Circular No. 06/2009/TT-BTTTT stipulates on conformity assessment certification and declaration for information technology and telecommunications products, applicable to domestic and foreign organizations and individuals engaged in production and business of such products mentioned in this document. The highlight is the determination of conformity assessment certification and declaration procedures, management of conformity marks, and responsibilities of related parties.

CIRCULAR

Regulations on conformity assessment and declaration of conformity for specialized information technology and telecommunications products

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MINISTER OF INFORMATION AND COMMUNICATIONS

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;

Pursuant to the Posts and Telecommunications Ordinance dated May 25, 2002;

Pursuant to the Government Decree No. 24/2004/NĐ-CP dated January 14, 2004 detailing the implementation of certain provisions of the Posts and Telecommunications Ordinance regarding radio frequency spectrum;

Pursuant to the Government Decree No. 160/2004/NĐ-CP dated September 3, 2004 detailing the implementation of certain provisions of the Posts and Telecommunications Ordinance regarding telecommunications;

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;

BASED ON THE GOVERNMENT DECREE NO. 187/2007/NĐ-CP OF DECEMBER 25, 2007 ON THE FUNCTIONS, TASKS, POWERS, AND ORGANIZATIONAL STRUCTURE OF THE MINISTRY OF INFORMATION AND COMMUNICATIONS;

Based on the proposal of the Director of the Department of Science and Technology;

c) Enterprises may be granted permission for no more than one block out of the total three dual-frequency blocks (FDD) B

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. Scope of regulation: This Circular regulates activities related to conformity assessment and declaration of conformity (hereinafter referred to as conformity assessment and declaration) for products under the specialized management of the Ministry of Information and Communications (hereinafter referred to as products), including: telecommunication equipment; radio frequency transmission/reception equipment; electronic and information technology equipment (excluding equipment used for national defense and security purposes as prescribed by law).

Products within the scope of international agreements on mutual recognition for conformity assessment and declaration that Vietnam is a member of shall be subject to the regulations of such international agreements.

2. Applicability: This Circular applies to organizations and individuals, both domestic and foreign, engaged in production and business of the products mentioned in Clause 1 of this Article on the territory of Vietnam (hereinafter referred to as organizations and individuals).

Article 2. Interpretation of Terms

In this Circular, the following terms are understood as follows:

1. Certification of compliance with technical regulations is the confirmation that the product complies with technical standards issued by the Ministry of Information and Communications and/or mandatory standards prescribed by the Ministry of Information and Communications (hereinafter referred to as technical standards, standards) to ensure compatibility of the product in connection, national telecommunication network security, information security, electromagnetic compatibility requirements, efficient and economical use of radio frequency spectrum resources, safety for people and the environment, protection of consumer rights.

2. Declaration of compliance with technical regulations is the act of organizations and individuals announcing to the competent state management agency and consumers about the compliance of the product with corresponding technical standards and standards after completing the conformity assessment process.

3. Product testing is the determination of one or more technical characteristics of the product according to corresponding technical standards and standards.

4. Conformity assessment organization is a public service unit entrusted by the Ministry of Information and Communications to undertake the responsibility of conformity assessment for specialized information technology and telecommunications products.

5. Product testing unit is a unit capable of performing product testing of technical characteristics according to corresponding technical standards and standards.

6. Designated testing unit is a product testing unit designated by the Ministry of Information and Communications to conduct testing for conformity assessment and declaration.

7. Recognized testing unit is a foreign testing unit recognized by the Ministry of Information and Communications within the framework of mutual recognition agreements.

8. Accredited testing unit is a product testing unit with the capability to perform testing for declaration and is accredited by an authorized accreditation body.

Article 3. Nature of conformity assessment and declaration activities

Conformity assessment and declaration activities are mandatory for organizations and individuals producing or trading products subject to technical regulations and corresponding standards.

Article 4. State management agencies for conformity assessment and declaration activities

1. The Quality Management Department of Information Technology and Telecommunications is responsible for implementing state management tasks related to conformity assessment and declaration activities for specialized information technology and telecommunications products nationwide.

2. Provincial Departments of Information and Communications under centrally governed cities (hereinafter referred to as Provincial Departments of Information and Communications) shall cooperate with the Quality Management Department of Information Technology and Telecommunications to implement conformity assessment and declaration management tasks within their jurisdictional areas.

