Circular No. 09/2011/TT-BKHCN amending, supplementing, and abolishing certain provisions of Circular No. 01/2010/TT-BKHCN dated February 25, 2010, issued by the Minister of Science and Technology regarding advisory, evaluation, and certification activities of quality management systems according to the national standard TCVN ISO 9001:2008 for administrative state agencies.

CIRCULAR

Amending, supplementing, and abolishing certain provisions of Circular No. 01/2010/TT-BKHCN dated February 25, 2010, issued by the Minister of Science and Technology regarding consulting, evaluation, and certification activities for quality management systems according to the national standard TCVN ISO 9001:2008 for administrative state agencies.

Pursuant to Decision No. 144/2006/QD-TTg dated June 20, 2006, of the Prime Minister on the application of quality management systems according to the TCVN ISO 9001:2008 standard in the operations of administrative state agencies, and Decision No. 118/2009/QD-TTg dated September 30, 2009, of the Prime Minister amending and supplementing certain articles of Decision No. 144/2006/QD-TTg;

The Minister of Science and Technology hereby promulgates:

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Pursuant to Decree No. 28/2008/NĐ-CP dated March 14, 2008, promulgated by the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

On the basis of Resolution number 67/NQ-CP dated December 24, 2010 of the Government regarding simplifying administrative procedures within the scope of management functions of the Ministry of Science and Technology;

Amending and supplementing Circular No. 01/2010/TT-BKHCN dated February 25, 2010, issued by the Minister of Science and Technology regarding consulting, evaluation, and certification activities for quality management systems according to the national standard TCVN ISO 9001:2008 for administrative state agencies (hereinafter referred to as Circular No. 01/2010/TT-BKHCN), specifically as follows:

Considering the proposal of the Director General of the Standardization, Measurement, and Quality Control Department,

1. Amend Clause 4, Article 5 as follows:

Article 1. “4. Always have at least two consulting experts in permanent staff (civil servants or employees with indefinite-term contracts) meeting the conditions stipulated in Article 4 of Circular No. 01/2010/TT-BKHCN.”

2. Amend Clause 5, Article 7 as follows:

“5. Always have at least two evaluation experts in permanent staff (civil servants or employees with indefinite-term contracts) meeting the conditions stipulated in Article 4 of Circular No. 01/2010/TT-BKHCN.”

3. Amend the third bullet point under Point d, Clause 1, Article 8 as follows:

“- A summary of work experience and experience in consulting/evaluating quality management systems according to the national standard TCVN ISO 9001:2008 (hereinafter referred to as QMS) in accordance with the model prescribed in Appendix I attached hereto.”

4. Amend Point b, Clause 2, Article 8 as follows:

“b) A summary of work experience and experience in consulting QMS in accordance with the model prescribed in Appendix I attached hereto and copies of certificates and qualifications as stipulated in Clauses 1, 2, and 3 of Article 4 of Circular No. 01/2010/TT-BKHCN and two color photographs (size 2x3 cm).”

“3. Processing applications:

a) Within five working days from the date of receipt of complete and valid applications, except in cases provided for in Point b of this Clause, the General Department of Standardization, Metrology, and Quality Control shall examine the applications and issue Certificates of Eligibility for Consulting Organizations, Independent Consulting Experts, and Certification Organizations (hereinafter referred to as Certificates of Eligibility) in accordance with the model prescribed in Appendix V attached to Circular No. 01/2010/TT-BKHCN and issue identification cards for consulting/evaluation experts in accordance with the model prescribed in Appendix VI attached to Circular No. 01/2010/TT-BKHCN if the organizations and individuals meet the requirements. The Certificates of Eligibility and identification cards for experts are valid for three years from the date of issuance.

5. Amend and supplement Clause 3 Article 8 as follows:

b) In cases where the applications do not meet the requirements and a practical assessment is necessary, within fifteen working days from the date of receipt of complete applications, the General Department of Standardization, Metrology, and Quality Control shall examine the applications and dispatch experts or establish an assessment team to conduct practical assessments according to the following contents:

- Compliance with legal regulations by organizations and individuals in the field of consulting/evaluation certification;

- The authenticity of registration documents;

Costs for the assessment activities of experts or teams shall be borne by the organizations and individuals applying for Certificates of Eligibility.

Based on the registration documents and the Minutes of Practical Assessments, the General Department of Standardization, Metrology, and Quality Control shall issue Certificates of Eligibility and identification cards for consulting/evaluation experts if the organizations and individuals meet the requirements. The Certificates of Eligibility and identification cards for experts are valid for three years from the date of issuance.

- Other activities related to the designated field.

c) In cases where the requirements of Circular No. 01/2010/TT-BKHCN and this Circular are not met, organizations and individuals will be notified of the reasons in writing.”

