Circular No. 36/2014/TT-BKHCN on the activities of training management system auditors and product certification auditors of conformity assessment bodies

 CIRCULAR

Regulations on the training activities for system management assessment experts and product certification assessment experts of conformity assessment organizations

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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 implementation of certain provisions of the Product Quality Law;

Pursuant to Decree No. 20/2013/NĐ-CP dated February 26, 2013 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Science and Technology;

At the proposal of the General Director of the Standardization, Metrology and Quality Control Department;

The Minister of Science and Technology stipulates the training activities for system management assessment experts and product certification assessment experts of conformity assessment organizations.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation

Article 1. This Circular stipulates the training activities for system management assessment experts and product certification assessment experts of conformity assessment organizations, including:

a) Competence requirements for training institutions;

b) Procedures and formalities for announcing the competence to operate of training institutions;

c) Responsibilities of the supervisory authority and training institutions.

Article 2. This Circular does not apply to internal audit training courses.

Article 2. Applicability

This Circular applies to:

1. Conformity assessment organizations;

2. Training institutions for system management assessment experts and product certification assessment experts that wish to have their training certificates recognized by the supervisory authority.

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Article 3. Explanation of Terms

This Circular applies the terms and definitions in the national standard TCVN ISO/IEC 17000:2007 Conformity Assessment - Vocabulary and General Principles, TCVN ISO/IEC 17065 Conformity Assessment - Requirements for Product Certification Bodies, Processes and Services, TCVN ISO/IEC 17021:2011 Conformity Assessment - Requirements for Bodies Providing Audit and Certification of Management Systems and the following terms:

1. Training Program Curriculum

2. Detailed training outline is a document specifying the purpose, content knowledge and skill requirements, overall structure of the course, teaching plan, ratio between training contents, theory and practice, assignments and (or) discussions, evaluation methods and issuance of training certificates for specific standards.

3. Training Course Detailed training outline

Chapter II
SPECIFIC PROVISIONS

is a document detailing the knowledge and skill requirements for each training content specified in the curriculum.

Course module

Article 4. Competence requirements for training institutions

System management assessment experts and product certification assessment experts of certification organizations must be trained by training institutions meeting the following requirements:

1. Established in accordance with the law and having functions to operate in the field of training;

2. Have established and implemented a Quality Management System according to the national standard TCVN ISO 9001 for the scope of training;

3. Always having at least one full-time staff member (civil servant or laborer under a contract of 12 months or more) for system management assessment training courses or product certification assessment training courses and meeting the competence requirements stipulated in Article 5 of this Circular;

In cases where necessary, training institutions may hire instructors who meet the requirements stipulated in Article 5 of this Circular;

Article 5. Requirements for instructors

1. Hold a bachelor's degree or higher.

2. Have expertise relevant to the training field.

3. Possess minimum qualifications equivalent to those of a lead assessor for training standards.

4. Have at least seven (7) years of work experience since graduation from university and have conducted a minimum of thirty (30) assessments as a lead assessor.

Article 6. Requirements for the training program and curriculum

1. The training institution must develop a detailed training program and curriculum that at least covers the basic contents prescribed in Appendix I attached to this Circular for each training course.

2. The duration of the training course for system management assessors or product certification assessors shall be a minimum of five (5) days, with a minimum of three (3) days dedicated to assessment skills training.

3. Requirements for mid-course testing, final examination, and issuance of training certificates:

a) Mid-course testing shall be conducted through short tests, multiple-choice questions, or group discussions to evaluate performance.

b) Final examinations shall consist of written tests including essay and multiple-choice sections or a combination thereof. The final test will be scored out of 100 points, with passing scores being 70 points or above.

c) At the end of the training course, the training institution will issue a training certificate based on the participant's training participation, mid-course test results, and final examination results if they meet the requirements.

Article 7. Procedures and formalities for announcing sufficient capacity to conduct training activities

1. Training institutions meeting the requirements set forth in Articles 4, 5, and 6 of this Circular shall prepare one (1) set of application documents for announcing sufficient capacity to conduct training activities and submit them directly or send them via postal service to the National Standardization, Metrology and Quality Control Department. The application documents include:

a) A declaration of sufficient capacity to conduct training activities according to the form prescribed in Appendix II attached to this Circular;

b) Copies of the establishment decision, business registration certificate, or investment certificate (in cases where the application is submitted directly, unattested copies must be accompanied by original documents for verification; in cases where the application is sent via postal service, the training institution must submit attested copies);

c) Documentation proving the implementation of a quality management system according to the national standard TCVN ISO 9001 for the scope of training;

d) Detailed programs and curricula for each training course;

đ) Lists of instructors meeting the requirements stipulated in Clause 3, Article 4, and Article 5 of this Circular for each training course, along with supporting documentation of their qualifications.

