Circular No. 02/2017/TT-BKHCN dated March 31, 2017 of the Ministry of Science and Technology on amending a number of Articles of the Circular No. 28/2012/TT-BKHCN dated November 12, 2012 of the Ministry of Science and Technology on declaration of standard conformity and technical-regulation conformity and methods for conformity assessment

THE MINISTRY OF SCIENE AND TECHNOLOGY 

Circular No. 02/2017/TT-BKHCN dated March 31, 2017 of the Ministry of Science and Technology on amending a number of Articles of the Circular No. 28/2012/TT-BKHCN dated November 12, 2012 of the Ministry of Science and Technology on declaration of standard conformity and technical-regulation conformity and methods for conformity assessment

Pursuant to Law on Standards and Technical Regulations dated June 29, 2006;

Pursuant to Law on quality of products and goods dated November 21, 2007;

Pursuant to the Government’s Decree No. 127/2007/ND-CP dated August 01, 2007 on providing guidelines for certain articles of Law on Standards and Technical Regulations;

Pursuant to the Government’s Decree No. 132/2008/ND-CP dated November 31, 2008 on providing guidelines for certain articles of Law on quality of products and goods;

Pursuant to the Government’s Decree No. 20/2013/ND-CP dated February 26, 2013 on functions, duties, powers and organizational structure of the Ministry of Science and Technology

At the request of the Director of the Directorate for Standards, Metrology and Quality and Director of Department of Department of Legislation;

The Minister of Science and Technology promulgates the Circularon amending a number of Articles of the Circular No. 28/2012/TT-BKHCN dated November 12, 2012 of the Ministry of Science and Technology on declaration of standard conformity and technical-regulation conformity and methods for conformity assessment

Article 1.  To amend a number of articles of the Circular No. 28/2012/TT-BKHCN dated November 12, 2012 of the Minister of Science and Technology on declaration of standard conformity and technical-regulation conformity and methods for conformity assessment. To be specific:

1.To amend Clauses 3 and 5 of Article 3 and to add Clause 6 of Article 3 as follows:

“3. “Registered certifying organization”means an organization that has already registered itscertification activities in accordance with regulations of the Government’s Decree No. 107/2016/ND-CP

5.“Testing organization” means an organization that has already registered its testing activities in accordance with regulations of the Government’s Decree No. 107/2016/ND-CP.

6.“Receiving authority”means a specialized authority that is appointed by the supervisory Ministry or the People’s Committee of the province to receive applications for registration of the declaration of conformity”.”

2.To amend Article 12 as follows:

“Article 12. Principles of declaration of technical-regulation conformity

1.Declaration of technical-regulation conformity are used for products, goods, services, processes, environment specified in the national technical regulations promulgated by supervisory Ministries or specified in the local technical regulations promulgated by People’s Committees of provinces. Declaration of technical-regulation conformity is compulsory.

2.Supervisory Ministries shall determine products and goods included in group 2, introduce respective national technical regulations and management measures for announcing the technical-regulation conformity prescribed in national technical regulations after reaching agreement with the Ministry of Science and Technology.

3.Declaration of technical-regulation conformity of imports prescribed in this Circular means the importer implementing regulations on state inspection in term of quality of imports.

4.The declaration of technical-regulation conformity shall be made according to:

a) Results of self-assessment of conformity made by an applicant (hereinafter referred to as “results of self-assessment");

b) Results of certification given by a certifying organization registered or recognized in accordance with regulations of law.

c) Results of certification given by an appointed certifying organization

Testing for declaration of technical-regulation conformity shall be carried out by a testing organization that has registered or has been recognized in accordance with regulations of law.

If results of conformity assessment given by a foreign conformity-assessing organization are used, this foreign organization shall be recognized in accordance with regulations of law or appointed by a competent authority.

5.If a product is regulated by different technical regulations, the applicant shall submit the declaration of conformity to respective receiving authorities. A technical-regulation conformity marking is only used if this product is gone through adequate management measures prescribed in respective technical regulations".

3.To amend Article 13 as follows:

“Article 13. Procedures for declaration of technical-regulation conformity

1.Regarding declaration of technical-regulation conformity made according to results of self-assessment

a) Regarding domestic products and goods;

-The manufacturer shall submit an application for registration of declaration of conformity as prescribed in Article 14 of this Circular to a receiving authority for declaration of technical-regulation conformity according to results of self-assessment ;

-After the application is submitted to the receiving authority, the manufacturer is allowed to sell goods.

b) Regarding imports:

-The importer shall make an application for inspection of quality of imports containing the following information: name, address, phone number and fax of the importer; names, trademarks and types, technical characteristics, origins, producers, volume and quantity of imports; border checkpoint of import; time of import; contract; packing list; invoice; B/L; declaration of imports; number of the technical regulations applied; a statement that the quality of imports is conformable with applied standards and technical regulations and the importer shall take legal responsibility for quality of imports;

Within 1 working day, the receiving authority shall certify that the importer has submitted the application for inspection of quality of imports and specify this content in the application form;

-The importer shall submit the application form certified by the receiving authority to the customs authority for custom clearance;

-Within 15 working days from the date of custom clearance, the importer shall submit results of self-assessment prescribed in Point b, Clause 1 Article 14 of this Circular to the receiving authority.