“a) One month before the expiration of the validity period of the Certificate of Eligibility, the organization must prepare one set of application documents for renewal of the Certificate of Eligibility and identification card, to be submitted to the General Department of Standardization, Metrology, and Quality Control. The application documents for renewal include:

- An application form for renewal of the Certificate of Eligibility in accordance with the model prescribed in Appendix II attached hereto;

"2. Determination of actual costs for implementing the maintenance of maritime works according to Circular No. 03/2017/TT-BXD dated March 16, 2017 of the Ministry of Construction on determining the cost of maintaining construction works and current laws, including preparation costs; implementation costs; construction costs and adjustment of economic-technical norms serving the maintenance of maritime works."

- A report on the organization's consulting/evaluation activities and efforts to maintain and enhance its consulting/evaluation capabilities during the validity period of the Certificate of Eligibility;

- A copy of the quality management system certification certificate as stipulated in Clause 3, Article 5 of Circular No. 01/2010/TT-BKHCN (for consulting organizations);

- A copy of the certification recognition certificate as stipulated in Clause 4, Article 7 of Circular No. 01/2010/TT-BKHCN (for certification organizations);

- A list of consulting/evaluation experts along with relevant certificates and documents as stipulated in Point d, Clause 1, Article 8 of Circular No. 01/2010/TT-BKHCN for experts who have not yet been issued identification cards;

- A copy of the identification card for consulting/evaluation experts that has already been issued (for experts who have already been issued identification cards).

During the examination of the application documents, if necessary, copies of documents and certificates will be reviewed and compared with the originals or additional copies certified by a notary may be requested.

b) One month before the expiration of the validity period of the Certificate of Eligibility, independent consulting experts must prepare one set of application documents for renewal of the Certificate of Eligibility and identification card, to be submitted to the General Department of Standardization, Metrology, and Quality Control. The application documents for renewal include:

- A report on the expert's consulting activities and efforts to maintain and enhance consulting capabilities during the validity period of the Certificate of Eligibility;

- Two color photographs (size 2x3 cm);

- A copy of the quality management system certification certificate as stipulated in Clause 3, Article 5 of Circular No. 01/2010/TT-BKHCN (for consulting organizations);

- A copy of the identification card for consulting experts that has already been issued.

c) Within five working days from the date of receipt of complete and valid applications, except in cases provided for in Point d of this Clause, the General Department of Standardization, Metrology, and Quality Control shall examine the applications and renew the Certificate of Eligibility and identification card if the organizations and experts meet the requirements. The Certificates of Eligibility and identification cards for experts are valid for three years from the date of issuance.

- A copy of the issued consulting expert card.

- A report on the expert's consulting activities and efforts to maintain and enhance consulting capabilities during the validity period of the Certificate of Eligibility;

c) Within five working days from the date of receipt of a complete and valid application file, except in cases provided for in point d of this clause, the General Department of Standardization, Measurement and Quality Control shall examine the file and reissue the Confirmation Certificate and expert card if the organization and expert meet the conditions. The Confirmation Certificate and expert card shall be valid for three years from the date of issuance.

d) In cases where the application does not meet the requirements and a practical assessment is necessary, within fifteen working days, the General Department of Standardization, Metrology and Quality Control shall review the application, appoint experts or establish an evaluation team to conduct a practical assessment. The content of the assessment, costs for the assessment activities, and the issuance of the Confirmation Certificate and expert cards shall be carried out in accordance with Clause 5, Article 1 of this Circular.

đ) Within the validity period of the Confirmation Certificate, consulting organizations and certification bodies that need to apply for additional expert cards shall prepare one set of application documents and submit them to the General Department of Standardization, Metrology and Quality Control. The application documents include:

- An application form for additional expert cards as prescribed in Appendix III attached to this Circular;

- A list of experts applying for cards along with relevant certificates and supporting documents as stipulated in Point đ, Clause 1, Article 8 of Circular No. 01/2010/TT-BKHCN.

Within five working days from receipt of complete and valid applications, the General Department of Standardization, Metrology and Quality Control shall examine and issue cards to eligible experts with validity periods according to the Confirmation Certificates issued by the corresponding consulting or certification bodies.

e) In cases where the conditions specified in Circular No. 01/2010/TT-BKHCN and this Circular are not met, individuals and organizations will be notified of the reasons in writing.”

7. Amend Point g, Clause 2, Article 10 as follows:

“g) After completing the assessment and confirming compliance with the national standard TCVN ISO 9001:2008, the certification body shall prepare an assessment report according to the model prescribed in Appendix IV attached to this Circular to be submitted by administrative agencies to the General Department of Standardization, Metrology and Quality Control for issuing a Quality Management System Certification (hereinafter referred to as the Certification).

