Circular No. 16/2014/TT-BKHCN on conditions for establishment and operation of intermediary organizations in the science and technology market

CIRCULAR

Regulations on conditions for establishment and operation of intermediary organizations in the science and technology marketcủa thị trường khoa học và công nghệ

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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;

Pursuant to Decree No. 08/2014/NĐ-CP dated January 27, 2014 of the Government detailing and guiding the implementation of certain provisions of the Law on Science and Technology;

At the proposal of the Director of the Market Development and Science and Technology Enterprise Department and the Legal Affairs Department;

The Minister of Science and Technology promulgates this Circular stipulating conditions for establishment and operation of intermediary organizations in the science and technology market.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular specifies in detail the conditions for establishment and operation of intermediary organizations in the science and technology market in the form of scientific and technological organizations (hereinafter referred to as intermediary organizations).

2. This Circular applies to organizations and individuals establishing or participating in the establishment, operation, and management of the following types of intermediary organizations:

a) Technology trading floor;

b) Technology trading center;

c) Center for promoting and supporting technology transfer activities;

d) Center for supporting intellectual property asset valuation;

đ) Center for supporting innovation and creativity;

e) Technology incubation facility, scientific and technological enterprise incubation facility.

Intermediary organizations may be established in the forms of trading floors, centers, offices, rooms, incubators, and other forms.

Naming of intermediary organizations shall be carried out in accordance with Circular No. 03/2014/TT-BKHCN dated March 31, 2014 of the Minister of Science and Technology guiding conditions for establishment and registration of activities of scientific and technological organizations, representative offices, branches of scientific and technological organizations (hereinafter referred to as Circular 03/2014/TT-BKHCN).

3. Other intermediary organizations not falling under the types specified in Clause 2 of this Article shall be established and operate in accordance with laws on intellectual property rights, technology transfer, standards, measurement, quality, and other relevant laws in their respective fields.

Article 2. Interpretation of Terms

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

1. Intermediary organization is an organization providing services to connect, support suppliers, demanders, and other parties involved in transactions related to technology and intellectual property assets in accordance with civil, commercial, investment, business, science, and technology laws.

2. Technology trading floor is a type of intermediary organization capable of performing all supportive services for parties interested in technology and intellectual property asset transactions, including purchasing, selling, introducing, representing, agency, consulting, brokerage, supporting valuation, technical support, negotiation assistance, signing, and implementing technology and intellectual property asset transactions.

3. National technology trading floor is a public technology trading floor assigned the task of supporting all parties interested in technology and intellectual property asset transactions nationwide to serve the national strategy for economic and social development.

4. Regional technology trading floor is a public technology trading floor assigned the task of concentrating on supporting parties interested in technology and intellectual property asset transactions within a specific area to serve regional economic development strategies.

5. Technology trading center is a type of intermediary organization capable of performing some supportive services for parties interested in technology and intellectual property asset transactions within a local area or specific field.

6. Center for promoting and supporting technology transfer activities is a type of intermediary organization providing advisory and support services to scientific and technological organizations, scientific and technological enterprises, and other organizations engaged in generating research outcomes and intellectual property assets in the process of commercializing research outcomes and intellectual property assets.

7. Intellectual Property Valuation Support Center is a type of intermediary organization providing advisory and support services to owners, representatives of owners, users of research outcomes and intellectual property assets, and related parties in determining the value of research outcomes and intellectual property assets.

8.Innovation support center is a type of intermediary organization providing advisory and support services to organizations and individuals in product, service, management process, production organization, and business innovation; adopting and mastering technology; managing, exploiting, and commercializing intellectual property assets; managing innovation activities.

9. Technology incubation facility, enterprise incubation facility is a type of intermediary organization providing advisory and support services to organizations and individuals in scientific research and technological development; perfecting, applying, and commercializing technology; building business models, raising investment capital, and other activities that promote the formation and development of scientific and technological enterprises.

Article 3. Functions of intermediary organizations

1. Functions of technology trading floors:

a) Providing services to support parties in conducting technology transactions, ensuring legality, safety, and effectiveness;

b) Managing and supervising technology transactions, intellectual property activities; listing bid prices and asking prices for technology and intellectual property at different times;

c) Activities specified in Point a and Point b of Clauses 2, 3, 4, and 5 of this Article.

2. Functions of technology trading centers:

a) Displaying, introducing, advertising, and providing technology and equipment according to the needs of organizations and individuals;

b) Advising, brokering technology and intellectual property transactions; performing technology transactions under agency, mandate, authorization, representation, consignment contracts according to the needs of organizations and individuals;

c) Activities specified in Point a and Point b of Clauses 1, 4, and 5 of this Article.