Article 5. Inspection units serving conformity assessment and declaration activities

1. Inspection units serving conformity assessment activities are designated or recognized inspection units.

2. Inspection units serving declaration activities are designated, recognized, or accredited inspection units.

3. Inspection units of products from countries or regions where Vietnam has not implemented mutual recognition agreements, if they have sufficient inspection capabilities, shall be unilaterally recognized by the Quality Management Department of Information Technology and Telecommunications for inspection results serving conformity assessment and declaration activities.

4. Inspection units must bear responsibility before competent authorities regarding the accuracy of inspection results. Inspection results do not replace the Conformity Certificate and Declaration of Conformity.

Article 6. Product Categories and Forms of Management

1. At each period, the Ministry of Information and Communications shall issue the "List of specialized information technology and telecommunications products that must undergo conformity assessment and declaration" and the "List of specialized information technology and telecommunications products that must undergo declaration" in accordance with national management policies.

2. For the "List of specialized information technology and telecommunications products that must undergo conformity assessment and declaration," organizations and individuals producing or importing products on this list, except for cases stipulated in Article 7 of this Circular, must conduct conformity assessment according to Chapter II, declare conformity according to Chapter III, and use the conformity mark according to Chapter IV of this Circular.

3. For the "List of specialized information technology and telecommunications products that must undergo declaration," organizations and individuals producing or importing products on this list, except for cases stipulated in Article 8 of this Circular, must conduct declaration according to Chapter III and use the conformity mark according to Chapter IV of this Circular.

Article 7. Cases Not Requiring Conformity Assessment

Products listed in Clause 2 of Article 6 of this Circular do not require conformity assessment in the following cases:

1. Imported products for personal use through individuals or cargo shipments in accordance with the law, including: electronic devices, information technology equipment; fixed and mobile terrestrial public terminal equipment for telecommunication and Internet services already permitted for provision and use in Vietnam.

2. Products imported or produced domestically for display or exhibition in accordance with the law or as samples for product inspection serving conformity assessment.

3. Radio transmitters and transceivers of diplomatic missions, consular offices of foreign countries, international organization representative offices in Vietnam, and high-level foreign delegations visiting Vietnam who enjoy diplomatic privileges and immunities; foreign journalists entering Vietnam for short-term press activities (with a press activity permit from the Ministry of Foreign Affairs); amateur radio operators.

Article 8. Cases Not Requiring Declaration of Compliance

Products listed in Clauses 2 and 3 of Article 6 of this Circular but not required to declare compliance in the following cases:

1. The cases not requiring conformity assessment as stipulated in Article 7 of this Circular.

2. Products produced domestically or imported for use by the organization or individual producing or importing such products.

Article 9. For Radio Frequency Transmission and Reception Equipment

Imported radio frequency transmission and reception equipment, and domestically produced equipment (except for production for export) must comply with the National Radio Frequency Spectrum Plan and ensure technical standards regarding frequency, radiation, and electromagnetic compatibility as prescribed by the Ministry of Information and Communications.

In addition to complying with this Circular on conformity assessment and declaration of compliance, radio frequency transmission and reception equipment used within the territory of Vietnam must also have a Radio Frequency Usage Permit issued by the Ministry of Information and Communications.

Chapter II

CONFORMITY ASSESSMENT

Article 10. Methods of Conformity Assessment

1. Method of conformity assessment for products in accordance with management regulations set forth in relevant technical standards and specifications.

1. The Department of Quality Management for Information Technology and Telecommunications shall provide detailed guidance on the application of the conformity assessment method specified in Clause 1 of this Article for specific subjects to ensure compliance with relevant technical standards and specifications.

Article 11. Certificate of Conformity

1. The Certificate of Conformity issued by a conformity assessment body has nationwide validity.

2. The Certificate of Conformity is issued for each type of product, with a maximum validity period of three (03) years. During the validity period of the Certificate of Conformity, organizations and individuals are permitted to supply products to the market without limitation on quantity.

3. The Certificate of Conformity follows the model in Appendix I of this Circular.

Article 12. Procedures and Formalities for Conformity Assessment

1. The application for conformity assessment includes:

a) A request for conformity assessment (in accordance with the model in Appendix II of this Circular);

b) Documents demonstrating the legal status of the organization or individual as prescribed by law;

c) Test results of the product from a testing unit authorized under Clause 1 and 3 of Article 5 of this Circular, issued to the organization or individual and valid for up to two (02) years from the date of submission of the application;

d) Relevant documents depending on the conformity assessment method;

2. The Department of Quality Management for Information Technology and Telecommunications shall provide detailed guidance on procedures, formalities, and locations for receiving applications for conformity assessment.

