Circular No. 14/2011/TT-BNNPTNT on inspection and evaluation of agricultural inputs production and business establishments and forestry and aquatic products.

CIRCULAR

Regulations on inspecting and evaluating agricultural production and business establishments and forestry, fishery products.

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Pursuant to Decree No. 01/2008/ND-CP dated January 3, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Agriculture and Rural Development; Decree No. 75/2009/ND-CP dated September 10, 2009 of the Government amending Article 3 of Decree No. 01/2008/ND-CP dated January 3, 2008 of the Government;

Pursuant to the Law on Product Quality and Goods Quality adopted by the National Assembly on November 21, 2007 and Decree No. 132/2008/ND-CP dated December 31, 2008 of the Government detailing and guiding the implementation of certain provisions of the Law on Product Quality and Goods Quality;

Pursuant to the Law on Technical Standards and Regulations adopted by the National Assembly on June 29, 2006 and Decree No. 127/2007/ND-CP dated August 1, 2007 of the Government detailing and guiding the implementation of certain provisions of the Law on Technical Standards and Regulations;

Pursuant to the Food Safety Ordinance adopted by the Standing Committee of the National Assembly on July 26, 2003 and Decree No. 163/2004/ND-CP dated September 7, 2004 of the Government detailing and guiding the implementation of certain provisions of the Food Safety Ordinance;

The Ministry of Agriculture and Rural Development hereby stipulates the inspection and evaluation of agricultural production and business establishments and forestry, fishery products under the management of the Ministry as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates the inspection and evaluation of conditions ensuring quality and food safety for agricultural production and business establishments and forestry, fishery products, and the responsibilities and authorities of related parties.

Article 2. Applicability

1. Agricultural production and business establishments dealing with agricultural materials and forestry, fishery products that have registered their business nationwide and fall under the management of the Ministry of Agriculture and Rural Development.

2. Organizations and individuals related to the production and business of agricultural materials and forestry, fishery products.

Article 3. Explanation of Terms

In this Circular, the following terms shall be understood as follows:

1. Agricultural materials: including plant seeds, animal breeds, fertilizers, livestock feed, aquaculture feed, plant protection chemicals, veterinary drugs, chemicals, biological preparations, machinery, raw materials, equipment used in agricultural, forestry, fishery production and water conservancy works, and salt under the management of the Ministry of Agriculture and Rural Development.

2. Forestry, fishery products: including animal-origin products, plant-origin products, and salt.

3. Agricultural material production establishment and forestry, fishery product production establishment: a place where one, several, or all activities of producing, processing, packaging, storing, and transporting agricultural materials and forestry, fishery products are carried out.

4. Agricultural material business establishment and forestry, fishery product business establishment: a place where activities of trading agricultural materials and forestry, fishery products are carried out.

5. Traceability: the ability to track and identify a unit of product through each stage of the production, processing, and distribution process (Codex Alimentarius).

6. Levels of non-conformity:

a) Serious non-conformity: deviation from technical standards or regulations affecting product quality and food safety.

b) Major non-conformity: deviation from technical standards or regulations which, if prolonged, may affect product quality and food safety but not to the serious level.

c) Minor non-conformity: deviation from technical standards or regulations that may affect product quality and food safety or hinder quality and food safety control.

Article 4. Basis for inspection and evaluation

1. Technical standards and specifications.

||| 2. Local inspection agencies: decided by the Provincial People's Committee based on the assignment and delegation of authority by the Ministry of Agriculture and Rural Development, local practical conditions, and proposals from the Department of Agriculture and Rural Development.

Article 5. Inspection Authority

1. Central inspection agencies: are specialized General Departments and Bureaus under the Ministry of Agriculture and Rural Development; responsible for inspecting, evaluating, and classifying production and business establishments dealing with agricultural materials and forestry, fishery products according to the division of responsibilities assigned by the Ministry of Agriculture and Rural Development.