2. Processing the application dossier:

a) Within five (5) working days from the date of receipt of the application documents, if the documents are incomplete, the training institution will be notified to supplement the documents. If the documents are not supplemented within fifteen (15) working days from the date of notification to supplement, the National Standardization, Metrology and Quality Control Department has the right to cancel the processing of these documents.

b) Within fifteen (15) working days from the date of receipt of complete and valid documents, the National Standardization, Metrology and Quality Control Department will review the documents and issue a Notice of Acceptance of Application for Announcing Sufficient Capacity to Conduct Training Activities to the institution according to the form prescribed in Appendix III attached to this Circular if the institution meets the requirements. The validity period of the Notice of Acceptance shall not exceed three (3) years from the date of issuance.

c) In cases where the requirements are not met, the training institution will be notified in writing of the reasons for non-acceptance of the application within the time limit specified in point b, Clause 2.

Article 8. Procedures for announcing supplementary and adjusted training scope

1. Training institutions that have been notified of acceptance of the filing to announce sufficient capacity for training activities and wish to make supplementary or adjusted announcements of their training scope shall prepare one set of supplementary announcement filing materials and submit them directly or send them via postal service to the General Department of Standardization, Metrology and Quality Control. The filing materials shall include the documents specified in points a and d, Clause 1, Article 7 of this Circular.

2. The General Department of Standardization, Metrology and Quality Control shall process the filing in accordance with Clause 2, Article 7 of this Circular.

Article 9. Suspension and Revocation of Acceptance Notification

1. The effectiveness of the Acceptance Notification shall be suspended when the training institution violates any of the following cases:

a) Failure to comply with the provisions of this Circular and other regulatory legal documents, as well as related guidance from the General Department of Standardization, Metrology and Quality Control;

b) Failure to comply with the prescribed training procedures;

c) Failure to maintain the organizational structure and capacity announced according to the requirements of the corresponding standard.

2. The Acceptance Notification of a training institution shall be revoked in the following cases:

a) Being dissolved, declared bankrupt, or seriously violating current laws;

b) Repeated violations that seriously affect compliance with the provisions of this Circular, relevant regulatory legal documents, requirements for training institutions, and prescribed training procedures;

c) Using false or inaccurate documents to announce training activities;

d) Falsifying training documents;

đ) Issuing training certificates without conducting training activities;

e) Being suspended but failing to complete corrective actions within the suspension period stated in the suspension notice;

g) Failure to comply with inspection and audit requirements of competent state management agencies.

3. Depending on the severity of the violation, a training institution whose Acceptance Notification has been revoked will have its training results nullified and may only reapply for an Acceptance Notification two years after the revocation notice and after completing corrective measures. In cases where training results are nullified, the training institution is responsible for compensating losses to organizations and individuals who paid training fees.

Chapter III
RIGHTS AND RESPONSIBILITIES OF MANAGEMENT AUTHORITIES AND TRAINING INSTITUTIONS

Article 10. Rights and Responsibilities of the General Department of Standardization, Metrology and Quality Control

1. Managing and guiding the issuance of notifications of acceptance of filings to announce sufficient capacity for training activities as stipulated in this Circular.

2. Announcing on the General Department of Standardization, Metrology and Quality Control's website the list of institutions that have been granted, suspended, or had their Acceptance Notifications revoked.

3. Conducting audits and inspections of training activities at training institutions and handling violations according to their authority as stipulated in this Circular and relevant laws.

Article 11. Rights and Responsibilities of Training Institutions

1. The results of training for system management assessors and product certification assessors of certification organizations will be considered and approved by the competent state management agency during administrative procedure processing if the training institution has announced sufficient capacity for training activities as stipulated in this Circular.

2. Adhering to the announced training programs, contents, and training regulations as stipulated in this Circular and relevant laws.

3. Using the correct teaching staff as per the announced filing.

4. Retaining complete training records in accordance with the law.

5. Announcing on the training institution's website information about completed training courses, including course names and implementation times.

