Circular No. 18/2012/TT-BKHCN guiding criteria and procedures for determining technologies included in the List of Encouraged Technologies for Transfer, the List of Restricted Technologies for Transfer, and the List of Prohibited Technologies for Transfer.

CIRCULAR

Guidelines on criteria and procedures for determining technologies included in the List of Technologies Encouraged for Transfer, the List of Technologies Restricted for Transfer, and the List of Technologies Prohibited from Transfer The List of Technologies Encouraged for Transfer, the List of Technologies Restricted for Transfer, and the List of Technologies Prohibited from Transfer

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Based on the Law on Technology Transfer;

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

Based on Clause 3, Article 5 of Decree No. 133/2008/NĐ-CP dated December 31, 2008 of the Government detailing and guiding the implementation of certain provisions of the Law on Technology Transfer;

Considering the proposal of the Director of the Department of Technology Evaluation, Appraisal, and Inspection;

The Minister of Science and Technology issues this Circular to guide the criteria and procedures for determining technologies included in the List of Technologies Encouraged for Transfer, the List of Technologies Restricted for Transfer, and the List of Technologies Prohibited from Transfer as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular guides the criteria, procedures for determining technologies, and the review of proposals by Ministries, ministerial-level agencies, and government agencies regarding amendments and supplements to the List of Technologies Encouraged for Transfer, the List of Technologies Restricted for Transfer, and the List of Technologies Prohibited from Transfer as stipulated in Clause 1, Article 5 of Decree No. 133/2008/NĐ-CP dated December 31, 2008 of the Government detailing and guiding the implementation of certain provisions of the Law on Technology Transfer.

Article 2. Applicability

This Circular applies to Ministries, ministerial-level agencies, and government agencies in the process of determining technologies, proposing, and reviewing proposals for amending and supplementing the List of Technologies Encouraged for Transfer, the List of Technologies Restricted for Transfer, and the List of Technologies Prohibited from Transfer.

Article 3. Explanation of Terms

The terms used in this Circular shall be understood as follows:

1. Technology A technology is a solution, process, technical secret accompanied or not accompanied by tools, means used to transform resources into products.

2. Determination of technology is an activity based on the criteria set forth in this Circular, examining specific technologies to prepare proposals for amendment and supplementation to the List of Technologies Encouraged for Transfer, the List of Technologies Restricted for Transfer, and the List of Technologies Prohibited from Transfer.

3. Review of the List of Technologies is an activity examining and selecting technologies in the proposals for amendment and supplementation to the List of Technologies Encouraged for Transfer, the List of Technologies Restricted for Transfer, and the List of Technologies Prohibited from Transfer that are appropriate with the economic and social development situation and state management requirements.

Chapter II

CRITERIA FOR DETERMINING TECHNOLOGY

Article 4. Criteria for determining technologies included in the List of Technologies Encouraged for Transfer

1. For technologies transferred from abroad into Vietnam and transferred within Vietnam:

a) High technologies prioritized for investment and development by

b) Advanced technologies meeting one of the following requirements:

- Producing products with superior quality and high competitiveness compared to existing similar technologies;

- Creating new industries, trades, production, manufacturing, processing, cultivation of products not yet present in Vietnam;

- Saving energy and raw materials compared to existing similar technologies;

- Producing or using new energy, renewable energy, and high-efficiency energy storage;

- Producing cleanly, environmentally friendly, and economically efficient;

- Producing medical equipment for diagnosis, treatment, health protection, population work, or disease prevention;

- Detecting, handling, forecasting natural disasters, ensuring workplace safety, rescue operations, and environmental protection;

- Applying to develop and modernize traditional agricultural, forestry, fisheries, and handicraft industries.

2. For technologies transferred from Vietnam to abroad:

Technologies for production using raw materials as products, semi-finished goods, materials produced domestically and currently encouraged by the State for production and export.

