Circular No. 03/2016/TT-BKHCN procedures contents applications assessment scientific rationales

• Official number: 03/2016/TT-BKHCN
• Legislation Type: Circular
• Organization: The Ministry of Science and Technology
• Signer: Nguyen Quan
• Issued Date: 30/03/2016

MINISTRY OF SCIENCE AND TECHNOLOGY -------	SOCIALIST REPUBLIC OF VIETNAM Independence – Freedom – Happiness ------------------
No. 03/2016/TT-BKHCN	Hanoi, March 30, 2016

CIRCULAR

ON PROCEDURES, CONTENTS AND APPLICATIONS FOR ASSESSMENT OF SCIENTIFIC RATIONALES OF SOCIO-ECONOMIC DEVELOPMENT PLANS AND TECHNOLOGIES APPLIED TO INVESTMENT PROJECTS

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

Pursuant to the Law of Investment dated November 26, 2014;

Pursuant to the Law of Investment dated June 18, 2014;

Pursuant to the Law of Construction dated June 18, 2014;

Pursuant to the Government's Decree No. 08/2014/ND-CP dated January 27, 2014 detailing the implementation a number of articles of the Law on Science and Technology;

Pursuant to the Government's Decree No. 118/2015/ND-CP dated November 12, 2015 detailing the implementation a number of articles of the Law on Investment;

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Pursuant to the Government’s Decree No. 20/2013/ND-CP dated February 26, 2013 defining functions, power, obligation and organizational structure of the Ministry of Science and Technology;

At requests of the Directors of the Department of Technology Appraisal, Examination and Assessment and Department of Legislation, the Minister of Science and Technology hereby issues this Circular providing regulations on applications, contents and procedures for assessment of scientific rationale of socio-economic development plans and project technologies.

Article 1. Scope and regulated entities

1. Scope:

This Circular provides regulations on applications, contents and procedures for assessment of rationales of socio-economic development plans (hereinafter referred to as “scientific rationale assessment”); assessment of technologies applied to projects under the investment policies and projects granted Investment Certificate but not included in the investment policies under the laws on Investment; or projects under the investment policies or investment decision by competent authorities under laws on investment and construction (hereinafter referred to as “technology assessment”).

2. Regulated entities:

This Circular applies to State regulatory authorities, organizations and individuals engaging in compiling and assessing socio-economic development plans and investment projects.

Article 2. Interpretation

For the purpose of this Circular, terms herein shall be construed as follows:

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2. Project assessment presiding authority refers to every State competent authority taking charge of and collecting assessment opinions of relevant regulatory authorities in order to issue Investment Registration Certificate or request competent authorities to issue investment policies and investment decision under provisions of laws.

3. Development plan assessment presiding authority refers to every State competent authority taking charge of and collecting assessment opinions of relevant local regulatory authority to request competent authority to approve the development plans.

Article 3. Authorities taking charge of assessing scientific rationales

1. The Ministry of Science and Technology shall receive applications for assessment and carry out the scientific rationale assessment of development plans under the competence of the Prime Minister; and shall carry out the technology assessment of projects under the investment policies or investment decisions by the National Assembly of Vietnam, Prime Minister, Heads of Ministries and Central authorities.

2. Departments of Science and Technology of provinces and centrally-affiliated cities (hereinafter referred to as “Department of Science and Technology of province”) shall receive applications for scientific rationale assessment and carry out the scientific rationale assessment of local development plans not included in clause 1 of this Article; or projects granted investment registration certificates by local government but beyond the investment policies.

Article 4. Funds for scientific rationale assessment and technology assessment

The assessment of scientific rationales and project technologies shall be funded by the State budget under current provisions of laws.

Chapter II

Article 5. Applications for scientific rationale assessment

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1. A written request of the presiding authority.

2. Enclosed documents submitted to the State regulatory authority competent to approve the development plan under provisions of laws on compilation, approval and management of socio-economic development master plans.

3. Reports on research findings of development plan rationales and reality.

4. Records of research findings acceptance (if any).

5. Lists of projects included in the development plan (if any).

Article 6. Elements of scientific rationale assessment

1. The necessity of the development plan

2. Socio-economic conditions and the reality of socio-economic status (location, topography, hydrography, socio-economic status, etc.); the former development plan effectiveness (if any); comparative advantages, difficulties, shortcomings and international experience (if any).

3. Legal basis, scientific grounds, reliability of information, figures and documents used for the compilation of the development plan.

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5. The impact of the development plan on the socio-economic development and sustainability of the respective sector or field development or areas or the country.

6. The consistency with master plans for socio- economic development of the nation, territories, respective sector or field and other relevant approved planning.

7. Primary objectives; strategies and solutions to the socio-economic execution.

8. Technology solutions and resources; the feasibility and performance management of the development plan; basis of project elements or the priority (if any).

9. Other relevant aspects (if any)

The scientific rationale assessment sheet shall be made using form 1 in the Annex herewith. The assessment record shall be made using form 3 in the Annex herewith.

Article 7. Procedures for scientific rationale assessment

1. The presiding authority shall submit 01 application stipulated in Article 5 hereof to the assessing authority under Article 3 hereof.

2. Within 15 working days from the date of receipt of the application, the assessing authority shall submit their assessment record to the presiding authority.

