Decision No. 1652/QD-BTC Approving the Plan for Building and Implementing a Quality Management System According to TCVN ISO 9001:2008 in the Operations of the Ministry of Finance

 

Pursuant to …;

Approving the plan to establish and implement a quality management system according to TCVN ISO 9001:2008 in the operations of the Ministry of Finance

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THE MINISTER OF FINANCE

Pursuant to Decree No. 118/2008/NĐ-CP dated November 27, 2008, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Finance;

Pursuant to Decision No. 144/2006/QD-TTg dated June 20, 2006 of the Prime Minister on applying the Quality Management System according to the TCVN ISO 9001:2008 standard in the activities of administrative state agencies;

At the request of the Director of the Legal Department,

DECISION:

Article 1. Approves the Plan for establishing and implementing the Quality Management System according to the TCVN ISO 9001:2008 standard in the operations of the Ministry of Finance (annexed hereto).

Article 2. This Decision shall take effect from the date of signing.

Article 3. The Heads of the Legal Department, the Office Director of the Ministry, the Directors of the General Tax Department, the General Customs Department, the Chairman of the State Securities Commission, the Heads of the Planning and Finance Department and the Heads of other units under the Ministry shall be responsible for implementing this decision.

 

PLAN

ESTABLISHING AND IMPLEMENTING A QUALITY MANAGEMENT SYSTEM ACCORDING TO THE TCVN ISO 9001:2008 STANDARD IN THE OPERATIONS OF THE MINISTRY OF FINANCE

(Issued pursuant to Decision No. 1652/QD-BTC dated July 12, 2011 of the Minister of Finance)

I. OBJECTIVES AND REQUIREMENTS

1. Objectives

The plan is issued to implement the assigned tasks under Clause 4, Article 1 of Decision No. 118/2009/QD-TTg dated September 30, 2009 of the Prime Minister on amending and supplementing certain provisions of Decision No. 144/2006/QD-TTg dated June 20, 2006 of the Prime Minister on applying the quality management system according to the TCVN ISO 9001:2000 standard in the activities of administrative state agencies, while ensuring the implementation of the establishment and application of the quality management system for activities related to handling administrative procedures for individuals and organizations at the Ministry of Finance is carried out uniformly.

2. Requirements

- Establishing and applying work processes at units under the Ministry of Finance must be scientific, comply with legal regulations, rules, and regulations of the Ministry; be appropriate to reality, creating favorable conditions for each civil servant, department, and office to handle work smoothly, promptly, and effectively; helping leaders of units to manage and oversee the entire process of work handling within their units; innovating working methods, contributing to enhancing the effectiveness and efficiency in performing public duties, serving the needs of organizations, individuals, and the people well.

- By December 31, 2012, all units under the Ministry of Finance must apply the Quality Management System according to the ISO standard to all activities related to handling administrative procedures for individuals and organizations; they will undergo evaluation and certification of the Quality Management System according to the TCVN ISO 9001:2008 standard (hereinafter referred to as the ISO standard). For vertical agencies located in localities, by December 31, 2012, they must complete the establishment and implementation of the quality management system according to the framework model issued by the Ministry of Finance.

II. OBJECTS AND SCOPE OF IMPLEMENTATION UNDER THE ISO STANDARD.

b) In cases where funds from organizations and individuals within and outside Vietnam are used for victim support work and victim support benefits, such activities shall be carried out in accordance with the regulations of the Ministry of Finance and the donor; in cases where there is no agreement between the donor or their authorized representative and the Ministry of Finance regarding the expenditure level, the expenditure level prescribed in this Circular shall apply.

The application of the Quality Management System according to the TCVN ISO 9001:2008 standard focuses on the processes of handling all work related to administrative procedures for citizens and businesses (based on the results of the Implementation Project 30); work processing procedures and internal management activities, other activities of units under the Ministry.

