Circular No. 30/2011/TT-BGTVT on quality safety technical inspection and environmental protection during the production and assembly of motor vehicles

CIRCULAR

Regulations on quality and technical safety inspection and environmental protection in the production and assembly of motor vehicles

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On the basis of Decree No. 86/2012/NĐ-CP dated October 19, 2012, issued by the Government detailing and guiding implementation of certain provisions of the Metrology Law;

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

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

Pursuant to Decree No. 51/2008/NĐ-CP dated April 22, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

The Minister of Transport hereby promulgates the following Circular:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Circular prescribes the procedures for inspecting the quality, technical safety, and environmental protection of various types of motor vehicles produced or assembled from entirely new parts or from chassis or completely new motor vehicles without registration plates.

2. This Circular does not apply to the following entities:

a) Motorcycles and motorized bicycles

b) Motor vehicles produced or assembled for national defense and security purposes by the Ministry of National Defense and the Ministry of Public Security.

Article 2. Applicability

Enterprises producing parts, assembling motor vehicles, and organizations or agencies involved in managing, inspecting, and testing motor vehicles must comply with this Circular.

Article 3. Explanation of Terms

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

1. Motor vehicles refers to a type of motor vehicle operating on roads (excluding motorcycles and motorized bicycles) defined in Vietnamese Standard TCVN 6211 and TCVN 7271, including chassis;

2. Chassis refers to a semi-finished automobile that can move independently, with or without a driver's cabin, without cargo space, passenger compartment, or specialized equipment;

3. Main assembly refers to the engine, frame, driver's cabin, body, or cargo box or specialized equipment installed on the vehicle;

4. System" includes the power transmission system, drive system, suspension system, braking system, steering system, fuel system, electrical system, lighting and signaling systems;

5. spare parts refers to assemblies, systems, and components used in the assembly of motor vehicles;

6. Product refers to spare parts or motor vehicles;

7. Product of the same type refers to products having the same characteristics as specified in Appendix I attached to this Circular;

8. Type approval certification refers to the process of inspecting, testing, reviewing, evaluating, and certifying the compliance of a product type with current standards, technical regulations, and provisions of the Ministry of Transport regarding quality, technical safety, and environmental protection;

9. Typical sample refers to a product selected by the manufacturing enterprise according to regulations for inspection and testing;

10. Production facility refers to an enterprise producing parts or assembling motor vehicles that meets the conditions stipulated by current regulations;

11. Design entity refers to an organization engaged in the business of designing motor vehicles according to current regulations;

12. Quality Management Agency (referred to as QLCL Agency) is the Vietnam Vehicle Registration Agency under the Ministry of Transportation;

13. testing facility refers to domestic or foreign organizations or individuals operating in the field of testing parts or motor vehicles, evaluated and approved by the Management Agency;

14. are enterprises producing and assembling Vehicles and spare parts that meet the technical infrastructure requirements as stipulated. refers to a product with design, manufacturing, or assembly defects that may endanger the lives and property of users as well as adversely affect community safety and the environment;

15. are products with defects in design, production, or assembly that pose a risk to the lives and property of users and adversely affect community safety and the environment. refers to actions taken by the manufacturing enterprise against batches or types of defective products they have supplied to the market to repair, replace parts, or substitute with other products to prevent potential dangers caused by design, manufacturing, or assembly defects.

Chapter II

REGULATIONS ON THE INSPECTION OF TECHNICAL SAFETY QUALITY AND ENVIRONMENTAL PROTECTION

Article 4. Design Documentation

1. Design documentation for motor vehicles includes:

a) Technical design description of motor vehicles (original copy) as prescribed in Section A of Appendix II attached to this Circular;

b) Technical drawings (original copy) as prescribed in Section B of Appendix II attached to this Circular;

c) Specifications and technical features of imported assemblies and systems related to design calculations (certified copy or photocopied with confirmation from the design entity).

2. Exemption from preparing design documentation: For motor vehicles produced or assembled according to foreign designs and bearing foreign trademarks, the manufacturing enterprise is exempted from preparing design documentation if it provides the following alternative documents:

a) General layout drawing of the product;

b) Photocopy with confirmation from the manufacturing enterprise of the certificate issued by the competent authority abroad for the product type.

c) Written confirmation from the technology transfer party that the product manufactured and assembled in Vietnam meets the original prototype quality standards.