3. Functions of technology transfer promotion and support centers:

a) Supporting the commercialization of research outcomes and technological development, intellectual property of scientific and technological organizations, science and technology enterprises, and other organizations engaged in creating research outcomes and technological development, intellectual property;

b) Providing services for ordering research, perfecting, transferring technology, and cooperative investment in research and technological development;

c) Activities specified in Point a and Point b of Clause 4 and Clause 5 of this Article.

4. Functions of intellectual property valuation support organizations:

a) Providing advisory and support services to owners, representatives of owners, users of research outcomes and technological development, intellectual property, and related parties in determining the value of research outcomes and technological development, intellectual property;

b) Implementing state agency requirements for determining the value of research outcomes and technological development, intellectual property.

5. Functions of innovation support centers:

a) Advising organizations and individuals on methods of product and service innovation; management and production business process innovation; managing innovation activities; managing, exploiting, and commercializing intellectual property;

b) Providing services to support organizations and individuals in selecting, absorbing, decoding, mastering, and improving technology;

c) Activities specified in Point a and Point b of Clause 3 and Clause 4 of this Article.

6. Functions of technology incubation bases, science and technology enterprise incubation bases:

a) Providing physical and technical infrastructure and essential services for technology incubation and science and technology enterprise incubation activities;

b) Advising and training on scientific research and technological development; perfecting, applying, and commercializing technology; starting businesses, managing businesses, developing markets, building brands, managing intellectual property;

c) Promoting technology and science and technology enterprises;

d) Investing, raising investment capital, supporting financial and credit activities for technology incubation and commercialization, science and technology enterprise incubation;

đ) Activities specified in Point a of Clause 3 and Point b of Clause 5 of this Article.

Chapter II

PROVISIONS ON THE ESTABLISHMENT AND OPERATION OF INTERMEDIARY ORGANIZATIONS

Article 4. General conditions, authority, procedures for establishment and registration of activities

1\. The general conditions, procedures for establishment and registration of intermediary organizations shall be carried out in accordance with the provisions on the establishment and registration of scientific and technological organizations under Decree No. 08/2014/ND-CP dated January 27, 2014 of the Government detailing and guiding the implementation of certain articles of the Law on Science and Technology (hereinafter referred to as Decree No. 08/2014/ND-CP) and Circular No. 03/2014/TT-BKHCN.

2\. The authority to establish, merge, divide, split, dissolve intermediary organizations shall be implemented in accordance with the provisions of Article 12 of the Law on Science and Technology and Article 5 of Decree No. 08/2014/ND-CP.

The authority to establish public technology trading floors and public technology trading centers is specifically guided as follows:

a\. National technology trading floors shall be established based on the decision of the Minister of Science and Technology and on the basis of the approval document of the Chairman of the People's Committee of the province where the national technology trading floor is headquartered;

b\. Regional technology trading floors shall be established based on the decision of the Chairman of the People's Committee of the province where the regional technology trading floor is headquartered and on the basis of the approval document of the Minister of Science and Technology;

c\. Public technology trading centers belonging to provinces and centrally-run cities shall be established based on the decision of the Chairman of the People's Committee of the province.

3\. The application for registration of intermediary organization activities submitted to the Office of Registration of Scientific and Technological Activities under the Ministry of Science and Technology and the Department of Science and Technology must include a description of compliance with the conditions stipulated in Articles 5, 6, 7, 8, and 9 of this Circular and valid accompanying documents.

4\. The Office of Registration of Scientific and Technological Activities and the Department of Science and Technology have the responsibility to send the documents and files mentioned in Clause 3 of this Article and the request letter to the Market Development and Science and Technology Enterprise Agency under the Ministry of Science and Technology for comments on compliance with the conditions stipulated in this Circular as the basis for certifying the operation of intermediary organizations, except in cases where the establishment has already received sufficient condition comments from the Market Development and Science and Technology Enterprise Agency.

5\. The Market Development and Science and Technology Enterprise Agency has the responsibility to issue written comments within five working days from the date of receipt of valid applications. In cases requiring modification or supplementation of the application or confirmation of the validity of the documents in the application, the Market Development and Science and Technology Enterprise Agency will notify the content requirements and set a deadline not exceeding ten working days for the relevant organizations and individuals to complete the application, while also notifying the relevant agency specified in Clause 4 of this Article.

6\. The agency responsible for reviewing the establishment application of public intermediary organizations shall implement the process of soliciting opinions on compliance with the conditions stipulated in this Circular according to the corresponding procedures specified in Clauses 4 and 5 of this Article.

Article 5. Conditions for establishing and operating technology trading floors

1\. Human resource conditions:

a\. At least five people with a bachelor's degree or higher, of which at least 40% work full-time, and 30% hold certificates or completion certificates for courses in: consulting, brokerage, promotion of technology transfer; intellectual property asset management; evaluation and valuation of technology; valuation of intellectual property assets;

b\. The head must have a bachelor's degree or higher, hold a certificate or completion certificate for a course in one of the skills specified in Point a of this Clause, and have at least three years of experience in work related to the commercialization of technology and intellectual property assets.