Article 5. Criteria for determining technologies included in the Restricted Technology Transfer List

1. For technologies transferred from abroad into Vietnam and transferred within Vietnam:

a) Technologies using old machinery or equipment, or technologies producing outdated products that do not conserve energy;

b) Technologies producing products that use harmful chemicals or generate waste exceeding national technical standards for the environment, requiring accompanying treatment systems;

c) Technologies producing products through genetic modification methods;

d) Technologies using radioactive materials or producing radioactive substances;

đ) Technologies producing products directly affecting human health: cosmetics, pharmaceuticals, functional foods, beverages;

e) Technologies using domestic resources that need to be restricted from exploitation or have not yet been planned for use;

g) Technologies producing products affecting traditional customs, social practices, ethics, and national culture;

h) Technologies producing products serving defense purposes or simultaneously used for both defense and civilian purposes;

i) Other special production and service technologies requiring special state management and technologies needing restriction according to international treaties to which Vietnam is a party;

2. For technologies transferred from Vietnam to abroad:

a) Technologies producing traditional products with high ethnic characteristics; technologies produced based on traditional experience, secrets, or using specific strains, minerals, rare materials characteristic of Vietnam;

b) Technologies for breeding, processing in agriculture, forestry, fisheries with export products being main and distinctive items of Vietnam;

Article 6. Criteria for determining technologies included in the Prohibited Technology Transfer List

1. Technologies that do not ensure labor safety and hygiene as prescribed by law;

2. Technologies generating hazardous waste for humans, ecosystems of flora and fauna, and the environment;

3. Technologies causing resource wastage; mining minerals with recovery rates lower than those of other countries;

4. Outdated technologies with low efficiency, consuming large amounts of raw materials and fuels; technologies with production economic-technical indicators significantly worse than existing domestic technologies;

5. Technologies for producing or using radioactive substances without sufficient evidence proving effective control over the level of radioactivity danger as prescribed;

6. Technologies producing products adversely affecting national defense, security, public order, social safety, culture, and traditional customs of Vietnam;

7. Technologies listed as State Secrets, except where otherwise provided by law;

8. Technologies prohibited from transfer according to international treaties to which Vietnam is a party;

Chapter III

PROCEDURE FOR DETERMINING TECHNOLOGIES AND REVIEWING PROPOSALS TO AMEND AND SUPPLEMENT THE TECHNOLOGY LISTS

Article 7. Procedure for Determining Technologies

1. Annually, Ministries, ministerial-level agencies, and government agencies (hereinafter referred to as Agencies) shall, based on the criteria stipulated in Articles 4, 5, and 6 of this Circular, within their respective areas of management, review and determine technologies that need to be amended and supplemented into the Encouraged Technology Transfer List, the Restricted Technology Transfer List, and the Prohibited Technology Transfer List (hereinafter referred to as the Technology Lists);

2. The results of technology determination shall be compiled into a list of technologies proposed for amendment and supplementation into the Technology Lists;

3. The proposal dossier for amendment and supplementation shall be compiled into one set and submitted to the Ministry of Science and Technology before March 31 each year. The proposal dossier for amendment and supplementation includes:

a) A request for amendment and supplementation;

b) A list of technologies proposed for amendment and supplementation into the Technology Lists;

c) Explanations, relevant information, and documents proving the necessity of amending and supplementing each specific technology;

4. Within fifteen working days from receipt of the proposal dossier, the Ministry of Science and Technology shall conduct verification, consolidation, and classification of the dossier. In cases where the proposal dossier is incomplete, the Ministry of Science and Technology shall issue a document requesting the Agencies to provide necessary information to complete the dossier and specify the deadline for supplementation.

Article 8. Procedure for Appraising the List of Technologies

1. Annually, before April 30, the Ministry of Science and Technology shall establish the State Scientific Council (hereinafter referred to as the Appraisal Council) to appraise the proposals for amending and supplementing.

2. The Appraisal Council shall organize sessions to appraise the proposals for amending and supplementing from the Agencies and provide conclusions on the amendment and supplementation of the Lists of Technologies.