Article 5. Design Review

1. Design documentation for motor vehicles must be reviewed by the Management Agency.

2. Design review involves examining and comparing the contents of the design documentation with current standards, technical regulations, and provisions of the Ministry of Transport concerning motor vehicles to ensure that the products meet requirements for quality, technical safety, and environmental protection.

3. For design documentation meeting the requirements, the Management Agency issues a design review certification according to the model specified in Appendix III attached to this Circular.

4. After receiving the design review certification, the design documentation will be transferred to each of the following entities: one set each to the design entity, the manufacturing enterprise, and retained at the Management Agency.

5. Supplementing and amending design documentation

a) In case of changes or additions to the design compared to the reviewed design documentation, the manufacturing enterprise or the design entity must submit a written request and supplementary or amended design documentation to the Management Agency for review of the additional or amended content.

b) The design facility must prepare new design files if the additions or modifications do not comply with the requirements for products of the same type as specified in Appendix I attached to this Circular.

6. Design review procedure

a) Procedure:

- The design entity or the manufacturing enterprise (in cases where it has the conditions to design the product itself) prepares one set of design documentation for review according to the prescribed regulations and submits it directly or through postal services to the Vietnam Vehicle Inspection Authority.

- The Vietnam Vehicle Inspection Authority receives and checks the completeness of the documentation: If the documentation is incomplete, it guides the entity to complete it; If the documentation is complete, it issues a notice of the time for the design review result.

- The Vietnam Vehicle Inspection Authority conducts the design review: If the design documentation does not meet the requirements, it notifies the need for supplementation or amendment; If the design documentation meets the requirements, it issues a Design Review Certification.

b) Method:

The entity submits the design documentation for review and collects the results either directly at the Vietnam Vehicle Inspection Authority or through postal services.

c) The design review application documentation includes:

- One original letter requesting design review;

- Three sets of design documentation (as specified in Clause 1 of Article 4);

- One certified copy or photocopied with confirmation of the business registration certificate of the design entity (for the first-time design review of the design entity), clearly stating that the enterprise has the function of designing motor vehicles.

d) Time limit for resolution:

The period for reviewing the design dossier and issuing the design approval certificate shall not exceed fifteen days from the date of receipt of all complete documents as prescribed.

Article 6. Typical Sample Testing

1. The items and objects subject to inspection and testing are specified in Appendix IV attached hereto.

2. The testing facility conducts typical sample testing according to technical standards, regulations, and current provisions of the Ministry of Transport regarding motor vehicles; prepares a report on the test results and bears responsibility for its own test outcomes. In necessary cases, the Management and Control Authority may directly supervise the testing process.

Article 7. Product Inspection Dossier

1. The inspection dossier for components (which fall under the scope of inspection as prescribed in Appendix IV attached hereto) includes:

a) Report on component testing results;

b) Technical drawings with product specifications; Registration form of technical specifications according to corresponding standards and regulations;

c) Photographs of the product; Description of symbols and serial numbers on the product (if any);

d) Description of production technology process and quality control process of the product.

2. The inspection dossier for motor vehicles includes:

a) Report on testing results concerning technical safety quality and environmental protection according to technical standards, regulations, and current provisions of the Ministry of Transport regarding motor vehicles.

b) Design documentation reviewed by the Competent Authority or alternative documents as stipulated in Clause 2 of Article 4 of this Circular;

c) Photographs of the design; Registration form of technical specifications according to the model prescribed in Appendix V attached to this Circular;

d) Statistics of domestic and imported assemblies and systems used in the production and assembly of products according to the model prescribed in Appendix VI attached to this Circular;

đ) For imported components falling within the scope of inspection as prescribed in Appendix IV attached hereto, the Motor Vehicle Manufacturing and Assembly Facility must provide a certified copy of one of the following documents issued by the component manufacturer:

- A document from a foreign or domestic organization confirming that the imported component has been tested in accordance with agreements or mutual recognition arrangements to which Vietnam is a party;

- Certificate issued by an authorized foreign agency confirming that the component type complies with the corresponding United Nations Economic Commission for Europe (ECE) regulations;

- Test result report from the testing facility confirming that the component meets current Vietnamese technical standards and regulations.

e) Description of production and assembly technology processes and quality control process of the product;

g) Explanation of the method and location for chassis number and engine number stamping;

h) User manual and warranty documentation.