2. Subjects implementing the task

The entities responsible for establishing, implementing, maintaining, and improving the Quality Management System according to the TCVN ISO 9001:2008 standard are based on Decree No. 118/2008/ND-CP dated November 27, 2008 on the Functions, Tasks, Authorities, and Organizational Structure of the Ministry of Finance, including units performing advisory functions to assist the Minister in managing state affairs in finance (including: state budget, national reserves, taxes, fees, charges and other revenues of the state budget, national reserves, state assets, state financial funds, financial investment, corporate finance, cooperative and collective economy finance); customs; accounting; independent auditing; pricing; securities; insurance; financial service activities and other services under the Ministry's management; and representing the state ownership interest in enterprises according to the law. Specifically, these include: (i) General Tax Department, (ii) General Customs Department, (iii) State Securities Commission, (iv) National Treasury, (v) National Reserve General Department, (vi) Ministry of Finance units (Office; Price Management Department; State Asset Management Department; Corporate Finance Department; Insurance Supervision and Management Department; Debt and Foreign Financial Management Department; Banking Finance Department; Accounting Standards and Auditing Department; Inspectorate; Cadre Organization and Personnel Department; Public Administration and Services Department; Investment Department; Legal Department; Commendation and Award Department; International Cooperation Department; State Budget; Information Technology; Tax Policy Department).

III. ACTIVITIES TO BE IMPLEMENTED

1. Establishing a Steering Committee for implementing the establishment and application of the Quality Management System according to the ISO standard at the unit (General Tax Department, General Customs Department, National Treasury, National Reserve General Department, State Securities Commission, and Ministry of Finance units). The ISO Implementation Steering Committee includes members: (i) Unit leadership serves as Chair, (ii) Head of the permanent department serves as Deputy Chair in charge of day-to-day operations, (iii) Heads of relevant departments at the unit serve as members. For the Ministry units, the Office Director serves as Chair, the Legal Department leadership serves as Deputy Chair; unit leaders serve as members.

The Steering Committee may establish a Working Group for the Steering Committee during the process of building and applying the quality management system according to ISO standards at units. The Working Group has the role of collecting documents related to the quality management system according to ISO 9001:2008 standard in financial activities of units under the Ministry; collaborating with consulting agencies on training, construction, and implementation of the quality management system according to the TCVN ISO 9001:2008 standard; editing and writing procedures according to the guidance of consultants; coordinating with the steering committee to guide the deployment and application of procedures; adjusting and reviewing the quality of procedures; coordinating with departments within the agency to issue, deploy, and implement the system, train staff to understand the system being implemented and other tasks.

Establish the Operation Regulation of the Steering Committee, specifying clearly the functions and responsibilities of each member of the Steering Committee.

2. Develop a specific plan to build and apply the Quality Management System according to ISO standards at their own units, including determining the scope of ISO standard application as all activities related to administrative procedures for citizens and businesses (based on the results of Project 30); internal activities, other specific activities of the unit.

3. Study, select and sign consultancy contracts and contracts with certification organizations according to Circular No. 01/2010/TT-KHCN dated February 25, 2010, of the Ministry of Science and Technology regarding consultancy, evaluation, and certification activities of quality management systems according to the national standard TCVN ISO 9001:2008 for state administrative agencies.

Units shall study, select consultancy organizations and certification organizations; directly sign contracts with consultancy organizations and certification organizations in accordance with the provisions of the law.

4. Evaluate the current status of the quality management system.

The ISO Implementation Steering Committee coordinates with the consultancy organization to review and evaluate the current operational status of the unit. Based on the ISO standard, guiding documents of the Ministry of Science and Technology, and the actual operational status of the unit, the consultancy organization and the ISO Implementation Steering Committee at the units will propose contents related to designing work processes that comply with the ISO standard and planning tasks to be deployed to meet the requirements of the standard and fit the reality.

5. Training on ISO standards and methods for building documentation systems.

The ISO Implementation Steering Committee coordinates with the consultancy organization to organize training and provide information support on quality management models, analyze ISO standard requirements; guide the drafting of procedures, documents to meet work management requirements and comply with ISO standard requirements.