2. Local inspection agencies include:

a) Provincial inspection agencies: are specialized management agencies directly under the Department of Agriculture and Rural Development of provinces and centrally-administered cities; responsible for inspecting, evaluating, and classifying production and business establishments licensed by central, provincial authorities, or the Business Registration Office at economic zones according to the division of responsibilities assigned by the Ministry of Agriculture and Rural Development.

In cases where an establishment produces and trades in multiple categories of agricultural materials and forestry, fishery products under the jurisdiction of several provincial inspection agencies, based on actual conditions and capabilities of these agencies, the Department of Agriculture and Rural Development shall designate a leading agency to coordinate with other relevant specialized management agencies to implement the inspection and evaluation.

b) District inspection agencies: are specialized agencies under the People's Committee of districts; responsible for inspecting, evaluating, and classifying production establishments dealing with agricultural materials and forestry, fishery products licensed by district authorities.

c) Commune inspection agencies: are the People's Committees of communes; responsible for inspecting, evaluating, and classifying business establishments dealing with agricultural materials and forestry, fishery products licensed by district authorities located within their commune territory.

Article 6. Forms of inspection

1. Inspection and classification evaluation:

a) Is a form of announced inspection aimed at thoroughly checking all aspects concerning quality assurance and food safety conditions of the establishment.

b) Applied to:

- Establishments being inspected for the first time;

- Establishments that have been inspected and met requirements but have since undergone repairs or expansion;

- Establishments that did not meet requirements but have since corrected their deficiencies.

2. Periodic inspection: Is a form of unannounced inspection applied to establishments that have been classified as meeting requirements to monitor the maintenance of quality assurance and food safety conditions.

3. Spot inspection: Is a form of inspection applied when:

a) An establishment shows signs of violation regarding quality assurance and food safety conditions;

b) There are complaints from organizations or individuals.

Article 7. Content and methods of inspection

1. Inspection content:

a) Physical facilities and equipment;

b) Human resources;

c) Quality management programs, standards, technical regulations, and product labeling currently in use;

d) Sampling and testing of quality and food safety indicators to verify quality assurance and food safety conditions when necessary (this does not apply when the inspection agency is the People's Committee of a commune).

2. Inspection methods

Inspection methods include on-site inspections (factories, equipment, etc.), document reviews, and interviews (if necessary). When sampling and testing of quality and food safety indicators are conducted, sampling procedures are carried out in accordance with relevant standards or regulatory documents.

Article 8. Classification Forms    

1. Apply classification levels A (good), B (satisfactory), C (unsatisfactory) as follows:

a) Level A (good): applied to facilities that fully meet the requirements for quality assurance and food safety conditions, without serious or very serious errors.

b) Level B (satisfactory): applied to facilities that meet the requirements for quality assurance and food safety conditions, with few serious errors and no very serious errors.

c) Level C (unsatisfactory): applied to facilities that do not meet the requirements for quality assurance and food safety conditions, with many serious and very serious errors; if these are not corrected within the time specified by the inspection authority, they will continue to produce, causing significant impacts on quality and food safety.

2. Guidelines and inspection forms for evaluating and classifying quality assurance and food safety conditions for agricultural inputs and forestry and aquatic products production and business establishments according to each industry group are set out in the Appendix attached to this Circular.

Article 9. Frequency of inspection

The frequency of inspections for each facility is as follows:

1. Facilities classified as level A: Once per year

2. Facilities classified as level B: - Ice: 01 sample in the ice storage area.

3. Facilities classified as level C: The time for re-inspection depends on the severity of the errors found at the inspected facility and is determined by the Inspection Authority.

Article 10. Requirements for the Team Leader, Inspectors, and Sample Collectors

1. Requirements for the Head of the Inspection Team

a) Have expertise appropriate to the inspection field.

b) Have participated in specialized training courses suitable to the inspection field and inspector training courses.

c) Have experience working in the inspection field.

2. Requirements for Inspectors:

a) Have expertise appropriate to the inspection field.

b) Having participated in specialized training courses appropriate to the inspection field and inspector training courses.

3. Requirements for Sample Collectors

a) Have expertise appropriate

b) Hold a certificate or proof of having participated in training or refresher courses on sampling in the inspection field.

