Circular No. 02/2017/TT-BKHCN amends and supplements certain provisions of Circular No. 28/2012/TT-BKHCN dated December 12, 2012, issued by the Minister of Science and Technology, concerning the announcement of conformity to standards and regulations and methods for assessing compliance with technical standards and regulations.

CIRCULAR

Provincial People's Committees set specific pricesamending and supplementing certain provisions of Circular No. 28/2012/TT-BKHCN

dated December 12, 2012 issued by the Minister of Science and Technology

on the announcement of conformity to standards and technical regulations and methods for assessing conformity with standards and technical regulations

assessment for conformity with technical standards and regulations

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Pursuant to the Law on Standards and Technical Regulations dated June 29, 2006;

Pursuant to the Law on Product Quality and Commodities dated November 21, 2007;

Based on Decree No. 132/2008/NĐ-CP dated December 31, 2008 of the Government detailing implementation of certain provisions

Pursuant to Decree No. 132/2008/NĐ-CP dated December 31, 2008 of the Government detailing implementation of certain provisions of the Product Quality Law;

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;

At the proposal of the Director General of the National Standardization, Metrology and Quality Control Department and the Head of the Legal Affairs Department;

The Minister of Science and Technology promulgates this Circular amending and supplementing certain provisions of Circular No. 28/2012/TT-BKHCN dated December 12, 2012 of the Minister of Science and Technology on the announcement of conformity to standards and technical regulations and methods for assessing conformity with standards and technical regulations.

Article 1. Amending and supplementing certain provisions of Circular No. 28/2012/TT-BKHCN dated December 12, 2012 of the Minister of Science and Technology on the announcement of conformity to standards and technical regulations and methods for assessing conformity with standards and technical regulations as follows:

1. Amending Clause 3, Clause 5 and supplementing Clause 6 of Article 3 as follows:

“3. A certification organization conducting conformity assessment activities is an organization that has registered its certification activities according to the provisions of Government Decree No. 107/2016/NĐ-CP dated July 1, 2016 on conditions for operating conformity assessment services (hereinafter referred to as a registered certification organization).is an organization that has conducted registration for certification activities in accordance with the provisions of Decree No. 107/2016/NĐ-CP dated July 1, 2016 of the Government on conditions for operating conformity assessment services (hereinafter referred to as a registered certification body).

5. An inspection organization conducting quality testing activities of products and goods is an organization that has registered its inspection activities according to the provisions of Government Decree No. 107/2016/NĐ-CP dated July 1, 2016 on conditions for operating conformity assessment services.is an organization that has conducted registration for testing activities in accordance with the provisions of Decree No. 107/2016/NĐ-CP dated July 1, 2016 of the Government on conditions for operating conformity assessment services.

6. A specialized agency is an agency designated and assigned responsibilities by the Ministry managing the industry or sector, or by the People's Committee of a province or centrally governed city to receive applications for the announcement of conformity to technical regulations from organizations and individuals.”is a specialized agency designated and assigned responsibilities by the Ministry managing the sector or field, or by the People's Committee of a province or centrally governed city to receive declaration documents for compliance of organizations and individuals.

2. Amending and supplementing Article 12 as follows:

Article 12. Principles of the announcement of conformity to technical regulations

1. The subject of the announcement of conformity to technical regulations is products, goods, services, processes, and environments specified in national technical regulations issued by ministries managing industries or sectors, or in local technical regulations issued by the People's Committees of provinces or centrally governed cities. The announcement of conformity to technical regulations is a mandatory activity.

2. Ministries managing industries or sectors shall determine Group 2 products and goods, establish corresponding national technical regulations, and develop management measures for the announcement of conformity to technical regulations in such regulations after obtaining the agreement of the Ministry of Science and Technology.

3. The announcement of conformity to technical regulations for imported goods as stipulated in this Circular refers to the implementation of state control over the quality of imported goods by organizations and individuals.

4. The announcement of conformity to technical regulations is based on one of the following measures:

a) Self-assessment results of organizations and individuals (hereinafter referred to as self-assessment results);

b) Certification results of registered certification organizations or organizations recognized under the law;

c) Certification results of designated certification organizations.