3. The product inspection dossier must be stored at the Management and Control Authority and the manufacturing facility for at least two years from the date the manufacturing facility ceases production and assembly of the product type that has been granted certification.

Article 8. Evaluation of Quality Inspection Conditions at Production Facilities

1. To ensure the maintenance of quality for mass-produced products, the production facility needs to perform the following tasks:

a) Develop inspection procedures and operational guidelines for each product type from the initial stage of incoming component quality control, through each production phase, up to the final stage of warranty and maintenance control;

b) Equip necessary inspection devices for each production phase. The minimum list of equipment required for conducting final vehicle quality inspections is stipulated in Appendix VII attached hereto; these inspection devices must be inspected annually by the Management and Control Authority to confirm their operational status;

c) Have technicians responsible for final product quality who have been certified by the foreign manufacturer (technology transfer party) or the Management and Control Authority to conduct quality inspections appropriate to the type of product being manufactured or assembled.

2. The Management and Control Authority carries out evaluations of product quality inspection conditions at production facilities using the following methods:

a) Initial assessment carried out when issuing certificates as provided for in Article 9 of this Circular;

b) Annual Assessment carried out annually;

c) Unannounced Assessment carried out when there are signs of violations related to quality inspection procedures or when there are complaints about product quality.

The evaluation of product quality inspection conditions at production facilities is based on the ISO/TS 16949 standard "Specific Requirements for Quality Management Systems of Motor Vehicle Manufacturing and Component Manufacturing Enterprises."

3. For similar product types without significant changes in inspection procedures, the Management and Control Authority only conducts quality inspection condition evaluations for the first product type.

Article 9. Issuance of Quality Safety Technical and Environmental Protection Certificates

1. The Management and Control Authority shall issue the Quality Safety Technical and Environmental Protection Certificate (referred to as the certificate) for product types according to the corresponding model specified in Appendix VIII issued together with this Circular based on the product inspection file pursuant to Article 7 and the report on the assessment of product quality inspection conditions at the production facility pursuant to Clause 2 of Article 8 of this Circular.

2. Procedures for issuing certificates:

a) Procedure:

- The production facility shall prepare the product inspection file in accordance with Article 7 of this Circular and submit it directly or through the postal service to the Vietnam Registration Agency.

- The Vietnam Registration Agency shall receive and check the components of the product inspection file: if the file is incomplete as prescribed, it shall guide the production facility to complete it; if the file is complete as prescribed, it shall agree on the time and place to conduct the assessment of product quality inspection conditions at the production facility.

- The Vietnam Registration Agency shall examine the contents of the file and conduct the assessment of product quality inspection conditions at the production facility pursuant to Clause 2 of Article 8 of this Circular: if the requirements are not met, it shall notify the production facility to complete it; if the requirements are met, it shall issue the Certificate.

b. Implementation method:

The production facility shall submit the inspection file and receive the results directly at the office of the Vietnam Registration Agency or through the postal service;

c) Dossier components and quantity:

One set of the product inspection file as prescribed in Clause 1 and Clause 2 of Article 7 of this Circular.

d) Time limit for resolution:

Time limit for issuing certificates: Within five days from the date when the inspection file is complete as prescribed and the assessment of product quality inspection conditions at the production facility meets the requirements.

Article 10. Inspection during Mass Production and Assembly

1. After the product has been issued a certificate, the production facility shall commence mass production and continuously inspect the quality throughout the production and assembly process for each product, ensuring that these products meet the technical standards and regulations as stated in the product inspection file and the typical sample that have been certified.

2. The Production Facility shall be responsible for the origin, place of manufacture, and quality of the products being shipped out.

3. Each product produced in mass must be subject to pre-delivery quality inspection (referred to as pre-delivery inspection) by the production facility according to one of the two forms of pre-delivery inspection: under supervision by the Management and Control Authority or self-inspection:

a) Pre-delivery inspection under supervision by the Management and Control Authority.