4. Specific requirements for the Head of the Inspection Team, inspectors, and samplers are detailed by the relevant General Departments and Bureaus.

Chapter II

PROCEDURES AND FORMS FOR INSPECTION AND EVALUATION OF CLASSIFICATION

Article 11. Establishing a List of Production and Business Establishments

The Inspection Authority shall cooperate with the business licensing authority to conduct statistics and compile lists of production and business establishments under their jurisdiction as assigned in Article 5 of this Circular. Statistical forms for quality assurance and food safety conditions for agricultural inputs and forestry and aquatic products production and business establishments according to each industry group are set out in the Appendix attached to this Circular.

Article 12. Notification of Inspection and Evaluation Plans

1. The Inspection Authority is responsible for notifying the inspection plan to the inspected establishment at least five working days before the inspection date. The inspection plan includes:

a) The expected inspection date

b) Scope, content, and form of inspection

c) Requirements for personnel preparation and working files for the Inspection Team

2. The Inspection Authority may notify the inspection plan to the establishment through one of the following methods: direct delivery; fax; postal service.

3. For regular and surprise inspections, the inspection plan is announced at the opening meeting of the Inspection Team at the establishment.

Article 13. Procedures and Forms for Inspection

1. Forming the Inspection Team

a) The head of the Inspection Authority issues a decision to establish the Inspection Team

b) The decision to establish the Inspection Team must clearly state:

- Basis for inspection

- Scope, content, and form of inspection

- Name and address of the inspected establishment

- Names, positions of the team leader and members of the team

- Responsibilities of the establishment and the Inspection Team

c) In cases where multiple industry groups of agricultural inputs and forestry and aquatic products production and business establishments are inspected and evaluated, the head of the authority entrusted by the Department of Agriculture and Rural Development to lead has the responsibility to notify related authorities to request participation in the Inspection Team.

2. Conducting Inspections at the Establishment

a) Opening Meeting: The Inspection Team announces the Decision to establish the team, clearly stating the purpose and content of the inspection.

b) Conducting actual inspections (infrastructure, equipment, etc.), inspecting documents and interviewing (if necessary) as stipulated in Clause 2, Article 7 of this Circular.

c) Drafting the inspection record and holding a closing meeting to announce the inspection results.

3. Requirements for the Inspection Record

a) Drafted by the Inspection Team at the establishment immediately after completing the inspection.

b) Fully and accurately reflect the results of the inspection;

c) Clearly recording non-compliant items and deadlines for rectification.

d) Stating the overall conclusion on the conditions met and classification level of the establishment.

đ) Including comments from the authorized representative of the establishment regarding the inspection results and commitment to rectify errors.

e) Signed by the Head of the Inspection Team, signed by the authorized representative of the establishment, and stamped by the establishment (if applicable). If the establishment's representative does not agree to sign the Inspection Record, the Inspection Team must note: "The representative of the inspected establishment did not sign the record and specify the reason why the representative did not sign." This record remains legally valid when it bears the signatures of all members of the Inspection Team.

g) Prepared in two copies: one copy retained by the Inspection Authority, one copy retained by the establishment.

4. Handling Inspection Results

After reviewing the Inspection Team's inspection record (on-site review may be conducted if necessary), within seven working days from the end of the inspection, the Inspection Authority shall implement:

a) In cases of inspection and evaluation:

- Recognize the inspection results and notify the results to establishments classified as A or B for the inspected industry groups. For establishments with multiple industry groups, the regular inspection frequency is determined based on the lowest classification level among the industry groups.

- Notify establishments that do not meet the conditions and require them to submit specific reports on rectification results for establishments classified as C for the inspected industry groups. Depending on the severity of the errors, the Inspection Authority may propose administrative penalties by the competent authority, while deciding on the rectification period and organizing a re-inspection. If the establishment fails to rectify, the Inspection Authority will notify the competent authority to revoke the establishment's business registration certificate.

b) In cases of regular and surprise inspections:

- For facilities downgraded to Class B: Notify the facility about being downgraded and the frequency of inspections to be applied in the upcoming period.