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a) In case of consultation with experts or independent consultants, the assessing authority shall submit their request for consultation to experts or independent consultants. Experts and independent consultants must be experienced and qualified organizations or individuals. The expert and consultant’s advices shall be considered grounds of development plan assessment.

The assessment sheet for experts and independent consultants shall be made using form 5 in the Annex herewith.

b) In case of consultation with science and technology consulting board, the assessment period may last longer but shall not exceed 30 working days and the assessing authority shall submit a prior notice to the presiding authority. The head of the assessing authority has the power to set up the consulting board. The science and technology consulting board shall be set up and carry out the assessment in accordance with laws on science and technology.

The assessment sheet for consulting board members and assessment record shall be made using form 7 and 8 in the Annex herewith.

4. Assessment methods shall be selected by the head of the assessing authority.

Article 8. Applications for technology assessment

Every application for technology assessment shall include:

1. A written request by the presiding authority.

2. Project documents which specify name and origin of technology, technology process diagrams, technology analysis; main specifications of machine and technology lines (lists of machinery, equipment and technology lines; their properties, functions and capacity) under provisions of laws.

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4. Records of research findings acceptance (if any).

5. Socio-economic impact assessment.

6. Preliminary environmental impact assessment.

7. Technology transfer agreement draft (if the contribution in form of technology is included).

8. Lists of secondhand imported machinery, equipment and technology lines (if any).

Article 9. Elements of technology assessment

1. Technologies applied to investment projects:

a) Evaluating technologies on the list of technologies (whether or not it is transferred, limited to be transferred or prohibited to be transferred) under provisions of laws on technology transfer;

b) Evaluating the effectiveness of technology lines in producing expected products;

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d) Evaluating the selected technology mentioned in project documents -. Analyzing and comparing the pros and cons of each technology, the completion of technology, technology enhancement and its compatibility;

dd) For projects in hi-tech zones, examing the compliance with regulations and standards under laws and high-tech, besides provisions hereof.

2. Products produced by technologies and market:

a) Examining applicable product quality standards;

b) Forecasting domestic and overseas market demand with due account taken of products of the same category and reliability ;

c) Estimating the market share and export rate;

d) Estimating the competitiveness (in aspects of quality, design and prices)

3. Equipment required in technology lines.
The following elements shall be assessed:

a) – Equipment quality and functions

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c) Technical properties, capacity, status (brand new or secondhand) and warranty period of such equipment, according to the list of main equipment required in the investment project.

d) For projects using secondhand imported machinery, equipment and technologies, it is necessary to have elements mentioned in point a and b of this clause and the following elements assessed:

- The conditions of machinery, equipment and technology lines (age or production year, used period, the remaining useful life, etc.).

- Origin of machinery, equipment or technology lines;

- The conformity with Vietnam's technical regulations (QCVN) or Vietnam’s standards (TCVN) or G7 countries’ standards on safety, energy efficiency and environmental protection.

4. Materials, fuel, components and spare parts required in investment projects.

a) Estimating the capacity of exploitation, supply, transportation, storage of materials and fuel used for the project.

b) Evaluating the category, weight and value of components, spare parts or semi-finished products for processing, assembling or producing finished products.

c) Evaluating category, weight and value of imported materials and fuel, the possibility of using local or domestic materials or fuel or environmentally-friendly materials.

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Estimating the impact of technology on the local socio-economic development or sectors (the enhancement of technology, innovation of local technology, increase in product value and creation of competitive products).

6. Environmental impact assessment (the impact on environment, community and health…).

7. Other relevant aspects at requests of presiding authority (if any).

Article 10. Procedures for technology assessment

1. The presiding authority shall submit 01 application stipulated in Article 8 hereof to the assessing authority under Article 3 hereof.

2. Within 15 working days (for projects under the investment policies or investment decisions) or 10 working days (for projects granted Investment Certificates but beyond the investment policies) from the receipt of the application for assessment, the assessing authority shall submit a record of technology assessment to the presiding authority.

The technology assessment sheet shall be made using form 2 in the Annex herewith. The assessment record shall be made using form 4 in the Annex herewith.

3. In case of a sophisticated technology having far-reaching impact, the assessing authority may consult experts or independent consultancies or set up a science and technology consulting board.

a) In case of consultation with experts, the assessing authority shall submit their request for consultation to experts. Experts and independent consultants must be experienced and qualified organizations or individuals. The expert and consultant’s advices shall be considered grounds for development plan assessment.

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b) In case of consultation with the science and technology consulting board, the head of the assessing authority has the power to set up the consulting board. The science and technology consulting board shall be set up and carry out the assessment in accordance with laws on science and technology.

The assessment sheet for consulting board members and assessment record shall be made using form 7 and 8 in the Annex herewith.

4. Assessment methods shall be selected by the head of assessing authority.

1. The Department of Technology Appraisal, Examination and Assessment shall take charge of the implementation of this Circular.

2. Departments of Science and Technology of provinces shall submit annual reports on technology assessment using form 9 in the Annex herewith Government Inspectorate the Ministry of Science and Technology by January 31 of every year.

Article 12. Entry into force

1. This Circular enters into force from May 15, 2016.

2. This Circular replaces the Circular No. 10/2009/TT-BKHCN guiding the assessment of technology applied to investment projects dated April 4, 2009.

3. Any issues arising in connection to the implementation of this Circular shall be promptly reported to the Ministry of Science and Technology. /.

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MINISTER




Nguyen Quan