Circular 13/tt-Bkhcn/2014: Prescribing The Order And Procedure Of Assigning Ownership, The Right To Use The Results Of Scientific Research And Technological Development Using The State Budget

Original Language Title: Thông tư 15/2014/TT-BKHCN: Quy định trình tự, thủ tục giao quyền sở hữu, quyền sử dụng kết quả nghiên cứu khoa học và phát triển công nghệ sử dụng ngân sách nhà nước

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The CIRCULAR regulates the order and procedure of assigning ownership, the right to use the results of scientific research and technological development using the State budget _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ pursuant to Decree No. 20/2013/NĐ-CP on April 2 in 2013 of the Government functions, tasks, powers and organizational structure of the Ministry of science and technology;
Pursuant to Decree No. 08/2014/ND-CP dated 27 January 2014 the Government detailing and guiding the implementation of some articles of the law on Science and technology;
At the suggestion of the Director market development and science and technology business and the Director of the legislation;
The Minister of science and technology issued a circular regulating the sequences, procedures for assigning ownership, the right to use the results of scientific research and technological development using the State budget.
Chapter I GENERAL PROVISIONS article 1. Scope 1. This circular regulates the order and procedure of assigning ownership, the right to use the results of scientific research and technological development using the State budget in the form of intangible assets (hereinafter abbreviated as results of research) aims: a) technology transfer;
b) investment in scientific research and technological development, incubator, business incubator of science and technology;
c) formed, which founded the business, science and technology institutions;
d) applications in manufacturing, business;
DD) provides public services serve the community interests, social welfare and other activities under the provisions of the law on Science and technology and related laws.
2. scope of delivery the ownership, the right to use the research results to the provisions in Clause 1 of this article is made in the State's ownership for the results of research on the basis of the provisions of the law and the agreement between the parties concerned.
Article 2. The object that applies to this circular apply to organizations and individuals for the following: 1. owner representative State of the results of research as defined in article 41 of law of science and technology (hereinafter abbreviated as representative of the owner of the State).
2. the assigned organization chaired the task of science and technology (hereinafter referred to as organization).
3. The organization of science and technology, science and technology, business and other businesses.
4. The author or co-author of research results (hereinafter abbreviated as author).
5. organizations and individuals related to the allocation of ownership, the right to use the results of research.
Article 3. Explanation of terms In this circular, the terms below are interpreted as follows: 1. The results of research including patent, utility solutions, technical know-how, trade secrets, the initiative, the integrated circuit layout designs, industrial designs, trademarks, trade names, plant breeding , computer programs, technical design, scientific works and objects, including objects that are protected and not protected under the provisions of intellectual property law.
Research results are determined on the basis of the contract to perform the tasks of science and technology was created from the use of State budget funds by the Agency have the authority granted in the form of a partial level of funding, the full cost or media usage rights , material-technical base owned by the State to perform the tasks of science and technology.
2. physical-media techniques include State-owned factories, laboratories, equipment, materials, documentation and other technical facilities owned by the State.
3. Assigning the entire ownership of the research results is the representative of the owner of the State ownership of the State for research results to other entities in accordance with the law and the conditions of the agreement between the parties.
4. Partial ownership of research results is the representative of the State delivered owner ownership for part of research results for a certain subject or delivered right to co-ownership of research results for the different subjects under the rule of law and the conditions of the agreement between the parties.
5. The right to use the research results is the owner of State representatives allow other entities to use exclusively the result of research in the range, the time limit prescribed by the law and the conditions of the agreement between the parties.
6. Partial rights to use research results is the owner of State representatives allow other entities to use a portion of the results of research or the use of non-proprietary research results in the range, the time limit prescribed by the law and the conditions of the agreement between the parties.
Chapter II the SEQUENCE, PROCEDURE for ASSIGNING ownership, the RIGHT to USE the RESULTS of RESEARCH article 4. Order and procedure recommendations delivered right to 1. Organizations, enterprises of science and technology and other organizations specified in item 1 and item 2 Article 40 of Decree 8/2014/ND-CP dated 27 January 2014 the Government detailing and guiding the implementation of some articles of the law on Science and technology (hereinafter abbreviated as Decree No. 08/2014/ND-CP) need be assigned ownership , the right to use the results of the study records suggest assigning ownership, the right to use the research results (hereinafter abbreviated as recommended records delivered right) filed State owner representation through units accepting the suggested profile over the provisions of article 10 of this circular.