The Management and Control Authority shall supervise the pre-delivery inspection (referred to as supervision) at production and assembly facilities for motor vehicles carrying people or motor vehicles assembled from spare parts in the following cases:

- The production facility produces and assembles motor vehicles for the first time;

- The production facility has unstable product quality. Product quality is considered unstable if the ratio between the number of products that do not meet the requirements and need to be re-supervised and the total number of supervised products is as follows:

+ More than 5% for the entire supervision period or

+ More than 10% for any month within the supervision period.

- The production facility violates the relevant quality inspection regulations but does not reach the level requiring the revocation of the certificate.

The supervision contents are stipulated in Appendix IX issued together with this Circular. The duration of a supervision period is six months (with products being delivered) or 500 products, whichever comes first.

After the supervision period, if the product quality is stable and the production facility complies with the relevant quality inspection regulations, it will be allowed to apply the self-inspection pre-delivery inspection form as prescribed in Point b of this Clause.

b) Self-Outgoing Inspection

Production facilities not required to be supervised as prescribed in Point a of this Clause may independently carry out pre-delivery inspections according to current regulations.

The Management and Control Authority may conduct spot checks. If the spot check results show that the production facility violates the relevant product quality inspection regulations, depending on the severity of the violation, the certificate may be revoked or the supervision form as prescribed in Point a of this Clause may be applied.

3. Pre-delivery Documents for Motor Vehicles

a) For motor vehicles that have been issued a certificate and have a report on the inspection and supervision results of the batch of vehicles already implemented, the production facility shall receive the pre-delivery quality inspection form (according to the model prescribed in Appendix X issued together with this Circular) corresponding to the quantity of that batch of vehicles.

Based on the inspection results of each product, the production facility shall issue the pre-delivery quality inspection form (referred to as the pre-delivery form) for motor vehicles. The pre-delivery form must be signed and stamped by an authorized person (facility head, deputy head, or directly subordinate personnel authorized in writing by the facility head).

The pre-delivery form issued for the above-mentioned motor vehicles is used for the registration procedures of motor vehicles.

b) The production facility is responsible for preparing and issuing the following documents for each motor vehicle delivered:

- The pre-delivery form as prescribed in Point a of this Clause;

- User manual containing key technical parameters and instructions on the use of safety equipment of the vehicle;

- Product warranty form specifying the warranty conditions and addresses of warranty facilities.

c) The production facility is responsible for reporting and transmitting data related to the inspection of delivered vehicles to the Management and Control Authority.

Article 11. Revocation of Certificate

The certificate shall become invalid and be revoked in the following cases:

1. When the product no longer meets current regulations, standards, technical specifications or when there has been a change in the product that does not comply with the previously issued certificate;

2. The results of quality inspection condition assessment show that the production facility seriously violates regulations related to product quality inspection and issuance of dispatch certificates;

3. The production facility fails to recall products with technical defects as stipulated in Chapter III of this Circular.

Chapter III

REGULATIONS ON RECALL OF PRODUCTS WITH TECHNICAL DEFECTS

Article 12. Products Subject to Recall

The production facility must recall products it manufactures or assembles in the following cases:

1. The product violates current mandatory regulations, standards, and technical specifications applicable to such products;

2. The product poses a danger to life and property due to technical errors during design and manufacture;

3. The product, although not causing loss of life or property, may pose a danger under certain conditions during use.

The Quality Control Authority will base its decision on current regulations, standards, and technical specifications, information, and investigation results to consider and issue a decision compelling the recall of the product.

Article 13. Product Recall

1. For Production Facilities:

Upon discovering technical defects in products sold on the market, the production facility needs to perform the following tasks:

a) Temporarily halt the release of products of the defective type;

b) Within no more than five working days from the date of discovery of the technical defect, the production facility must notify in writing to distributors requesting them to temporarily halt the supply of defective products to the market;

c) Within no more than ten working days from the date of discovery of the technical defect, the production facility must submit a written report to the Quality Control Authority detailing the cause of the technical defect, corrective measures, quantity of products subject to recall, and specific recall plan;

d) Within no more than five days from the date the Quality Control Authority receives the recall plan, the production facility will be notified of the approval result of this plan. The product recall must comply with the requirements of this notification;

đ) The production facility must report at least once every three months on the implementation of the product recall according to the plan;

e) Within no more than thirty days from the completion of the recall, the production facility must submit a written report on the results of the recall to the Quality Control Authority;

g) The production facility must bear all costs related to the product recall including transportation costs.