3. Within five working days from the end of the last session, the Appraisal Council shall compile the results of the appraisal and complete draft amended and supplemented Lists of Technologies to report to the Minister of Science and Technology.

4. Within ten working days from receiving the report on the results of the appraisal, the Minister of Science and Technology shall submit to the Government for a decision to promulgate the new amended and supplemented Lists of Technologies for encouraging transfer, restricting transfer, and prohibiting transfer.

Article 9. Appraisal Council Amending and Supplementing the List of Technologies

1. The Appraisal Council amending and supplementing the List of Technologies shall be established by the Decision of the Minister of Science and Technology.

2. The Appraisal Council shall have the task of reviewing proposals, evaluating, and selecting necessary technologies to amend and supplement the Lists of Technologies.

3. The Appraisal Council shall operate based on the principle of collective work, open and direct discussion among members of the Council, and conclude according to the majority.

4. The number of members of the Appraisal Council shall be odd, and the composition of the Appraisal Council includes:

a) Chairman of the Council;

b) Vice-Chairman of the Council;

c) Members of the Council are representatives managing science and technology of Ministries and sectors and specialized experts;

d) Each specialty must have at least one expert with deep knowledge and experience in the field as a critical member;

e) Representative of the Ministry of Science and Technology as Secretary Member.

5. The Secretary Member of the Council shall assist the Chairman of the Council and perform the following tasks:

a) Receiving and compiling comprehensive files of technologies proposed to be amended and supplemented into the Lists of Technologies and related documents;

b) Preparing and providing files and related documents for Council members to study; preparing necessary conditions for the Council to hold sessions;

c) Summarizing comments from Council members and concluding the Council's meeting, drafting minutes of the Council's meeting;

d) Receiving and preserving the Council's appraisal files and results and conducting necessary procedures as required by the Chairman of the Council.

Article 10. Activities of the Appraisal Council

1. Conditions for holding a session of the Appraisal Council:

a) Presence of the Chairman or Vice-Chairman of the Council;

b) Presence of at least two-thirds of the total number of Council members, including at least one critical member with expertise in the field of technology proposed for amendment and supplementation;

c) Availability of complete files and related documents on technologies included in the Lists of Technologies proposed for amendment and supplementation.

2. The Appraisal Council's session shall follow the following procedure:

a) Critical members present their comments;

b) Members present their opinions and evaluations;

c) The Council conducts discussions, fills out evaluation forms, and reaches consensus on conclusions. These conclusions must be agreed upon by at least two-thirds of the officially attending members of the Council;

d) The Chairman of the Council announces the Council's conclusion;

e) The Council Secretary records the contents of the meeting, signed by the Chairman of the Council, and attached with complete evaluation forms of all Council members.

Article 11. Funding for appraisal work

1. The funding for appraising the List of technologies shall be sourced from the operating budget for scientific and technological activities, annually allocated by the Ministry of Science and Technology to the lead unit responsible for implementation.

2. The expenditure items and expenditure levels shall be applied in accordance with the provisions of Part II of Circular Joint Circular No. 44/2007/TTLT-BTC-BKHCN dated May 7, 2007 issued by the Ministry of Finance and the Ministry of Science and Technology, and based on compatibility with the annual state budget expenditure estimates assigned. In cases where Joint Circular No. 44/2007/TTLT-BTC-BKHCN is amended or replaced by a new circular, the provisions of that circular shall apply.

Chapter IV

IMPLEMENTING PROVISIONS

Article 12. Implementation Organization

The Ministry of Science and Technology assigns the Department of Evaluation, Appraisal, and Technological Inspection to serve as the lead unit for implementing this Circular.

Article 13. Effective Date

This Circular takes effect forty-five days from the date of issuance.

During the implementation process, if there are any difficulties, relevant ministries, ministerial-level agencies, and government-affiliated agencies shall report them to the Ministry of Science and Technology for appropriate amendments and supplements./.