2. where the owner of State representatives received the recommended records delivered right's organization is not the organization while not yet identified the need and the ability to meet conditions over the chairmanship of the Organization, the implementation of the following procedures: a) represented the owner of the sending State notified suggest organizations have written comments on demand, the ability to meet conditions to be delivered right within 30 days from the date of the notification sent by mail;
b) case that needs to be delivered right, organizations must apply the proposal delivered right within 30 days of the end of the time limit specified in point a of this paragraph. Owner representative State review, reviews of recommended records over the Organization's profile and suggest the right delivery of other organizations were received in accordance with articles 5, 8, 9 of this circular;
c) where organizations have written reply comments about no demand or no answers or comments do not apply under the provisions of point b of this Paragraph, the representative of the State owners review the proposal delivered right to your organization has received.
3. recommended records delivered right prescribed in paragraph 3 Article 40 of Decree 8/2014/ND-CP are specific instructions such as the following: a) petition handed ownership, the right to use the research results form in Appendix 1 of this circular;
b) reporting application, commercialization of research results under model 2 in annex of this circular;
c) draft agreement on the allocation of ownership, the right to use the research results (hereinafter abbreviated as the deal delivered rights) according to the Model in Appendix 3 of this circular;
d) other related documents.
Article 5. Order and procedure for evaluation of recommended records delivered right to 1. Within 5 working days of receipt of the recommended profiles over the unit, accepting the suggested profile handed responsibility to reply in writing to the Organization over the proposal about the validity of the profile. In case the requested amendments, supplements, held rights to complete delivery proposal records within 10 working days from the date of the notice.
Too defined period suggested that the Organization delivered the right not to execute or insufficient execution requires completion of prescribed records unit, accepting the suggested profile delivered right to notice in writing stating the reason for rejecting the proposal delivered right. In the case of the text explanation of objective reasons the Organization's recommendations over the unit, accepting resumes consideration of the extension of the time to perfect the record corresponding to the time required to fix objective reasons.
2. within 20 working days from receipt of valid records unit, accepting the suggested profile delivered right to organize: a) reviews of records, negotiations with the Organization over the proposal about the deal delivered right if necessary and concluded about the suggested profile delivered right to meet or do not meet the requirements based on the conditions specified in article 39 of Decree 8/2014/ND-CP. where necessary, the unit accepting the suggested profile delivered right owner representatives proposed the State Council decision advice delivered right as stipulated in article 8 of this circular;
b) propose delivered right or general suggestions delivered right of Advisory Council delivered right to send a representative to the State owners, which stated the delivery or non-delivery, content, terms of use rights, ownership of research results and the draft agreement over the draft decisions on the allocation of ownership , the right to use the research results (hereinafter abbreviated as decisions delivered right) according to the template in Appendix 4 of this circular.
In case of need, units accepting the suggested profile over the Exchange with the Organization over the proposal to draft content delivered right to deal.
3. within 5 working days from receipt of the delivered right to propose units accepting the suggested profile delivered right as defined in Point b of Paragraph 2 of this article, the owner of State representatives to consider signing the deal delivered right and signed the decision over the proposed rejection notice or delivered right , which stated the reason for rejection.
Article 6. The deal delivered right to 1. The deal delivered rights signed between representatives of the State and the owners held over the enclosed text is the decision delivered right and is done according to the Model in Appendix 3 of this circular.
2. When there is a change in content over the agreement, representatives of the State and the owners held over the taken signed the agreement modifying and supplementing the agreement delivered right.

3. the text of the agreement, the modified agreement, additional agreement delivered right (if any) is part of the content of decisions.
Article 7. The decision over the 1. The decision handed the right to follow the form in Appendix 4 of this circular.
2. the representative of the owner of the State decision to modify, supplement or terminate, the invalidation decision delivered right in the following cases: a) Has changed the content of the deal delivered right to affect the validity of the decisions;
b) Need modification, additional content included in the decisions;
c) breach in procedure delivered right or in making decisions.
3. the representative of the owner of the State, the Organization was given the ownership, the right to use the research results have the right pricing of research results in the activity and in the application, commercialization of research results.
The valuation performed under the guidance of the Ministry of science and technology and the Ministry of Finance on valuation of research results, intellectual property using the State budget.
Owner representatives, the Organization was given the State ownership, the right to use the results of research are using funding science and technology career or regular operation funding to pay for the cost of hiring professionals, organizational consulting valuation services, research, intellectual property, using the State budget under current rules.
Article 8. Traffic rights Advisory Council 1. Representing the owner of State Council decision advice delivered right based on the unit's proposal accepting the suggested profile delivered right in the following cases: a) research results of special importance for defence, security;
b) results of research should be widely applied to meet the needs of patients, healing, nutrition for the people or to meet the urgent needs of society;
c) application projects, commercialization of research results relevant to the transfer of ownership, the right to exclusive use for foreign individuals, organizations or other activities likely to lead to the condition of exclusive use, restrict competition or inefficient exploitation of research results;
d) based valuation research results need to be clarified;
DD) unit accepting the suggested profile over the provisions of article 10 of this circular is held over the proposal;
e) There from two organizations over proposed handing ownership or the right to the exclusive use of the research results;
g) specialized matters need to be clarified to serve delivered right to approach the review.