- For facilities downgraded to Class C: Notify the facility that it does not meet the conditions and require a specific report on the results of corrective actions for the non-compliant (Class C) sectors. Depending on the severity of the facility's violations, the Inspection Authority proposes administrative penalties to the competent authority, while deciding on the deadline for rectification and organizing re-inspections. If the facility fails to rectify, the Inspection Authority notifies the competent authority to propose revocation of the business license of the facility.

c) Issue certificates of compliance for groups of products of facilities classified as A or B upon request from the facility.

5. In cases where samples are taken for testing (must have a sample-taking record), if the test results show that the product violates regulations on quality and food safety, the Inspection Authority requires the facility to trace, recall the product, and apply corrective measures according to current regulations.

6. The Inspection Authority publicly announces facilities that meet and do not meet the conditions for ensuring quality and food safety.

Article 14. Fees and Charges

1. Fees for inspection, testing, and certification fees for issuing certificates of compliance for ensuring quality and food safety of facilities shall be implemented in accordance with the current regulations of the Ministry of Finance.

2. For inspection activities without regulations from the Ministry of Finance regarding related fee collection, the Inspection Authority plans and budgets funds from the annual state budget, submits to the competent authority for approval, and implements after approval.

Chapter III

RESPONSIBILITIES AND LIMITATIONS OF THE INVOLVED PARTIES

Article 15. People's Committees of provinces and centrally governed cities

1. Direct the Department of Agriculture and Rural Development and People's Committees at all levels to implement the assigned tasks as stipulated in Article 5, Clause 2 of this Circular.

2. Direct the Department of Finance to advise and submit for approval the annual state budget funding for Inspection Authorities as prescribed.

Article 16. Departments of Agriculture and Rural Development of provinces and centrally governed cities

1. Designate the entity responsible for statistics, inspection, evaluation, and classification of facilities as specified in Article 5, Clause 2, Point a of this Circular within their province.

Clause 2. Guide and direct the implementation of this Circular within their assigned scope in the province.

Article 17. Central Inspection Authority

1. To guide and direct inspection work throughout the system from central to local levels.

2. Guide the uniform application of documentation, forms, and inspection methods for production and business facilities of the assigned product groups.

3. To organize training, instruction, and professional guidance for the inspection force throughout the system from central to local levels.

4. Directly organize inspections, evaluations, and classifications for agricultural input and forestry and aquatic product production and business facilities according to the division of responsibilities by the Ministry of Agriculture and Rural Development.

5. Publicly announce on the website of the Inspection Authority and the Ministry of Agriculture and Rural Development the list of facilities that meet and do not meet the conditions for ensuring quality and food safety under its management.

6. To inspect the implementation of the Inspection Authority at the local level.

7. Systematically archive all relevant files concerning statistical, inspection, evaluation, and classification activities of production and business facilities under its management according to the division of responsibilities; ensure information security in accordance with current regulations.

8. Report periodically every six months on the results of statistical, inspection, evaluation, and classification activities and handling of non-compliance with quality and food safety conditions of facilities under its management according to the division of responsibilities to the Ministry of Agriculture and Rural Development (through the General Department of Quality Management of Forestry and Aquatic Products). The General Department of Quality Management of Forestry and Aquatic Products is responsible for compiling and summarizing to publish on the database of the Ministry of Agriculture and Rural Development.

Article 18. Local inspection agencies

1. Agencies under the provincial Department of Agriculture and Rural Development that are assigned tasks:

a) Organize inspections, evaluations, and classification of production and business establishments licensed by central, provincial authorities, or economic zone business registration offices according to the分级授权的农业和农村发展部。

b) Conduct inspections on the implementation by county and commune-level inspection agencies.

c) Train, instruct, and guide county and commune-level inspection agencies in their professional duties.

d) Publicly announce the list of production and business establishments within their jurisdiction that meet and do not meet the conditions for ensuring food quality and safety.

e) Systematically archive all relevant files related to statistical activities, inspections, evaluations, and classifications of production and business establishments within their jurisdiction as assigned.

f) Report periodically once every six months on the results of statistical activities, inspections, evaluations, classifications, and handling of violations concerning the conditions for ensuring food quality and safety of production and business establishments within their jurisdiction to the provincial Department of Agriculture and Rural Development and relevant General Departments and Bureaus of the Ministry according to their specialized management areas.