The importer shall take responsibility for the results of self-assessment and ensure the conformity of imports with applied standards and technical regulations. If the imports are not conformable with applied standards and technical regulations, the importer shall promptly submit a report to the receiving authority and concurrently treat and recover these imports in accordance with regulations of law.

2.Regarding declaration of technical-regulation conformity made according to results of assessment given by a registered or recognized certifying organization (hereinafter referred to as “certifying organization”)

a) Regarding domestic products and goods;

-The manufacturer shall submit an application for registration of declaration of conformity prescribed in Article 14 of this Circular to the receiving authority for declaration of technical-regulation conformity according to results of assessment given by certifying organizations;

-After the receiving authority issues a notification of receipt of the application, the manufacturer is allowed to sell the goods.

b) Regarding imports:

-The importer shall make an application for inspection of quality of imports containing the following information: name, address, phone number and fax of the importer; names, trademarks and types, technical characteristics, origins, producers, volume and quantity of imports; border checkpoint of import; time of import; contract; packing list; invoice; B/L; declaration of imports; number of the technical regulations applied; a statement that the quality of imports are conformable with applied standards and technical regulations and the importer shall take legal responsibility for quality of imports.

Within 1 working day, the receiving authority shall certify that the importer has submitted the application for inspection of quality of imports and specify it in the application form;

-The importer shall submit the application form certified by the receiving authority to the customs authority for custom clearance;

-Within 15 working days from the date of custom clearance, the importer shall submit a certified copy of the certificate of conformity with technical regulations to the receiving authority.

If the imports have been assessed by a certifying organization in the exporting country, within 3 working days from the date of custom clearance, the importer shall submit a certified copy of the certificate of conformity with technical regulations to the receiving authority.

The importer shall take responsibility and ensure the conformity of imports with applied standards and technical regulations. If the imports are not conformable with applied standards and technical regulations, the importer shall promptly submit a report to the receiving authority and concurrently treat and recover these imports in accordance with regulations of law.

3.Regarding declaration of technical-regulation conformity made according to results of assessment made by appointed certifying organizations

a) Regarding domestic products and goods;

-The manufacturer shall submit an application for registration of declaration of conformity prescribed in Article 14 of this Circular and a certified copy of the certificate of conformity with technical regulations issued by the appointed certifying authority to the receiving authority for receiving notification of receipt of the application;

-After receiving the abovementioned notification, the manufacturer is allowed to sell the goods.

b) Regarding imports:

-The importer shall make an application for inspection of quality of imports containing the following information: name, address, phone number and fax of the importer; names, trademarks and types, technical characteristics, origins, producers, volume and quantity of imports; border checkpoint of import; time of import; contract; packing list; invoice; B/L; declaration of imports; number of the technical regulations applied; a statement that the quality of imports shall be conformable with applied standards and technical regulations and the importer shall take legal responsibility for quality of imports enclosed with a certified copy of the certificate of conformity with technical regulations issued by the appointed certifying authority;

-The receiving authority shall issue a notification of results of state inspection in term of quality of imports.

-After receiving the abovementioned notification, the importer shall submit a certified copy of this notification to the customs authority for custom clearance.

4.The receiving authorities prescribed in Clauses 1, 2 and 3 of this Article 3 shall process the applications for registration of declaration of conformity prescribed in Article 15 of this Circular”.

4.To amend Article 14 as follows:

“Article 14. Applications for registration of declaration of conformity

The applicant shall compile the technical-regulation conformity documentation and submit it person or send it by post to the receiving authority. Composition of the documentation:

1.If the declaration of technical-regulation conformity is made according to results of self-assessment made by the applicant (the first party), the documentation shall contain

a) A declaration of technical-regulation conformity using the specimen No. 2. CBHC/HQ prescribed in Appendix III of the Circular No. 28/2012/TT-BKHCN which contains supplementary contents prescribed in Clause 7 Article 1 of this Circular);

b) A report on self-assessment which contain:

-Name, address, phone number and fax of the applicant;

-Name of products or goods;

-Number of the technical regulations applied;

-Conclusion that the products or goods are compliant;

-A statement that the quality of imports is conformable with applied standards and technical regulations and the applicant shall take legal responsibility for quality of imports and results of self-assessment.

Report on self-assessment shall be made according to results of self-assessment made by the applicant or results of assessment made by a registered conformity-assessing organization.