2. Every Council may advise one or several records suggest delivered right to where the records are filed from a single unit or in the same field.
3. the Advisory Council delivered right there from 7 to 9 members, including: a) the President of the Council is the representative of the State administration, the Agency has the function of consultancy, research, policy formulation in the field of science and technology;
b) Vice President of the Council is representative of accepting the suggested profile delivered right or who represented the owner in case of authorized State units accepting the suggested profile delivered right is organization;
c) Commissioners, of which at least:-2 Commissioner are professionals have over 10 years experience in applications, technology commercialization, intellectual property, the law on Science and technology;
-2 Commissioner representative business, investors have over 3 years experience in applications, technology commercialization, intellectual property;
-01 Commissioner's experts have over 12 year experience in reviews, technology, valuation of intellectual property.
In case of need, the owner of State representative can invite independent consultants have deep knowledge about the applications, technology commercialization, intellectual property in the field of science and technology related to reviews and reviews of recommended records delivered right.
The representative organization, the author, the author made the task of science and technology and organizational representatives suggested assigning the rights may attend the sessions of the Council at the request of the President of the Council.
Units accepting the suggested profile delivered right to organize the sessions of the Council and Secretary of the Administrative Council.
Article 9. The principle of work of the Council over the 1. Advisory Council meetings delivered right to have at least 2/3 of the members present, which must be the Chair or the Vice-Chair of the Council are authorized.
For members absent, the Council opinions by submitting the vote. Chairman or Vice Chairman is authorized chaired the session and introduced the Board's conclusions.
In case not qualified to organize the session, the Council opinions by submitting votes for all members of the Board.
2. The Council considered the case in the range is assigned the right to perform as specified in paragraph 3, paragraph 4 and Paragraph 5 of this recommendation and refused the rights to those cases not assigned permissions.
3. in the case of a proposed organization delivered right to work according to the Council, the principle of the majority (over 50%) of the members of the Council agreed on the basis of the votes rating: a) the content of the given votes reviews include:-delivered right or refused;
-Stock ownership or use rights;
-Delivered in whole or part ownership, rights of use;
-Stock ownership for the results of research or part owns rights to research results;
-Delivery of the right to use a portion of the results of research or the right to use non-exclusive research results;
-Agree or disagree with the proposals. In the case do not agree, the Member may propose a different approach.
b) in the case of equal rank, the opinion of the Chairman or Vice Chairman is authorized is decided.
4. In the case of research results from the two organizations proposed handing ownership, proprietary rights over, the Board worked according to the method of grading, the maximum is 100 points for each record, according to the criteria and scale as follows: a) application projects, commercialization of research results , maximum 50 points, of which:-market potential for products or research results generated from the use of research results, the maximum 20 points;
-Option to approach the market demand for the products or research results generated from the use of research results, the maximum 20 points;
-Valuation for research results, the maximum 10 points.
b) option on the apparatus, personnel, material-technical base of service application, commercialization of research results, the maximum 40 points, including:-the number, capacity of human resources in the application, evaluation, assessment, negotiation, to support technology transfer, intellectual property, a maximum of 10 points;
-The number, capacity of human resources about intellectual property law, technology transfer, the maximum 10 points;
-Options on the use of market intermediary organizations of science and technology to commercialize research results, the maximum 10 points;
-Material-technical base necessary to the application, commercialization of research results, the maximum 10 points.
c) application projects, commercialization of research results in the territory of Vietnam, a maximum of 10 points.
5. With regard to the case referred to in paragraph 4 of this article, the Council rated based on the profile of the average score of the members in order of parity, and recommended the following: a) in the case of an organization, that organization's highest point is the organization assigned ownership or exclusive use of research results by the proposal;
b) in the case of organizations and other organizations achieve equally high scores, organizations are assigned priority ownership or the right to the exclusive use of the research results;
c) in the case of two or more organizations are not the same organization reached the high score by each other, organizations that deal to an organization be assigned ownership or rights to exclusive use or the same organization over the use of non-proprietary research results. In the case of the organizations could not be agreed, the recommendations represented the owner delivered right to the other organization.
6. In cases not provided for in paragraph 3, paragraph 4 and Paragraph 5 of this article, the Council launched the evaluation criteria based on the content of the consultation requirements of the Council.
7. Members of the Council have a duty to consult and take responsibility about the content consultant, his recommendations. The conclusions of the Advisory Council is a representative base of State-owner decide plans delivered right.
8. After the work results, the Council built a working unit sent accepting the suggested profile delivered right to your home country representative.
9. The Council dissolved itself after the completion of the task.
10. Units accepting the suggested profile delivered right to use funding science and technology career or regular operation funding to pay for the operational costs of the Council over the current regulations.