Testing for the announcement of conformity to technical regulations must be conducted at registered inspection organizations or organizations recognized under the law.

In cases where foreign conformity assessment organizations' assessment results are used, such organizations must be recognized under the law or designated by competent state management agencies.

5. Where products and goods are managed by multiple technical regulations, organizations and individuals must register declarations of conformity to technical regulations with relevant specialized agencies, and the conformity mark may only be used when the products and goods have fully complied with the management measures prescribed in the corresponding technical regulations.”

1. To take the lead and coordinate with the Ministry of National Defense, provincial People's Committees, and relevant agencies and units:

Article 13. Procedures for the announcement of conformity to technical regulations

1. In cases where the announcement of conformity to technical regulations is based on self-assessment results

a) For domestically produced products and goods;

- Organizations and individuals submit the application for the announcement of conformity to technical regulations according to Article 14 of this Circular to the specialized agency for the announcement of conformity to technical regulations based on their self-assessment results;

- After submitting the application for the announcement of conformity to technical regulations to the specialized agency, organizations and individuals are permitted to circulate the goods;

b) For imported goods:

- Organizations and individuals register for quality inspection of imported goods with the following information: name of the importing organization or individual, address, telephone number, fax; name of the goods, brand, type; technical characteristics; origin, manufacturer; quantity; port of entry; time of import; contract;(Contract); packing list;(Packing list); invoice;(Invoice); bill of lading;(Bill of Lading); customs declaration for imported goods; technical regulation number; commitment regarding the conformity of the product or good to the technical regulation and published standard, and full responsibility before the law for the quality of the product or good.

Within one working day, the specialized agency confirms the registration for quality inspection of imported goods by the organization or individual on their registration form;

- Organizations and individuals submit the confirmed registration form to the customs authority to obtain clearance for the goods;

- Within fifteen working days from the date of clearance of the goods, organizations and individuals must submit the self-assessment results according to point b, Clause 1, Article 14 of this Circular to the specialized agency.

Organizations and individuals are fully responsible for the self-assessment results and ensure that the goods comply with technical regulations and published standards. If the goods do not comply with technical regulations and published standards, organizations and individuals must promptly report to the specialized agency and organize the handling and recall of these goods in accordance with the law.

2. In cases where the announcement of conformity to technical regulations is based on the assessment results of registered certification organizations or organizations recognized under the law (hereinafter referred to as certification organizations)

a) For domestically produced products and goods:

- Organizations and individuals submit the application for the announcement of conformity to technical regulations according to Article 14 of this Circular to the specialized agency for the announcement of conformity to technical regulations based on the assessment results of the certification organization;

- After receiving the Notice of Acceptance of the Application for the Announcement of Conformity to Technical Regulations from the specialized agency, organizations and individuals are permitted to circulate the goods.

b) For imported goods:

- Organizations and individuals register for quality inspection of imported goods with the following information: name of the importing organization or individual, address, telephone number, fax; name of the goods, brand, type; technical characteristics; origin, manufacturer; quantity; port of entry; time of import; contract;(Contract); packing list;(Packing list); invoice;(Invoice); bill of lading;(Bill of Lading); customs declaration for imported goods; technical regulation number; commitment regarding the conformity of the product or good to the technical regulation and published standard, and full responsibility before the law for the quality of the product or good.

Within one working day, the specialized agency confirms the registration for quality inspection of imported goods by the organization or individual on their registration form;

- Organizations and individuals submit the confirmed registration form to the customs authority to obtain clearance for the goods;

- Within fifteen working days from the date of goods clearance, organizations and individuals must submit a certified true copy of the Certificate of Conformity to Technical Regulations to the specialized agency.

In cases where goods have been certified by an organization in the exporting country, within three working days from the date of goods clearance, organizations and individuals must submit a certified true copy of the Certificate of Conformity to Technical Regulations to the specialized agency.

Organizations and individuals shall be fully responsible for ensuring that the goods comply with technical regulations and announced standards. In case the goods do not comply with technical regulations and announced standards, organizations and individuals must promptly report to the specialized agency and organize the handling and recall of such goods in accordance with the provisions of the law.