2\. Technical infrastructure conditions for national technology trading floors:

a\. Possess the right to use a minimum area of 1000 square meters for a period of five years or more for purposes such as introducing, advising, negotiating technology transfers, intellectual property assets, and other activities serving the functions of the technology trading floor;

b\. Possess a database or the right to use and exploit a database on sources of supply and demand for technology and intellectual property assets; on organizations and individuals brokering technology; organizations and experts evaluating and valuing technology and intellectual property assets; organizations and experts providing technical support, consulting on technology transfer, intellectual property rights, standards, measurement, and quality;

c\. Possess technical processes and transaction management processes for technology and intellectual property assets ensuring the rights and interests of organizations and individuals participating in technology and intellectual property transactions;

d\. Possess a separate electronic trading platform or the right to use a common electronic trading platform for technology and intellectual property transactions;

đ\. Possess an electronic trading board and technical measures to ensure that parties can conduct technology and intellectual property transactions and update information on technology and intellectual property transactions.

3\. Technical infrastructure conditions for regional technology trading floors:

a\. Possess the right to use a minimum area of 500 square meters for a period of five years or more for purposes such as introducing, advising, negotiating technology transfers, intellectual property assets, and other activities serving the functions of the technology trading floor;

b\. Meet the conditions stipulated in Points b, c, d, đ of Clause 2 of this Article.

4\. Technical infrastructure conditions for non-public technology trading floors shall be implemented in accordance with the provisions of Points b, c, d of Clause 2 of this Article.

Article 6. Conditions for establishment and operation of technology trading centers

1\. Human resource conditions:

a) Meeting the conditions stipulated in Point a, Clause 1, Article 5 of this Circular;

b) The head must have a bachelor's degree or higher, hold a certificate or completion certification for a course on one of the skills specified in Point a, Clause 1, Article 5 of this Circular, and have at least one year of work experience related to the commercialization of technology and intellectual property.

2. Conditions regarding infrastructure and technical facilities for public technology trading centers located in provinces and centrally-administered cities:

a) Having the right to use a minimum floor area of 300 square meters for a period of three years or more for purposes such as introducing, consulting, negotiating technology transfer, intellectual property transactions, and other activities serving the functions of a technology trading center;

b) Meeting the conditions stipulated in Points b, c, and d, Clause 2, Article 5 of this Circular.

3. Conditions regarding infrastructure and technical facilities for non-public technology trading centers shall be implemented according to the provisions in Points b, c, and d, Clause 2, Article 5 of this Circular.

Article 7. Conditions for establishment and operation of centers promoting and supporting technology transfer activities

1. Human resource conditions shall be implemented according to the provisions in Clause 1, Article 6 of this Circular.

2. Conditions regarding infrastructure and technical facilities:

a) Possessing a database or having the right to use and exploit a database on sources of technology supply and demand for commercializing scientific research and technological development results, intellectual property of science and technology organizations, science and technology enterprises, and individuals engaged in science and technology activities;

b) Meeting the conditions stipulated in Point c, Clause 2, Article 5 of this Circular.

Article 8. Conditions for establishment and operation of centers supporting intellectual property valuation

1\. Human resource conditions:

a) Having at least five people with a bachelor's degree or higher, of which at least 40% work full-time, and 30% hold certificates or completion certifications for courses on intellectual property valuation;

b) The head of the organization must have a bachelor's degree or higher, hold a certificate or completion certification for a course on intellectual property valuation, and have at least one year of work experience related to intellectual property valuation.

2. Conditions regarding infrastructure and technical facilities:

a) Having a system of specialized literature, technical materials, and necessary technical equipment to provide intellectual property valuation support services;

b) Having a technical valuation process for intellectual property.

3. Appraisal enterprises meeting the conditions for operation under the Law on Prices may carry out activities within the functions of intellectual property valuation support centers as prescribed in this Circular.

Article 9. Conditions for establishment and operation of centers supporting innovation and creativity

1\. Human resource conditions:

a) Having at least five people with a bachelor's degree or higher, of which at least 40% work full-time, and 30% hold certificates or completion certifications for courses on innovation and creativity, intellectual property management;

b) The head of the organization must have a bachelor's degree or higher and at least one year of work experience related to technical consulting, innovation and creativity, intellectual property management.

2. Conditions regarding infrastructure and technical facilities:

a) Having a system of specialized literature, technical materials, and necessary technical equipment to provide consulting and technical support services for innovation and creativity to enterprises;

b) Having technical processes and management procedures ensuring rights and interests for all parties involved in consulting and technical support services for innovation and creativity.