Article 13. Time Limit for Resolution

1. The conformity assessment body shall evaluate and issue the Certificate of Conformity within ten (10) working days from the date of receipt of complete and valid application files as stipulated in Clause 1 of Article 12 of this Circular. If the Certificate of Conformity is not issued, the conformity assessment body shall notify the requesting organization or individual in writing and specify the reasons.

2. In special cases where conformity assessment requires more time than stipulated in Clause 1 of this Article, the conformity assessment body shall notify the requesting organization or individual in writing of the reasons. The evaluation and issuance of the Certificate of Conformity shall not exceed thirty (30) working days from the date of receipt of complete and valid application files.

Article 14. Costs for conformity certification

Organizations and individuals have the obligation to pay the costs for conformity certification in accordance with the current laws.

Chapter III

DECLARATION OF COMPLIANCE WITH TECHNICAL REGULATIONS

Article 15. Methods of announcing conformity

1. For products listed in Clause 2, Article 6 of this Circular, organizations and individuals must register the conformity announcement after obtaining the Conformity Certificate issued by the Conformity Certification Organization.

2. For products listed in Clause 3, Article 6 of this Circular, organizations and individuals must register the conformity announcement after obtaining the self-assessment results based on the product testing results from the testing unit specified in Clauses 2 and 3, Article 5 of this Circular.

Article 16. Procedures and Formalities for Announcement of Compliance

1. The registration dossier for conformity announcement includes:

a) Application for registration of conformity announcement (in accordance with the form at Appendix III of this Circular);

b) Documents demonstrating the legal status of the organization or individual as prescribed by law;

c) Conformity announcement (in accordance with the form at Appendix IV of this Circular);

d) Copy of the Conformity Certificate issued by the Conformity Certification Organization still valid (In case of conformity announcement according to the method stipulated in Clause 1, Article 15 of this Circular);

đ) Report on self-assessment results accompanied by a General Product Description (characteristics, features, functions), product testing results from the testing unit specified in Clauses 2 and 3, Article 5 of this Circular and not older than two (02) years from the date of submission of the registration dossier (In case of conformity announcement according to the method stipulated in Clause 2, Article 15 of this Circular);

e) Sample of the conformity mark used for the registered conformity announcement product.

2. The Department of Information Technology Quality Management and Telecommunications shall provide detailed guidance on the procedures, formalities, and locations for receiving the registration dossier for conformity announcement.

Article 17. Time limit for resolution

Within seven (07) working days from the date of receipt of a complete and valid dossier as stipulated in Clause 1, Article 16 of this Circular, the agency receiving the dossier has the responsibility to notify in writing the organization or individual making the conformity announcement about the acceptance of the conformity announcement. The notification of acceptance of the conformity announcement follows the form at Appendix V of this Circular. In case the dossier does not meet the requirements stipulated in Clause 1, Article 16 of this Circular, the agency receiving the dossier has the responsibility to notify in writing the organization or individual registering the announcement about the non-compliant contents for improvement and resubmission.

Chapter IV

USE OF CONFORMITY MARKS

Article 18. Use of conformity marks

1. The conformity mark is a symbol indicating that the product meets technical regulations and corresponding standards.

2. The conformity mark includes:

a) Conformity mark for products required to be certified and announced as conforming: This mark is issued by the Conformity Certification Organization for products that have been certified as conforming and listed in Clause 2, Article 6 of this Circular;

b) Conformity mark for products required to be announced as conforming: This mark is affixed by organizations or individuals to products that have been announced as conforming and listed in Clause 3, Article 6 of this Circular.

3. After announcing conformity, organizations and individuals may express the conformity mark by printing, affixing, or pasting the conformity mark directly on the product or packaging or label attached to the product in a visible and readable position, while it can also be printed in accompanying technical documentation.

Article 19. Shape and Size of Conformity Marks

1. The conformity mark for products that must be certified and announced as conforming shall have the shape and size as prescribed in Appendix VI of this Circular.

2. The conformity mark for products that must be announced as conforming shall have the shape and size as prescribed in Appendix VII of this Circular.