2.If the declaration of technical-regulation conformity is made according to results of certification given by a registered certifying organization or appointed certifying organization (the third party), the documentation shall consist of:

a) A declaration of technical-regulation conformity using the specimen No. 2. CBHC/HQ prescribed in Appendix III of the Circular No. 28/2012/TT-BKHCN which contains supplementary contents prescribed in Clause 7 Article 1 of this Circular;

b) A certified copy of the certificate of conformity with technical regulations and sample of the technical-regulation conformity marking issued to the applicant by the registered certifying organization or appointed certifying organization.”

5.To amend Clause 7, Article 16 as follows:

“7. Provide certified copies of the respective documents prescribed in Clauses 2 and 3 Article 13 of this Circular (including a notification of receipt of applications for registration of declaration of conformity, certificate of conformity with technical regulations or notification of results of state inspection in term of quality of imports) for traders of products, goods, services, processes or environment or take suitable measures for ensuring that traders of products, goods, services, processes or environment can trace their origins and find information on conformity of their products, goods or services with the applied standards and technical regulations".

6.To amend Article 17 as follows:

a) To add Point dd to Clause 1 Article 17 as follows:

“dd) Take charge and cooperate with the Ministry of Science and Technology in determining products and goods included in group 2, national technical regulations and selecting respective management measures according to the principles of declaration of technical-regulation conformity prescribed in Clause 2 Article 1 of this Circular”.

b) To amend Point d Clause 1 Article 17 as follows:

“d) Submit annual reports (in December every year) (and ad hoc reports if requested) on receipt of applications for registration of declaration of conformity using the specimen No. 4. BCTNHS prescribed in Appendix III of the Circular No. 28/2012/TT-BKHCN to the Ministry of Science and Technology for reporting to the Prime Minister".

c) To amend Point a Clause 2 Article 17 as follows:

“a) Assist the Ministry of Science and Technology in ensuring consistency in management and providing instructions on conformity assessment, declaration of standard conformity and declaration of technical-regulation conformity. Cooperate with supervisory Ministries in determining goods and products included in group 2, national technical regulations and selecting respective management measures managed by supervisory Ministries according to the principles of declaration of technical-regulation conformity prescribed in Clause 2 Article 1 of this Circular”.

d) To amend Point b Clause 3 Article 17 as follows:

“b) Submit annual reports (in December every year) (and ad hoc reports if requested) on receipt of applications for registration of declaration of conformity by receiving authorities to the supervisory Ministry and relevant People’s Committee of the province”

dd) To amend Points b and d Clause 4 Article 17 as follows:

“b) Regularly update the receipt of applications for registration of declaration of conformity and publish the following information on its website:

-Name of the applicant;

-The products

-Number of the technical regulations applied;

-Type of assessment: The assessment by the first party (name of the applicant) or the third party (name of the certifying organization or appointed certifying organization)",

d) Submit annual reports (in December every year) (and ad hoc reports if requested) on receipt of applications for registration of declaration of conformity using the specimen No. 4. BCTNHS prescribed in Appendix IIII of the Circular No. 28/2012/TT-BKHCN to the supervisory authority”.

e) To amend Points b and d Clause 5 Article 17 as follows:

“b) Receive and manage applications for registration of declaration of conformity; cancel, suspend results of receipt of applications for registration of declaration of conformity for products, goods, services, processes or environment managed by the national technical regulations which are promulgated by the Ministry of Science and Technology and the local technical regulations related to areas under their management; regularly update the receipt of applications for registration of declaration of conformity and publish the following information on the website of Departments of Science and Technology or Sub-Department of Standards, Metrology and Quality of the province:

-Name of the applicant;

-The products;

-Number of the technical regulations applied;

-Type of assessment: The assessment made by the first party (name of the applicant) or the third party (name of the certifying organization or appointed certifying organization).

d) Submit annual reports (in December every year) (and ad hoc reports if requested) on receipt of applications for registration of declaration of conformity using the specimen No. 4. BCTNHS prescribed in Appendix III of the Circular No. 28/2012/TT-BKHCN to the Directorate for Standards, Metrology and Quality in accordance with regulations in Points and b of this Clause”.

7.To add the following contents to the specimen No. 2. CBHC/HQ prescribed in Appendix III of the Circular No. 28/2012/TT-BKHCN:

“- Types of assessment:

+ Assessment made by a certifying organization (the third party): Name of the certifying organization or appointed certifying organization, number of its certificate and date of issuance thereof;

+ Self-assessment (the first party): the day on which the applicant signs the report on self-assessment”.

Article 2. Effect

1.This Circular takes effect on May 15, 2017.

2.Notifications of receipt of applications for registration of declaration of conformity will remain their effect until the expiry date of the issued notification.

Article 3. Implementationorganization

1.Ministers, heads of ministerial agencies, Chairmen/Chairwomen of People s Committees of provinces and central-affiliated cities shall implement this Circular.

2.The Director of the Directorate for Standards, Metrology and Quality shall instruct and organize the implementation of this Circular.

3.Any problems arising in the course of implementation of this Circular shall be reported in writing to the Ministry of Science and Technology for instructions.

For the Minister

The Deputy Minister

Tran Viet Thanh