2. Specialized agencies under the People's Committee at the county level

a) Organize inspections, evaluations, and classifications of agricultural material production and forestry, fishery, and livestock product establishments licensed by the county-level authority.

b) Conduct inspections on the implementation by the People's Committee at the commune level.

c) Publicly announce the list of production establishments within their jurisdiction that meet and do not meet the conditions for ensuring food quality and safety.

d) Systematically archive all relevant files related to statistical activities, inspections, evaluations, and classifications of production establishments within their jurisdiction as assigned.

e) Report periodically once every six months to the specialized management agency under the provincial Department of Agriculture and Rural Development on the results of statistical activities, inspections, evaluations, classifications, and handling of violations concerning the conditions for ensuring food quality and safety of production establishments within their jurisdiction.

3. Commune-level People's Committee

a) Organize inspections, evaluations, and classifications of agricultural material and forestry, fishery, and livestock product business establishments licensed by the county-level authority located within the commune area.

b) Publicly announce the list of business establishments within their jurisdiction that meet and do not meet the conditions for ensuring food quality and safety.

c) Systematically archive all relevant files related to statistical activities, inspections, evaluations, and classifications of business establishments within their jurisdiction as assigned.

d) Report periodically once every six months to the specialized agency under the county-level People's Committee on the results of statistical activities, inspections, evaluations, classifications, and handling of violations concerning the conditions for ensuring food quality and safety of business establishments within their jurisdiction in the commune area.

Article 19. Agricultural material production and business establishments and forestry, aquatic product establishments

1. Arrange personnel with sufficient authority to represent the establishment to work with the Inspection Team.

2. Create favorable conditions for the Inspection Team to conduct inspections and sample collection at the site; provide full information, samples, files, and documents relevant to the requirements of the Inspection Team.

3. Fully rectify errors noted in the Inspection Record and submit a written report to the Inspection Agency within the time limit specified in the Inspection Record.

4. Pay inspection fees and charges as prescribed.

5. Recover and handle products that do not meet quality and food safety requirements as prescribed.

6. Have the right to lodge complaints with the Inspection Agency in case of disagreement with the inspection results of the Inspection Team.

Article 20. Team Leader, Inspectors

1. Head

a) Direct and guide team members to carry out the contents recorded in the inspection decision accurately.

b) Ensure objectivity, accuracy, and honesty during the inspection process.

c) Sign the Inspection Record, report the inspection results, and bear responsibility before the head of the Inspection Agency and the law regarding the inspection results conducted by the Inspection Team.

d) Provide the final conclusion of the Inspection Team on the inspection results.

đ) Maintain confidentiality of information related to the production and business secrets of the inspected establishment and the inspection results until officially recognized and announced by the Inspection Agency.

2. Inspectors:

a. Inspect and evaluate the compliance of production and business conditions of the establishment with relevant regulations and technical standards.

b. Carry out assigned tasks according to the division of labor by the Team Leader.

c. Adhere strictly to procedures, formalities, methods of inspection and sampling; ensure objectivity, accuracy, and honesty when conducting inspections and sampling.

d. Bear responsibility and report on the results of assigned tasks to the Team Leader.

đ. Maintain confidentiality of information related to the production and business secrets of the inspected establishment and keep inspection results confidential until they are officially recognized and announced by the Inspection Agency.

Chapter IV

IMPLEMENTING PROVISIONS

Article 21. Effective Date

This Circular takes effect 45 days from the date of issuance.

Article 22. Amendments and Supplements

During implementation, if there are difficulties or obstacles, units shall report to the Ministry of Agriculture and Rural Development for review, amendment, and supplementation./.