Chapter IV
AUTHORIZATION, PROCEDURES AND OPERATING CONDITIONS OF THE ORGANIZATIONS CARRYING OUT TECHNOLOGY APPRAISAL, VALUATION AND ASSESSMENT.
Article 32. Specific conditions for the organizations making technology valuation
1. The organization making technology valuation shall satisfy the following conditions:
a. Has a Certificate of eligibility to provide technology valuation service proving the organization's ability to make valuations in accordance with the law on business valuation for enterprises; a certificate of science and technology operation registration.
b. Have at least 02 valuers who have completed the program for updating information on technology valuation and intellectual property valuation provided or approved by the Ministry of Science and Technology.
2. A certificate of valuation made by the valuer who satisfies the conditions in clause 1 of this Article.
3. The Ministry of Science and Technology shall post the list of organizations which satisfy the conditions for carrying out business valuation on its website.
Article 33. Conditions for issuing Certificate of eligibility to provide technology appraisal service
When applying for the business valuation certificate, the science and technology enterprises or organizations shall satisfy the following conditions:
1. Be established and registered for business operation as prescribed by laws.
2. Have at least 02 professionals who have 3 years of experience or more in a suitable technology filed for carrying out appraisal for the provided technology.
If there is a need to add more suitable technology fields, the organizations or enterprises shall have at least 02 professionals who have experience in these fields for carrying out appraisal and satisfying the conditions specified in this clause.
3. Have their own technology valuation measures and process.
Article 34. Procedures for issuing the Certificate of eligibility to provide technology appraisal service
1. Issuing the Certificate of eligibility to provide technology appraisal service
a. The organization that registers for the Certificate of eligibility to provide technology appraisal service shall send 01 set of application to the competent authority mentioned in Article 39 hereof in person or by post.
b. If the application is deemed incomplete, within 03 working days from the date on which the application is received, the competent authority shall send a written notification to the applicant requesting the amended documents.
c. Within 10 working days from the date on which the completed application is received, the competent authority shall issue the Certificate of eligibility to provide technology appraisal service to the applicant, using form No. 06 in Appendix IV hereto; if the application is refused, the competent authority shall provide explanation in writing.
2. Amendments to Certificate of eligibility to provide technology appraisal service:
a. The amendments shall be made if the organization which is issued with the Certificate of eligibility to provide technology appraisal service add, expand or narrow the suitable technology fields or change their professionals.
b. The procedures for registering the Certificate of eligibility to provide technology appraisal service shall comply with the regulations in clause 1 of this Article. The certificate shall be issued using form No. 06 in Appendix IV hereto.
3. Re-issuance of Certificate of eligibility to provide technology appraisal service:
a. The reissuance shall be carried out for the organization which has been issued with the Certificate of eligibility to provide technology appraisal service but has lost it or damaged it or changed their name or address.
b. Within 10 working days from the date on which the completed application is received, the competent authority shall reissue the Certificate to the applicant, using form No. 06 in Appendix IV hereto; if the application is refused, the competent authority shall provide explanation in writing.
Article 35. Application documents required for the issuance of Certificate of eligibility to provide technology appraisal service
1. Application documents required for issuance of the Certificate of eligibility to provide technology appraisal service:
a. An application form for the Certificate of eligibility to provide technology appraisal service, using form No. 03 in Appendix IV hereto.
b. The establishment license of the applicant, business registration certificate or investment license (if
the applicant sends the application in person, he/she shall submit the certified true copies of these licenses or certificate, or the copies enclosed with the originals; if the application is sent via post office, the applicant shall submit the certified true copies).
c. A list of professionals who carry out technology appraisal, in which there is information about their names, dates of birth, education, training fields and the number of years working in technology appraisal field; enclosed with the following documents which are related to each professional: An agreement between the professional and the organization; a certified true copy of his/her degree as prescribed in clause 2, Article 33 hereof; a summary of his/her experience in carrying out appraisal and documents proving his/her experience in carrying out appraisal.
A list of professionals who carry out technology appraisal and a summary of their experience in providing such appraisal service, using form No. 07 and No. 08 in Appendix IV hereto.
d. A description of technology appraisal measures or process related to each technology field which requires technology appraisal.
2. Additional documents provided for amending the Certificate of eligibility to provide technology appraisal, including:
a. An application form requesting amendments to the Certificate of eligibility to provide technology appraisal, using form No. 04 in Appendix IV hereto.
b. An amended list of professionals who carry out technology appraisal, in which there is information about their names, dates of birth, education, training fields and the number of years working as certified valuation analysts; enclosed with the following documents which are related to each professional: An agreement between the professional and the organization; a certified true copy of his/her degree as prescribed in clause 2, Article 33 hereof; a summary of his/her experience in making valuation and documents proving his/her experience in making valuation.
An amended list of the organization's professionals who evaluate technology and an amended summary of their experience in providing such appraisal service, using form No. 07 and No. 08 in Appendix IV hereto.
3. Application documents required for issuance of Certificate of eligibility to provide technology appraisal, including:
a. An application form for re-issuance of the Certificate of eligibility to provide technology appraisal, using form No. 05 in Appendix IV hereto.
b. An original of the damaged Certificate (if any) shall be provided if the Certificate is damaged.