3. The conformity mark may be enlarged or reduced but must ensure the correct ratio and be recognizable to the naked eye.

4. The color of the conformity mark shall be chosen by organizations and individuals, but it must be displayed in a single color, ensuring clarity, visibility, and durability. No additional characters, images, or patterns may be printed within the conformity mark area. When printing the conformity mark on other materials for attachment or application, the material must be selected so that it can only be used once and cannot be peeled off and reused.

Article 20. Management of Conformity Marks

1. Organizations and individuals using conformity marks must comply with this Circular and bear responsibility before competent authorities regarding the accuracy of the conformity marks.

2. Organizations and individuals with certified conformity products shall be responsible for:

a) Establishing a record and reporting the use of conformity marks periodically according to the guidance of the conformity certification organization and at any time when requested by state agencies with authority;

b) Reporting to the conformity certification organization about the plan for marking information on the conformity mark or when there is a change in the information on the conformity mark before its use. In case of non-conformity with the conformity mark, within ten (10) working days, the conformity certification organization shall issue a document requesting the organization or individual to adjust the conformity mark to be compliant.

3. Organizations and individuals with announced conformity products shall be responsible for reporting to management agencies when there is a change in the information marked on the conformity mark.

4. The Department of Quality Management of Information Technology and Telecommunications shall guide relevant units to implement the management of conformity marks in accordance with the provisions of this Article.

Chapter V

MANAGEMENT OF PRODUCTS AFTER CERTIFICATION AND ANNOUNCEMENT OF CONFORMITY

Article 21. Responsibilities of organizations and individuals

1. Organizations and individuals producing and trading products listed in Clause 2 of Article 6 of this Circular are only permitted to bring products to the domestic market after obtaining a Certificate of Conformity, implementing the announcement of conformity, and affixing the conformity mark.

2. Organizations and individuals producing and trading products listed in Clause 3 of Article 6 of this Circular are only permitted to bring products to the domestic market after implementing the announcement of conformity and affixing the conformity mark.

3. Organizations and individuals are not allowed to bring to the domestic market products that do not require conformity certification as specified in Article 7 and those that do not require announcement of conformity as specified in Article 8 of this Circular.

4. Organizations and individuals producing and trading products that have been certified or announced as conforming shall be responsible for continuously maintaining the quality of such products as certified or announced and shall bear legal responsibility for the quality of each product they provide.

5. During the production process or circulation of products in the market, if organizations and individuals discover that the products they supply do not meet the technical standards or corresponding standards that have been certified or announced, they must take the following actions:

a) Timely notify the management agency about the non-compliance;

b) Take corrective measures to address the non-compliance. If necessary, temporarily halt the circulation of the product in the market and recall non-compliant products currently circulating in the market;

c) Report to the management agency about the results of correcting the non-compliance before continuing to circulate the product in the market.

Article 22. Reissue of the Certificate of Conformity

1. In the following cases, organizations and individuals who have been issued a Certificate of Conformity must reapply for the conformity certification procedures:

a) The name, symbol, version of the product that has been certified has changed;

b) The technical design of the product that has been certified has changed, affecting the technical specifications of the product;

c) The Certificate of Conformity has expired;

d) The Certificate of Conformity has been revoked (after the reasons for revocation have been addressed).

2. The reapplication procedure for the Certificate of Conformity shall be carried out in accordance with the provisions of Chapter II of this Circular.

Article 23. Revocation of the Certificate of Conformity and Right to Use the Conformity Mark

1. In the following cases, the Organization issuing the Certificate of Conformity will carry out the revocation and cancellation of the Certificate of Conformity and the right to use the conformity mark granted to organizations and individuals:

a) Quality monitoring results show that the product does not meet the technical regulations and corresponding standards as certified;

b) Organizations and individuals who have been issued a Certificate of Conformity do not comply with the regulations on conformity certification and use of the conformity mark.

2. Organizations and individuals are responsible for returning the revoked Certificate of Conformity (original copy) to the Organization issuing the Certificate of Conformity and ceasing to use the conformity mark granted for the product.

Article 24. Reannouncement of Conformity

Organizations and individuals must reannounce conformity when there is any change in the content of the previously announced conformity announcement.