3. In cases where conformity declaration is based on the assessment results of a designated certification organization.

a) For products and goods manufactured domestically:

- Organizations and individuals must submit the conformity declaration dossier in accordance with Article 14 of this Circular, along with a certified true copy of the Certificate of Conformity to Technical Regulations issued by the designated certification organization to the specialized agency to obtain a Notice of Receipt of the Conformity Declaration Dossier;

- After receiving the Notice of Receipt of the Conformity Declaration Dossier, organizations and individuals are permitted to circulate the goods.

b) For imported goods:

- Organizations and individuals register for quality inspection of imported goods with the following information: name of the importing organization or individual, address, telephone number, fax; name of the goods, brand, type; technical characteristics; origin, manufacturer; quantity; port of entry; time of import; contract;(Contract); packing list;(Packing list); invoice;(Invoice); bill of lading;(Bill of Lading); import declaration form; technical regulation number; quality commitment that the product or goods comply with technical regulations and announced standards and bear full responsibility under the law for the quality of the product or goods, accompanied by a certified true copy of the Certificate of Conformity to Technical Regulations issued by the designated certification organization;

- The specialized agency issues a Notice of Inspection Results for Imported Goods Quality;

- After receiving the Notice of Inspection Results for Imported Goods Quality, organizations and individuals must submit a certified true copy of this Notice to the customs authority for goods clearance.

4. The specialized agencies specified in Clause 1, 2, and Clause 3 of this Article shall process the conformity declaration dossiers in accordance with the provisions of Article 15 of this Circular.”

4. Amending and supplementing Article 14 as follows:

“Article 14. Conformity Declaration Dossier

Organizations and individuals making a conformity declaration shall prepare the conformity declaration dossier and submit it directly or send it via postal service to the specialized agency designated and assigned responsibilities by the Ministry managing the sector or field, or by the People's Committee of the province or centrally-administered city. The components of the dossier are as follows:

1. In cases where the conformity declaration is based on self-assessment results of the organization or individual (first party), the conformity declaration dossier includes:

a) A conformity declaration statement (in accordance with Model 2. CBHC/HQ stipulated in Appendix III of Circular No. 28/2012/TT-BKHCN and additional contents prescribed in Clause 7 of Article 1 of this Circular);

b) A self-assessment report including the following information:

- Name of the organization or individual; address; telephone, fax;

- Product or goods name;

- Technical regulation number;

- Conclusion that the product or goods comply with technical regulations;

- Quality commitment that the product or goods comply with technical regulations and announced standards and bear full responsibility under the law for the quality of the product or goods and the self-assessment results.

The self-assessment report is based on the results of the organization or individual’s own implementation or on the assessment results of a conformity assessment body that has registered.

2. In cases where the conformity declaration is based on certification results of a registered certification organization or a designated certification organization (third party), the conformity declaration dossier includes:

a) A conformity declaration statement (in accordance with Model 2. CBHC/HQ stipulated in Appendix III of Circular No. 28/2012/TT-BKHCN and additional contents prescribed in Clause 7 of Article 1 of this Circular);

b) A certified true copy of the Certificate of Conformity to Technical Regulations, together with the conformity mark sample issued by the registered certification organization or the designated certification organization to the organization or individual.”

5. Amend Clause 7 of Article 16 as follows:

“7. Provide a certified true copy of the relevant document stipulated in Clause 2 and Clause 3 of Article 13 of this Circular (Notice of Receipt of the Conformity Declaration Dossier or Certificate of Conformity to Technical Regulations or Notice of Inspection Results for Imported Goods Quality) to organizations and individuals engaged in business activities involving products, goods, services, processes, or environments; or take appropriate measures to ensure that organizations and individuals engaged in business activities involving products, goods, or services can trace the origin and information about the compliance of the products, goods, or services with announced standards and technical regulations.”