6. Issuing training certificates to trainees who have completed the training courses.

7. Reporting to the General Department of Standardization, Metrology and Quality Control on changes affecting the operational capacity of the training institution.

8. Adhering to inspection and audit requirements of competent state agencies.

9. Submitting annual reports or ad hoc reports as required by the General Department of Standardization, Metrology and Quality Control in November each year. The report content includes:

a) A list of training courses conducted in the last twelve months or as required by the report;

b) A list of participants in the conducted training courses;

c) Any recommendations or proposals (if applicable).

10. Fulfilling other rights and obligations as stipulated by law.

Chapter IV
IMPLEMENTING PROVISIONS

Article 12. Effective Date

This Circular takes effect from April 15, 2015.

Article 13. Implementation Organization

1. The Director of the General Department of Standardization, Metrology and Quality Control is responsible for guiding, inspecting, and organizing the implementation of this Circular.

2. During implementation, if issues arise or difficulties occur, organizations and individuals are advised to report in writing to the Ministry of Science and Technology for research and resolution.

 

ANNEX I

BASIC CONTENT OF THE TRAINING PROGRAM
(Annexed to Circular No. 36/2014/TT-BKHCN dated December 12, 2014 issued by the Minister of Science and Technology)

CHAPTER TRAINING PROGRAM FOR SYSTEM ASSESSMENT MANAGEMENT COMPLIANT WITH STANDARDS/CERTIFICATION PRODUCTS COMPLIANT WITH STANDARDS

1. General introduction to the training course:

a) Objectives of the training course

b) Introduction to Standards (on management systems/products)

c) Training methods

d) Methods for evaluating the training course results

2. Knowledge requirements of participants before attending the course

3. Learning objectives of participants

4. Knowledge and skills acquired after the training course

5. Training methods

6. Course content:

a) Basic purposes of the standards in the training course, explaining principles, procedures, and techniques used for assessment,

b) Explanation of purpose, content:

- Standards on management systems or quality assurance systems (for product certification training courses)

- Practical application

- Standard implementation procedures

- Relevant legal framework for certification activities

- Assessment skills

c) Explanation of the role of assessors in standard-based assessment processes according to ISO 19011.

d) Explanation of standard requirements

đ) Sampling methods and approaches (for product certification assessor training courses)

e) Planning, conducting, and reporting an assessment according to ISO 19011 and related standards

g) Other contents (if any)

7. Duration of the training course

8. Requirements for instructors:

a) Instructor capability and skill requirements

b) Minimum and maximum number of participants for a course

c) Number of instructors appropriate for the number of participants in a course

9. Participant evaluation and examination organization:

a) Completion of the course evaluation

b) Course management and evaluation

c) Examination management and organization

d) Regulations on issuing certificates

10. Necessary facilities and equipment for the training course.

 

ANNEX II

SAMPLE ANNOUNCEMENT OF CAPABILITY TO IMPLEMENT TRAINING ACTIVITIES
(Annexed Decision No. 36/2014/TT-BKHCN dated December 12, 2014, of the Minister of Science and Technology)

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ANNOUNCEMENT OF CAPABILITY TO IMPLEMENT TRAINING ACTIVITIES

Name of organization:...

Email address

Telephone:…Fax:…Email:…

ANNOUNCED:

Capable of implementing training activities for system assessment experts / product certification assessment experts according to the standard: …(specific standard name).

We hereby commit to ensuring capability and taking responsibility for training activities in accordance with relevant legal requirements./.

 

 

ANNEX III

SAMPLE NOTICE OF ACCEPTANCE OF ANNOUNCEMENT OF CAPABILITY TO IMPLEMENT TRAINING ACTIVITY DOCUMENTS
(Annexed to Circular No. 36/2014/TT-BKHCN dated December 12, 2014 issued by the Minister of Science and Technology)

 

NOTICE

Regarding acceptance of announcement of capability to implement training activities

The National Standardization Center confirms receipt of the announcement of capability to implement training for system assessment experts and/or product certification assessment experts of: … (training institution name)…………………………. address: …Telephone/Fax: …Email: …for the standard: … (specify the standard name)This notice is effective for three years from the date of signature.

This notice records the commitment of (Training institution name) …to comply with the requirements for implementing training activities for assessment experts.

(Training institution name)…must fully take responsibility for the compliance of training courses with current regulations./.