Article 25. Record Keeping and Reporting

1. Organizations and individuals must keep records and present them to competent state agencies upon request.

2. The stored files include:

a) In the case where the product has been certified for conformity and announced conformity according to the method stipulated in Clause 1, Article 15 of this Circular:

- The registered conformity announcement;

- Notification of receipt of the conformity announcement;

- Certificate of Conformity;

- Product testing results;

- Samples of conformity marks used;

b) In the case where the product has announced conformity according to the method stipulated in Clause 2, Article 15 of this Circular:

- The registered conformity announcement;

- Notification of receipt of the conformity announcement;

- Report on self-assessment results;

- Product testing results;

- Samples of conformity marks used.

3. The Organization issuing the Certificate of Conformity must establish a tracking logbook and report to the Directorate of Information Technology Quality Management and Telecommunications the results of conformity certification activities and issuance of conformity marks periodically every six (06) months or at any time upon request. The format of the report is specified in Appendix VIII of this Circular.

Article 26. Supervision by the Organization Issuing the Certificate of Conformity over Products Certified for Conformity

1. The supervision by the Organization issuing the Certificate of Conformity over products certified for conformity aims to check and monitor the use of the conformity mark and maintain the quality of products of organizations and individuals whose products have been certified for conformity.

2. Depending on the method of conformity certification, the Organization issuing the Certificate of Conformity will develop a supervision plan and content, report to the Directorate of Information Technology Quality Management and Telecommunications, and implement supervision over products certified for conformity. Supervision is conducted periodically not more than twelve (12) times per year or at any time upon request from competent state agencies or when complaints about the quality of certified products are received from consumers.

3. Organizations and individuals producing and trading products certified for conformity are responsible for cooperating with the Organization issuing the Certificate of Conformity to comply with the supervision implementation as stipulated in Clause 2 of this Article.

Article 27. Supervision by competent state agencies over products that have been announced as compliant

1. Departments of Information and Communications shall supervise the use of compliance marks and the maintenance of product quality by organizations and individuals within their jurisdiction based on Compliance Announcement Documents.

2. Competent state agencies shall carry out supervision of product quality in accordance with relevant laws.

Chapter VI

IMPLEMENTATION

Article 28. Responsibilities of management agencies

1. The Quality Management Agency for Information Technology and Telecommunications shall be responsible for:

a) Leading the guidance and inspection of Certification Organizations and related organizations and individuals in implementing this Circular;

b) Leading the guidance on certification methods, procedures, and processes for related units;

c) Issuing and guiding monitoring procedures for products that have been certified and announced as compliant;

d) Issuing and implementing unilateral recognition procedures for foreign testing organizations serving certification and announcement as compliant. Reporting to the Ministry of Information and Communications and announcing the list of recognized testing organizations;

e) Publicizing on its electronic information website (website) contents related to certification and announcement as compliant, including: Certification Organizations; product testing organizations; certification methods, procedures, processes, and locations for receiving certification and announcement as compliant; issuance and revocation of Compliance Certificates, rights to use compliance marks; information about announcement as compliant activities;

f) Studying and proposing appropriate policies related to certification and announcement as compliant to the Ministry of Information and Communications;

g) Summarizing and reporting to the Ministry of Information and Communications the implementation status of product certification and announcement as compliant work nationwide every six (06) months or at any time when required.

2. Provincial Departments of Information and Communications shall be responsible for:

a) Cooperating with the Quality Management Agency for Information Technology and Telecommunications to guide and inspect the implementation of regulations on certification and announcement as compliant within their jurisdiction and areas of responsibility;

b) Identifying and reporting issues related to the management of certification and announcement as compliant activities; reporting and proposing measures for local management enforcement to the Ministry of Information and Communications.

Article 29. Guidance on Implementation

1. This Circular takes effect from June 1, 2009, and replaces Decision No. 44/2006/QĐ-BBCVT dated November 3, 2006, issued by the Minister of Posts and Telecommunications regarding "Regulations on certification and announcement as compliant for products under the specialized management of the Posts and Telecommunications Ministry."

2. The Director of the Office, Heads of the Science and Technology Department, Head of the Quality Management Agency for Information Technology and Telecommunications, Heads of agencies and units under the Ministry, Directors of Departments of Information and Communications, and related organizations and individuals are responsible for implementing this Circular.

3. During the implementation process, if difficulties arise, agencies, organizations, and individuals should promptly report them to the Ministry of Information and Communications for review and resolution./.