members. The composition of the Board shall include two critical reviewers who are experts in the transferred technology field; representatives of specialized state management agencies and relevant state management agencies, and at least half of the Board members shall be independent experts and scientists suitable for the technology transfer field to be reviewed;

e) Meeting to review the dossier for requesting the Certificate.

d) Within five working days from the date of receiving a complete and valid file, the issuing authority decides to establish the Scientific and Technological Advisory Board (hereinafter referred to as the Board) to review the application for the issuance of the Certificate;

đ) The Board shall consist of seven to eleven members including the Chairman and the Secretary, who is a civil servant of the issuing authority, and other Board members. The composition of the Board includes two opposing experts with deep knowledge in the transferred technology field; representatives from specialized state management agencies and related state management agencies; and at least half of the Board members shall be independent experts and scientists suitable for the technology transfer field under review;

e) Conduct a review meeting on the application for the issuance of the Certificate.

The Council shall convene a meeting to review the application for issuance of the Certificate within five working days from the date of establishment. The session of the Council must have at least two-thirds (two-thirds) of the members of the Council present, including the Chairman, the reviewing member, and the secretary member. In case there are not enough two-thirds (two-thirds) of the Council members present, the Chairman shall consider and decide on obtaining opinions in writing from absent members. The voting papers of absent Council members shall be valid as those of present members.

The Council shall examine the suitability of the transferred technology with the List of Encouraged Technology Transfer as prescribed by the Law on Technology Transfer; evaluate the implementation of the contents of technology transfer recorded in the technology transfer agreement and other related contents.

The Council operates based on the principle of collective decision-making, conducting secret ballot voting on whether to agree or disagree with the issuance of the Certificate. The option receiving more than half (one-half) of the votes of the Council members shall be the official opinion of the Council.

The voting papers of the Council's scientific and technological advisory members and the Minutes of the Council's meeting according to Model No. 04 and Model No. 05 attached to this Decision.

The Chairman of the Council shall sign on behalf of the Council the Report on the Result of Reviewing the Application for Issuance of the Encouraged Technology Transfer Certificate according to Model No. 06 stipulated in the Appendix issued together with this Decision;

g) Within five working days from the date of receipt of the Report on the Result of Reviewing and the Minutes of the Council's meeting, the issuing authority shall consider and decide on the issuance of the Certificate according to Model No. 07 stipulated in the Appendix issued together with this Decision. In case of refusal, it must provide a written response stating the reasons for refusal.

Article 5. Effectiveness and Revocation of the Certificate

1. The Certificate becomes effective from the date of issuance.

2. The issuing authority has the right to consider and decide to revoke the effectiveness of the Certificate in the following cases:

b) Renting or lending the Certificate;

b) Violation of the contents of the Certificate;

c) At the request of the competent state agency in case of violation of relevant laws.

3. In case the Certificate is revoked, its effectiveness ceases from the time the violation occurs. If the exact time of the violation cannot be determined, the effectiveness of the Certificate ceases from the time the violation is discovered.

4. The decision to revoke the effectiveness of the Certificate must be notified to the parties involved in the technology transfer, the state management agencies for investment, the state management agencies for taxation, and other agencies related to the decision and implementation of incentives and support.

Article 6. Amendment and Supplement to the Certificate

1. The amendment and supplement to the Certificate apply in cases where the parties involved in the technology transfer have agreed to amend and supplement the contents of the encouraged technology transfer, which have been certified and implemented.

2. The application for amendment and supplement to the Certificate includes:

a) A document requesting amendment and supplement to the Encouraged Technology Transfer Certificate according to Model No. 08 attached to this Decision;

b) The original Certificate;

c) The original or certified copy of the agreement amending and supplementing the technology transfer agreement in Vietnamese or a certified or authenticated translation into Vietnamese for foreign language agreements;

d) Relevant documents concerning the amended and supplemented contents as prescribed in Points c, d, đ, and e Clause 1 Article 4 of this Decision.

3. Procedures and formalities for amending and supplementing the Certificate:

a) The transferring party or the receiving party, on behalf of all parties, shall submit one set of the application for amendment and supplement to the Certificate directly, through postal service, or via the online public service portal to the issuing authority;

b) Within three working days from the date of receipt of the application, the issuing authority shall examine the completeness and validity of the application. In case the application is incomplete, invalid, or requires amendments and supplements, the issuing authority shall issue a document requesting amendments and supplements, specifying the contents and deadlines for such amendments and supplements;

c) Within ten working days from the date of receipt of a complete and valid application, the issuing authority shall examine and issue the Encouraged Technology Transfer Certificate with amendments and supplements. In case of refusal, it must provide a written response stating the reasons for refusal.

4. In case the transferred technology changes in terms of technology, product, scale of production, or quality standards, the issuing authority shall establish a Council and implement the issuance of the amended and supplemented Certificate according to the procedures stipulated in Clause 2 Article 4 of this Decision.

Article 7. Reissuing the Certificate

1. The reissuance applies to cases where the Certificate is lost, damaged, or there is a change in the name or address of one of the parties involved in the technology transfer.

2. The application for reissuing the Certificate includes:

a) A request for reissuing the Technology Transfer Encouragement Certificate according to Model No. 09 attached to this Decision;

b) The original Technology Transfer Encouragement Certificate (except in cases where the Certificate is lost);

c) A copy of one of the following documents: Investment Registration Certificate, Enterprise Registration Certificate, or other documents with equivalent legal value of the parties involved in the technology transfer (if there is a change in the name or address of the parties involved in the technology transfer).

3. Procedures and formalities for reissuing the Certificate:

a) One of the transferring or receiving parties, on behalf of all parties, submits one set of the application for reissuing the Certificate directly, through postal service, or via the Public Service Portal to the Issuing Authority;

b) Within three working days from the date of receipt of the application, the Issuing Authority examines the completeness and validity of the application. In cases where the application is incomplete or requires modifications, the Issuing Authority issues a notice requesting corrections, specifying the required content and deadline for corrections;

c) Within five working days from the date of receipt of a complete and valid application, the Issuing Authority reviews and decides on the reissuance of the Certificate.

Article 8. Implementation funds

1. The source of funds for reviewing applications for issuing the Certificate is allocated from the annual state budget for scientific and technological affairs assigned to the Issuing Authority according to the regulations on budget decentralization under the State Budget Law.

2. The expenditure standards and settlement procedures follow the provisions of the State Budget Law and related implementing documents.

Article 9. Implementation Provisions

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

2. Ministers, Heads of ministerial-level agencies, Heads of government-affiliated agencies, Chairpersons of provincial and centrally-administered city People's Committees, and relevant agencies and organizations are responsible for enforcing this Decision.