Organizations and individuals submit directly or send through postal service or via the Online Public Service Portal 01 set of application documents for issuing, extending, amending, and supplementing permits as stipulated in Article 15 of this Decree to the One-stop Service Center of the People's Committee of provinces and centrally-run cities (or the Receipt and Delivery Department of the Department of Natural Resources and Environment).

a) Add Point d after Point d of Clause 1 of Article 17 as follows:

“d) Take the lead and coordinate with the Ministry of Science and Technology to determine Group 2 products and national technical regulations and select corresponding management measures according to the conformity declaration principle prescribed in Clause 2 of Article 1 of this Circular.”

b) Amend Point d of Clause 1 of Article 17 as follows:

“d) Annually in December, or at any time upon request, compile and report the situation of receipt of conformity declaration dossiers (in accordance with Model 4. BCTNHS stipulated in Appendix III of Circular No. 28/2012/TT-BKHCN) to the Ministry of Science and Technology for compilation and reporting to the Prime Minister.”

c) Amend and supplement Point a of Clause 2 of Article 17 as follows:

“a) Assist the Ministry of Science and Technology in unified management and guidance of conformity assessment activities, standard declaration, and conformity declaration. Coordinate with sectoral ministries and agencies to determine Group 2 products and national technical regulations and select corresponding management measures managed by these ministries and agencies according to the conformity declaration principle prescribed in Clause 2 of Article 1 of this Circular.”

d) Amend Point b of Clause 3 of Article 17 as follows:

“b) Compile the situation of receipt of conformity declaration dossiers of specialized agencies and annually in December, or at any time upon request, report to the relevant sectoral ministries and agencies, provincial People's Committees, or centrally-administered city People's Committees.”

đ) Amend Point b and Point d of Clause 4 of Article 17 as follows:

“b) Regularly update the status of receipt of conformity declaration dossiers and publicly disclose it on their website with the following contents:

- Name of the organization or individual making the conformity declaration;

- Products or goods subject to conformity declaration;

- Technical regulation number;

- Type of assessment: First party (name of organization or individual) or third party (name of certification organization or designated certification organization),

d) Annually in December, or at any time upon request, compile and report to the lead agency the list of products, goods, services, processes, and environments regarding the situation of receiving conformity declaration documents (according to Model 4, BCTNHS as stipulated in Appendix III of Circular No. 28/2012/TT-BKHCN),

e) Amend Point b and Point d of Clause 5, Article 17 as follows:

“b) Receive registration and manage conformity declaration documents; revoke or suspend the results of receiving conformity declaration documents for products, goods, services, processes, and environments managed by national technical regulations issued by the Ministry of Science and Technology and related local technical regulations within the assigned management scope; regularly update the status of receiving conformity declaration documents and publicly announce on the website of the Department of Science and Technology or the Local Standardization Metrology Quality Control Agency with the following contents:

- Name of the organization or individual making the conformity declaration;

- Products or goods subject to conformity declaration;

- Technical regulation number;

- Type of assessment: First party (name of organization or individual) or third party (name of certification organization or designated certification organization),

d) Annually in December, or at any time upon request, compile and report to the General Bureau of Standardization Metrology Quality Control the situation of receiving conformity standard declaration and conformity regulation declaration documents (according to Model 4, BCTNHS as stipulated in Appendix III of Circular No. 28/2012/TT-BKHCN) as provided for in Points a and b of this Clause,

7. Supplement the following contents to the conformity standard/regulation declaration form (Model 2, CBHC/HQ) as stipulated in Appendix III of Circular No. 28/2012/TT-BKHCN:

"-Type of assessment:

+ Certification organization assessment (third party): Name of certification organization/designated certification organization, certificate number, date of issuance of the certificate;

+ Self-assessment (first party): Date when the organization or individual leader signs to confirm the self-assessment report.",

Article 2. Implementation clause

1. This Circular takes effect from May 15, 2017.

2. Notifications of receipt of conformity standard declaration and conformity regulation declaration documents continue to be valid until the expiration date of the issued notifications.

Article 3. Implementation Organization

1. The Minister, Head of a ministerial-level agency, Chairman of the People's Committee of provinces and centrally governed cities shall be responsible for organizing the implementation of this Circular.

2. The Director of the General Bureau of Standardization Metrology Quality Control shall be responsible for guiding and organizing the implementation of this Circular.

3. During the implementation process, if any issues arise or difficulties occur, organizations and individuals shall promptly reflect them in writing to the Ministry of Science and Technology for guidance or research on amendments and supplements./.