Article 10. The Authority accepting the suggested profile over the 1. The Bureau of market development and science and technology enterprise under the Ministry of science and technology is accepting the suggested profile assigned rights to research results by the Minister of science and technology as the representative of the State owners.
2. Department of science and technology is accepting the suggested profile assigned rights to research results by the Chairman of the provincial people's Committee as the representative of the State owners.
3. Ministers, heads of ministries, ministerial agencies, government bodies and agencies, other organizations are responsible for: a) designate bodies, the management unit for science and technology directly do units accepting the suggested profile assigned rights to research results by themselves do represent the owner State as defined in point b and c , Item 2, article 41 of law of science and technology;

b) notice and updated when there are changes in the name and address of the unit accepting the suggested profile delivered right to the Ministry of science and technology to publish on the website of the Ministry of science and technology.
Chapter III IMPLEMENTATION article 11. The responsibility of the Organization, representing the owner State 1. Within a period of 6 months from the date of testing results of studies, if there is demand, organizations must apply the proposal delivered right as defined in article 4 of this circular.
2. Organizations can apply recommendations delivered right for the research results achieved before reviews trials in the case were represented by State commissioned owners registered intellectual property rights provided for in paragraph 3 to article 39 of Decree 8/2014/ND-CP. 3. Owner representative State review published the name and summary of research results on the website and notify the ministries, the local people's Committee, the trading floor technology, technology trading center, related industries Association to encourage the Organization of organizations not filing the proposal delivered right in the following cases : a) not get profile recommendations delivered right of organization within the time limit specified in paragraph 1 of this article;
b) organizations had no need, not eligible to be assigned ownership or the right to the exclusive use of the research results;
c) held over the non-use or ineffective use of research results by decision over or under reporting, inspection and supervision of the State-owner representation.
4. In the case of a representative of State delivered owner ownership, the right to use the research results for other organizations, organizations have to apply or has been granted a degree of protection of intellectual property rights for the results of studies is responsible for performing the transfer procedures menu or change the server protection degree according to the rule of law wisdom.
5. Within the scope of the assigned rights, organizations have a responsibility to prioritize the review leaving the ownership, the right to use the research results for young talented scientists to establish or which established scientific and technological enterprises as defined in paragraph 3 article 24 Decree 40/2014/ND-CP on May 12, 2014 of government regulation of the use of personal, scientific and technological activities. Prescribed in this circular are applied respectively and suitable for the delivery of research results of the rights organization for young talented scientists.
6. the representative of the owner of the State, organizations responsible for implementation, monitoring, inspection, violation processing the allocation of ownership, rights of use and application, commercialization of research results within the jurisdiction.
Article 12. Responsible for guiding implementation 1. The Bureau of market development and science and technology business responsibly: a) popular, guidelines apply, receive and process requests, recommendations of organizations and individuals in the implementation of this circular;
b) guidelines established the Centre for the promotion of technology transfer and support in the Organization of science and technology; skills training to commercialize the results of research for the Organization, individuals are assigned rights to research results;
c) supports the project application, commercialization of research results, the project established the Centre for the promotion and support of technology transfer, the Center supports the intellectual property valuation, support center Innovation Incubator facility, business incubator of science and technology development program science and technology markets to 2020 , The program supports the development of science and technology enterprises and scientific institutions and technology implementation mechanisms and public self-reliance, responsibility;
d) presided, in cooperation with the relevant units urging, testing, monitoring and periodic reporting to the Minister of science and technology in the implementation of traffic rules, the right to use the research results in the ministries, local.
2. Implementation functional focal information science and technology provisions in articles 25, 26, 27 of Decree 11/2014/ND-CP dated 18 February 2014 of the Government on the activities of the information science and technology is responsible for providing information, data on the delivery of the right and the application , commercialization of research results to the Bureau of market development and science and technology enterprises to report to the Minister of science and technology in the implementation of regulations and efficient power delivery from the application, commercialization of research results.
Article 13. Transitional provisions within a period of 6 months from the date of this circular effect, the Organization must have the responsibility to review, evaluate the application, commercialization of research results and reports state owner representative about listing the results of the study by the organizations that hosted implementation , registered status and needs, ability to meet conditions to be delivered right.
Article 14. Effect 1. This circular effect since August 2014 and replaces specified in clause 4.4 and Accounts 4.6 section I joint circular No. 02/2008/TTLT-BTC-BNV-BKHCN on June 18, 2008 by the Ministry of science and technology, the Ministry of finance and the Ministry of Interior Guideline No. 80/2007/ND-CP dated 19 May 2007 of the Government about the business faculty learning and technology.
2. During the implementation process, if there are difficulties and obstacles, suggest units, ministries, local reflection on the Ministry of science and technology to study the amended and supplemented accordingly./.