2. For Quality Control Agencies:

Upon discovering technical defects in products sold on the market, the Quality Control Authority needs to perform the following tasks:

a) Request production facilities to report on information related to the defect;

b) Based on the level of danger and urgency of the technical defect, request in writing from the production facility a specific corrective plan within no more than five days;

c) Timely, fully, and objectively inform about recalled products on the official electronic information page of the Quality Control Authority;

d) Monitor the implementation of production facilities' recall plans;

đ) Temporarily revoke the certificate of products with technical defects until the production facility completes the recall of the product as prescribed. If within three months from the last day required for the recall, the production facility does not report on the completion of the recall, the type certificate mentioned above will be permanently revoked and automatically become invalid.

Article 14. Responsibilities of relevant agencies, organizations, and individuals

1. Production facilities shall be responsible for:

a) Establishing a quality management system and tracking customer information to provide necessary notifications;

b) Establish a system for collecting information on product quality, analyze technical errors, and store related information;

c) Proactively reporting comprehensive information related to technical faults. During the investigation by Quality Control Agencies, they must fully cooperate and provide necessary information upon request;

d) Notify necessary information related to recalls to dealers, service stations, and customers;

đ) Implementing product recalls in accordance with the provisions of this Circular.

2. Organizations and individuals owning vehicles have the rights and responsibilities as follows:

a) Report technical faults discovered during use to production facilities and Quality Control Agencies;

b) Fully cooperate with Quality Control Agencies during investigations and facilitate the recall of products by production facilities as required.

3. Quality Control Agencies shall be responsible for:

a) Guide the implementation of product recalls pursuant to this Circular;

b) Enforce regulations regarding product recalls;

c) Provide accurate, complete, and fair information about products that must be recalled at the request of competent authorities;

d) Temporarily or permanently withdraw certificates of conformity for products that must be recalled.

Article 15. Other Requirements

1. In cases where necessary, the Quality Control Authority may seek expert opinions to assess the level of danger posed by technical defects in order to make necessary decisions.

2. The Quality Control Authority has the right to require production facilities to pay costs related to testing, testing, or examining products with technical defects as stipulated.

3. Production facilities violating these provisions may, depending on the severity of the violation, have their certification suspended or terminated for all products.

Chapter IV

EFFECTIVE DATE

Article 16. Effective Date

1. This Circular takes effect 45 days from the date of signature and revokes Decision No. 34/2005/QĐ-BGTVT dated July 21, 2005 of the Minister of Transport.

2. Certificates and factory release certificates still valid before this Circular takes effect remain valid until their expiration date.

Chapter V

IMPLEMENTATION

3. Publicize the list of testing facilities conducting component and vehicle testing for quality and technical safety certification and environmental protection work.

1. Based on assigned functions and tasks, guide inspection procedures as prescribed in this Circular;

2. Uniformly issue, manage, and guide the use of certificates and blank factory release certificates;

3. Announce a list of testing facilities conducting component and motor vehicle testing for quality and safety technical certification and environmental protection purposes;

4. Conduct regular or spot inspections of production facility quality control practices;

5. Implement inspections and tests of imported components listed for mandatory testing as set out in Appendix IV attached to this Circular when there are concerns about quality;

6. Summarize results of motor vehicle quality and safety technical certification and environmental protection work to periodically report to the Ministry of Transport.

Article 18. Responsibilities of Production Facilities

1. Establish a quality management system to ensure the maintenance of quality for mass-produced products;

2. Fulfill the responsibility of recalling products with technical defects as stipulated in this Circular;

3. Fully cooperate with the Quality Control Authority during inspections and examinations regarding product quality.

Article 19. Fees and Charges:

The Quality Control Authority and Testing Facilities are entitled to collect fees as currently prescribed by the Ministry of Finance.

Article 20. Implementation

The Director of the Ministry's Office, the Inspector General of the Ministry, Heads of Departments, the Director of the Vietnam Motor Vehicle Inspection Bureau, Heads of agencies, organizations, and individuals related shall be responsible for implementing this Circular./.