6. Drafting the ISO documentation system.

According to the list of documents and the plan for assigning the drafting of procedures approved by the Head of the ISO Implementation Steering Committee, the consultancy organization will directly work with assigned officers to advise on the specific method of constructing each procedure; the procedures must ensure contents on quality policy - quality objectives, quality manuals, management procedures (operational procedures and supporting procedures), work instructions, forms.

The ISO Implementation Steering Committee of the unit coordinates with the consultancy organization to seek opinions from relevant units on the above documents to ensure the quality of the documents and consensus within the unit before officially implementing them.

The ISO Implementation Steering Committee submits to the competent authority for consideration and issuance for official implementation.

7. Deployment and Application.

After the procedures are signed and issued by the competent authority, the ISO Implementation Steering Committee of the unit coordinates with the consultancy organization to disseminate the management documentation set (documents, working procedures) and the application method for each department, officer, and civil servant involved to implement uniformly.

During the application period, the ISO Implementation Steering Committee of the unit coordinates with the consultancy organization to regularly inspect and review the application; guide and explain to ensure effective implementation of the quality management system.

8. Evaluating the ISO System.

The quality management system needs to be evaluated by the unit to maintain and improve it.

Internal auditors of the agency or unit coordinate with consultancy organizations to conduct quality evaluations two to three times, with each evaluation at least three months apart. Accordingly, (i) the first time, the consultancy organization conducts the evaluation, while internal auditors of the unit observe; (ii) subsequent evaluations, internal auditors of the unit proactively carry out with the support of the consultancy organization.

Internal auditors are members of the ISO Implementation Steering Committee or managers and specialists related to the application of quality procedures. Internal auditors must be trained by the consultancy organization to have the necessary capabilities for internal auditing at the unit, and also understand and organize internal quality assessment activities effectively to ensure the maintenance of the quality system in the future.

After each evaluation round, issues that need to be addressed must be identified. Relevant departments are responsible for thoroughly addressing these issues. Based on corrective actions, quality management procedures will gradually be perfected.

9. Issuing Certification for the Quality Management System.

The unit works with the certification organization, requests the certification organization to conduct an evaluation; requests this organization to propose the General Bureau of Standards Metrology Quality to issue a quality management system certification.

10. Maintaining and Improving the Quality Management System Post-Certification.

Units, after receiving certification, are responsible for maintaining an effective quality management system; regularly and periodically conducting monitoring, measurement, and updating all management documents.

Units establish communication channels with consultancy organizations to promptly assist and resolve issues arising during the management and implementation of the ISO Quality Management System, ensuring the system operates effectively.

11. Propaganda and guidance work on the implementation of quality management systems.

Units shall carry out propaganda activities related to the application of ISO quality management systems, enhancing awareness about the application of quality management systems in the operations of agencies and units.

III. IMPLEMENTATION

1. Implementation schedule

1.1. Group of General Departments under the Ministry

Implement the construction and application of the Quality Management System according to the standard TCVN ISO 9001:2008 based on the framework model published and issued by the Ministry of Finance.

Agencies with vertical sectors at localities (Customs General Department, Tax General Department, State Treasury, Reserve General Department, Securities Commission) must develop plans for constructing and applying the Quality Management System according to the standard TCVN ISO 9001:2008 specifically for each agency (Office Group, Bureau level and equivalent).

By December 31, 2012, all agencies with vertical sectors located at localities must complete the construction and application of the quality management system according to the framework model issued by the Ministry of Finance.

1.2. Group of Ministry of Finance agencies

a) Year 2011 phase: Select and propose the pilot implementation of the construction and application of the Quality Management System at the following units: Ministry Office, Tax Policy Department, Financial Banking and Financial Organization Department, Legal Department, Planning and Finance Department; Cadre and Civil Servant Organization Department, Mobilization and Reward Department; State Asset Management Department; Enterprise Finance Department.

b) Year 2012 phase: Implement the construction and application at all units under the Ministry of Finance.