Article 10. Conditions for establishment and operation of technology incubation facilities and science and technology business incubators

1\. Human resource conditions:

a) Having at least five persons with a bachelor's degree or higher, of which at least 40% work full-time and 30% have certificates or completion certificates for courses on skills such as: incubation or management of technology incubation activities, science and technology business incubation; business administration; investment advisory; financial advisory;

b) The head must have a bachelor's degree or higher, have a certificate or completion certificate for a course on one of the skills mentioned in Point a Clause of this Article, having at least one year of experience working in one of the following fields: incubation, commercialization of technology; science and technology business incubation; business development; investment; finance.

2. Conditions regarding infrastructure and technical facilities:

a) Having the right to use premises with a minimum area of 100 square meters for a period of one year or more to establish a shared workspace for incubated entities;

b) Having the lawful right to use laboratories, experimental production facilities, and necessary equipment for incubation activities in relevant fields;

c) Having a database or the right to use and exploit a database on technology, incubated entities, technology experts, consultants for related incubation activities;

d) Having a technology incubation process and science and technology business incubation process.

Chapter III

IMPLEMENTATION

Article 11. Responsibilities of state agencies managing science and technology

1. The Department of Market Development and Science and Technology Enterprises and provincial Departments of Science and Technology within their functions and tasks shall be responsible for:

a) Promoting policies, laws, programs, and projects related to the development of intermediary organizations;

b) Coordinating with specialized agencies and organizations to implement training programs, vocational training, certification issuance to develop human resources for intermediary organizations;

c) Collecting and updating the demand for technology commercialization, intellectual property assets of science and technology organizations and enterprises; the demand for receiving and innovating technology of businesses and providing it to intermediary organizations;

d) Coordinating communication about exemplary intermediary organizations in promoting technology commercialization, intellectual property assets, scientific research results, and technological development;

đ) Supporting material infrastructure and technical means necessary to maintain and develop the activities of intermediary organizations;

e) Supporting connections between intermediary organizations in the local science and technology market and supporting local intermediary organizations to link with intermediary organizations in foreign science and technology markets; accessing and linking activities with investment funds and companies in the technology and intellectual property sectors;

g) Coordinating the provision of supply and demand information on technology and intellectual property assets to intermediary organizations to promote the commercialization of scientific research results and technological development, intellectual property assets;

h) Coordinating with competent authorities to inspect, examine, and handle violations of laws on intermediary organizations;

2. Organizations implementing the function of a central information hub for science and technology as stipulated in Articles 25, 26, and 27 of Decree No. 11/2014/ND-CP dated February 18, 2014 of the Government on science and technology information activities, the Office of Science and Technology Activities Registration, and provincial Departments of Science and Technology shall be responsible for providing information on the organization and activities of intermediary organizations to the Department of Market Development and Science and Technology Enterprises for reporting to the Minister of Science and Technology;

3. National Science and Technology Program Offices and related units shall be responsible for considering support for project establishment and registration of activities of intermediary organizations according to the Science and Technology Market Development Program until 2020, the Support Program for Developing Science and Technology Enterprises, and public science and technology organizations implementing the self-management and self-responsibility mechanism.

Article 12. Responsibilities of intermediary organizations

1. Implement the responsibilities of scientific and technological organizations as stipulated in Circular 03/2014/TT-BKHCN.

2. Ensure the maintenance of human resources and material-technical infrastructure meeting the requirements set forth in this Circular during the course of operation.

3. Develop and implement regulations on collaboration activities between intermediary organizations and coordinate activities with technology supply-demand organizations, business support organizations, industry associations, science and technology management agencies, and other sectoral management agencies.

4. Ensure a synchronized and unified technical infrastructure for information technology capable of linking to exploit a common database on the science and technology market.

5. Report annually or upon request to the Market Development and Science and Technology Business Agency about the results of operations, difficulties encountered, and necessary support measures.

Article 13. Transitional Provisions

1. Within six months from the date this Circular takes effect, intermediary organizations established before the effective date of this Circular must complete registration procedures or request changes, supplements, or reissue Certificates according to the provisions of Circular 03/2014/TT-BKHCN and this Circular.

2. Enterprises and other organizations performing the functions of intermediary organizations shall enjoy preferential policies and support measures applicable to scientific and technological organizations and intermediary organizations as prescribed in the Law on Science and Technology, guiding documents, and national programs on science and technology after registering their activities under the intermediary organization model specified in this Circular.

Article 14. Effective Date

1. This Circular takes effect from August 1, 2014.

2. During implementation, if there are difficulties or obstacles, agencies, units, and localities are requested to report to the Ministry of Science and Technology for research and appropriate amendments and supplements./.