Article 36. Conditions for issuing the Certificate of eligibility to provide technology assessment service
When apply for the Certificate of eligibility to provide technology assessment service, science and technology enterprises or organizations shall satisfy the following conditions:
1. Be established and registered for business operation as prescribed by laws.
2. Have a management system and an operation capacity which satisfy the requirements specified in the national standards TCVN ISO/IEC 17020:2012 or in the international standards ISO/IEC 17020:2012 or in the national or international standards for specialized assessment.
3. Have at least 02 official assessors who are qualified in technology assessment field (an official or an employee signing a contract of 12 months or more, or signing a permanent contract) and satisfy the following conditions:
a. Graduate with a bachelor's degree or higher and specialize in a suitable filed with the technology field requiring the assessment.
b. Be trained in accordance with the national standards TCVN ISO/IEC 17020:2012 or international standards ISO/IEC 17020:2012 or the national or international standards for specialized assessment
c. Have at least 03 years of experience or more in the suitable technological field requiring the assessment.
If there is a need to add more suitable technology fields, the organizations or enterprises shall have at least 02 professionals who have experience in these fields for carrying out the assessment and satisfying the conditions specified in this clause.
Article 37. Procedures for issuing the Certificate of eligibility to provide technology assessment service
The procedures for issuing the Certificate of eligibility to provide technology assessment service shall be carried out in accordance with the regulations in Article 34 hereof. The Certificate of eligibility to provide technology assessment service shall be issued using form No. 06 in Appendix IV hereto.
Article 38. Application documents required for the issuance of Certificate of eligibility to provide technology assessment service
1. Application documents required for issuance of the Certificate of eligibility to provide technology assessment service shall include:
a. An application form requesting the Certificate of eligibility to provide technology assessment service, using form No. 03 in Appendix IV hereto.
b. The establishment license of the applicant, business registration certificate or investment license (if
the applicant sends the application in person, he/she shall submit the certified true copies of these licenses or certificate, or the copies enclosed with the originals; if the application is sent via post office, the applicant shall submit the certified true copies).
c. Documents proving the potential to carry out assessments and satisfying the regulations in clause 2, Article 36 hereof.
d. A list of technology assessors; enclosed with the documents related to each technology assessor, including: A copy of the recruitment decision or the labor contract; a certified true copy of the degree or certificate specified in point a and b, clause 3, Article 36 hereof; a summary of the assessor’s experience in carrying out technology assessment and documents proving his/her experience in carrying out such assessment.
A list of assessors of the organization and a summary of their experience in carrying out technology assessments, using form No. 07 and No. 08 in Appendix IV hereto.
dd. A description of technology assessment measures or process relating to each technology field which requires technology assessment.
e. Form of assessment certificate for organizations
2. Additional documents provided for amending the Certificate of eligibility to provide technology assessment, including:
a. An application form requesting amendments to the Certificate of eligibility to provide technology assessment, using form No. 04 in Appendix IV hereto.
c. An amended list of professionals who carry out technology assessment, in which there is information about their names, dates of birth, education, training fields and the number of years working in the technology field which requires assessment; enclosed with the following documents which are related to each assessor: A copy of the recruitment decision or of the labor contract; a certified true copy of the assessor’s degree as prescribed in point a and b, clause 3, Article 36 hereof; a summary of his/her experience in carrying out technology assessment and documents proving his/her experience in carrying out such assessment.
A list of assessors of the organization and a summary of their experience in carrying out technology assessment, using form No. 07 and No. 08 in Appendix IV hereto.
3. Application documents required for issuance of the Certificate of eligibility to provide technology assessment service shall include:
a. An application form requesting the Certificate of eligibility to provide technology assessment service, using form No. 05 in Appendix IV hereto.
b. An original of the damaged Certificate (if any) shall be provided if the Certificate is damaged.
Article 39. Authorization to issue the Certificate of eligibility to provide technology appraisal or assessment service
1. The supervisory ministries shall be assigned to issue the Certificate of eligibility to provide technology appraisal or assessment service to the applicants who register for the specialized technology appraisal or assessment which is under the management of the supervisory ministries.
2. The Ministry of Science and Technology shall issue the Certificate of eligibility to provide technology appraisal or assessment service to the applicants who register for the technology appraisal or assessment service which is under the management of two supervisory ministries or more.
Article 40. Reporting obligations of the organizations carrying out appraisal or assessment service or of the supervisory ministries
1. The organizations carrying out appraisal or assessment service shall send a report on the appraisal or assessment process to the competent agency which approves the eligibility to provide technical appraisal or assessment service before December 31 every year. The reporting data shall be determined from December 15 of the previous year to December 14 of the reporting year.
Use form No. 9 in Appendix IV hereto to report the organization’s process of technology appraisal and assessment.
2. The competent agency which issues the Certificate of eligibility to provide technology appraisal or assessment shall send a report on the process for issuing such certificate to the Ministry of Science and Technology in order that this Ministry may manage and announce such process on its website before January 31 every year. The reporting data shall be determined from December 15 of the previous year to December 14 of the reporting year.
The report on the process for issuing the Certificate of eligibility to provide technology appraisal or assessment service shall be made by using form No. 11 in Appendix IV hereto.
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