By December 31, 2012, all agencies and units under the Ministry of Finance must apply the Quality Management System according to the ISO standard for all activities related to administrative procedures for individuals and organizations.

2. Responsibilities of units

a) The Tax General Department, Customs General Department, National Reserve General Department, State Treasury, Ministry Office have the responsibility:

- Establish a Working Group (if necessary);

- Select and propose a list of administrative procedures that must apply the quality management system according to the ISO standard according to the progress specified in Clause 1 of this Part, submit to the Ministry for consideration and decision;

- Implement the development of plans to implement the tasks outlined in Part II at their own units;

- Select and sign contracts with consulting organizations and evaluation organizations in accordance with the provisions of the law;

- Establish an internal control department to monitor the process of constructing, applying, maintaining, and improving the quality management system in unit activities;

- Organize training and enhance awareness about the quality management system for the cadre and civil servant team.

- Organize and implement reporting to the Ministry (through the Working Group of the Steering Committee at the Ministry of Finance) on the progress and results of the unit's implementation as follows:

+ List of the Steering Committee implementing ISO;

+ Plan for implementing ISO construction;

+ Management documentation system of agencies and units after approval;

+ Copy of certification certificate;

+ Annual internal audit report;

+ Follow-up assessment report by the Certification Organization.

b) Cadre and Civil Servant Organization Department, Ministry Office.

Submit to the Ministry the establishment of a Working Group for the Steering Committee of the Ministry of Finance agencies at the Ministry Office.

c) Units under the Ministry have the responsibility:

+ Coordinate with the Working Group to implement assigned tasks.

+ Proactively implement assigned work.

c) Working Group of the Steering Committee at the Ministry of Finance agencies:

- Determine the construction and application of the Quality Management System according to the ISO standard in the operation of agencies and units as a mandatory component of the administrative reform program.

- Based on the Ministry's Plan, heads of agencies and units proactively develop detailed Plans and organize the implementation of the construction and application of the quality management system for their units. The list of administrative procedures that must apply the quality management system is based on the results of the implementation of Project 30 of the Ministry. This is a mandatory task to be implemented according to Decision 144/2006/QD-TTg dated June 20, 2006 and Decision No. 118/2009/QD-TTg dated September 30, 2009 of the Prime Minister;

- Monitor the process of constructing and applying the quality management system; bear responsibility for the effectiveness and efficiency of the construction, application, maintenance, and improvement of the quality management system in the operation of agencies and units.

- Summarize and report to the Ministry of Science and Technology as prescribed;

- Prepare content and present to the Head of the Steering Committee regarding the organization of meetings of the Ministry of Finance Steering Committee to implement Decision No. 118/2009/QD-TTg;

- Supervise and urge the implementation of units under the Ministry;

- Organize mid-term and final reviews, commendation, and propose rewards for agencies, units, and individuals who perform well in the construction and application of the Quality Management System according to the ISO standard.

d) Information and Statistics Finance Department

Update and disseminate information related to the construction and application of the Quality Management System according to the ISO 9001:2008 standard through the Ministry's website so that relevant units can update information and implement according to the set schedule.

e) Planning and Finance Department

The Planning and Finance Department has the responsibility to allocate funds from the state budget for the implementation of the construction, execution, evaluation, certification issuance, maintenance, and supervision of the Quality Management System according to the ISO standard; guide units in developing plans, preparing budgets, and using funds for these activities.

V. IMPLEMENTATION FUNDS

Agencies and units prepare budget estimates for this activity. Funds allocated for the implementation of the construction, execution, evaluation, certification issuance, maintenance, and supervision of the Quality Management System according to the ISO standard are carried out in accordance with Circular 159/2010/TT-BTC dated October 15, 2010 of the Ministry of Finance on financial management for the construction, application, and maintenance of the Quality Management System according to TCVN ISO 9001:2008 in the operation of administrative agencies.

Agencies and units with separate accounts proactively prepare budget estimates and use funds within their annual budget estimates.

Agencies and units without separate accounts prepare budget estimates and use funds within the Ministry's annual budget estimate.