The certification body shall guide and coordinate with administrative agencies to prepare and complete the application for the Certification, ensuring compliance with the time limit specified in Clause 9, Article 1 of this Circular.”

8. Add Point n, Clause 2, Article 10 as follows:

“n) When administrative agencies hire consultants or independent expert advisors, they shall only proceed with assessments for agencies that have been granted Confirmation Certificates and expert cards in accordance with Circular No. 01/2010/TT-BKHCN and this Circular.

If administrative agencies use consultants or independent expert advisors who have not been granted Confirmation Certificates or expert cards, upon discovery, the certification body shall not conduct the assessment and shall report in writing to the General Department of Standardization, Metrology and Quality Control for handling.”

9. Amend Clause 1 and Clause 2, Article 12 as follows:

“1. Within one month from the date of confirmation in writing by the certification body that the quality management system complies with the national standard TCVN ISO 9001:2008, administrative agencies shall prepare one set of application documents for the Certification and submit them to the General Department of Standardization, Metrology and Quality Control. Beyond this deadline, the assessment results of the certification body will not be accepted for consideration and issuance of the Certification.

2. The file shall include:

a) A request letter for the Certification according to the model prescribed in Appendix V attached to this Circular;

b) A summary report on the process of establishing and implementing the Quality Management System according to the model prescribed in Appendix IX attached to Circular No. 01/2010/TT-BKHCN;

c) A commitment statement that the Quality Management System has been established and implemented for all activities related to administrative procedures for individuals and organizations (from January 1, 2012);

d) An assessment report from the certification body as stipulated in Clause 7, Article 1 of this Circular.”

10. Amend Point a, Clause 1, Article 13 as follows:

“a) One month before the expiration of the Certification, administrative agencies shall organize a re-certification assessment and prepare one set of application documents for renewal of the Certification and submit them to the General Department of Standardization, Metrology and Quality Control. The application documents include:

- A request letter for renewal of the Certification according to the model prescribed in Appendix VI attached to this Circular;

- Copies of the Decision and the Certification previously issued;

- An internal review on the degree of compliance, effectiveness, and efficiency of the Quality Management System during the validity period of the Certification;

- A commitment statement that the Quality Management System has been established and implemented for all activities related to administrative procedures for individuals and organizations (from January 1, 2012);

- An assessment report from the certification body as stipulated in Clause 7, Article 1 of this Circular.”

11. Amend Point a, Clause 2, Article 13 as follows:

“a) During the validity period of the Certification, when there are adjustments, expansions, or reductions in the scope of application of the Quality Management System, within one month from the date of confirmation in writing by the certification body regarding the expansion, reduction, or adjustment of the scope of application of the Quality Management System compliant with the national standard TCVN ISO 9001:2008, administrative agencies shall prepare one set of application documents for adjusting, expanding, or reducing the scope of the Certification and submit them to the General Department of Standardization, Metrology and Quality Control. The application documents include:

- A request letter for adjusting, expanding, or reducing the scope of the Certification according to the model prescribed in Appendix II attached to this Circular;

- A commitment statement that the Quality Management System has been established and implemented for all activities related to administrative procedures for individuals and organizations (from January 1, 2012);

- An assessment report from the certification body as stipulated in Clause 7, Article 1 of this Circular.”

12. Amend Points 3.3.2, 3.3.3, and 3.3.4 in Appendix XI attached to Circular No. 01/2010/TT-BKHCN as follows:

“3.3.2. After completing the certification assessment and confirming compliance with the national standard TCVN ISO 9001:2008, the certification body shall prepare an assessment report to be submitted by administrative agencies to complete the application for the Certification.

3.3.3. Administrative agencies shall prepare one set of application documents for the Certification including a request letter for the Certification, a summary report on the process of establishing and implementing the Quality Management System, a commitment statement that the Quality Management System has been established and implemented for all activities related to administrative procedures for individuals and organizations (from January 1, 2012), and an assessment report from the certification body to be submitted to the General Department of Standardization, Metrology and Quality Control.

3.3.4. The General Department of Standardization, Metrology and Quality Control shall base its decision on the application documents submitted by administrative agencies to consider and issue the Certification (with a validity period of three years).”

13. Repeal Appendix III and VIII issued together with Circular No. 01/2010/TT-BKHCN.

Article 2. The General Department of Standardization, Metrology and Quality Assurance is responsible for guiding and organizing the implementation of this Circular.

Article 3.

1. This Circular takes effect from August 20, 2011.

2. The Director of the Standardization, Measurement and Quality Control General Department, the Head of the Legal Affairs Department, and relevant organizations and individuals shall be responsible for implementing this Circular./.