Circular 05/2020/TT-BGTVT amending Circular 03/2018/TT-BGTVT

CIRCULAR

Amending and supplementing a number of articles of Circular No. 03/2018/TT-BGTVT of January 10, 2018, prescribing technical safety quality and environmental protection inspection for imported automobiles regulated by Decree No. 116/2017/ND-CP^[1]

Pursuant to the November 13, 2008 Law on Road Traffic;

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

Pursuant to the June 23, 2014 Law on Environmental Protection;

Pursuant to the Government’s Decree No. 132/2008/ND-CP of December 31, 2008, detailing a number of articles of the Law on Product and Goods Quality; the Government’s Decree No. 74/2018/ND-CP of May 15, 2018, amending and supplementing a number of articles of Decree No. 132/2008/ND-CP, and Decree No. 154/2018/ND-CP of November 9, 2018, amending, supplementing or annulling a number of provisions on investment and business conditions in the fields under the state management by the Ministry of Science and Technology and a number of provisions on specialized inspection;

Pursuant to Decree No. 69/2018/ND-CP of May 15, 2018, detailing a number of articles of the Law on Foreign Trade Management;

Pursuant to the Government’s Decree No. 116/2017/ND-CP of October 17, 2017, prescribing conditions for manufacture, assembly and import of automobiles and provision of automobile warranty and maintenance services;

Pursuant to the Government’s Decree No. 17/2020/ND-CP of February 15, 2020, amending and supplementing a number of articles of the Decrees concerning business investment conditions in the fields under the state management by the Ministry of Industry and Trade;

Pursuant to the Government’s Decree No. 12/2017/ND-CP of February 10, 2017, defining functions, tasks, powers and organizational structure of the Ministry of Transport;

Pursuant to the Prime Minister’s Decision No. 16/2019/QD-TTg of March 28, 2019, providing the roadmap for application of emission standards for in-use automobiles and imported used automobiles;

At the proposal of the Director of the Science and Technology Department and Director General of the Vietnam Register;

The Minister of Transport promulgates the Circular amending and supplementing a number of articles of Circular No. 03/2018/TT-BGTVT of January 10, 2018, prescribing technical safety quality and environmental protection inspection for imported automobiles regulated by Decree No. 116/2017/ND-CP.

Article 1.To amend and supplement a number of articles of the Minister of Transport’s Circular No. 03/2018/TT-BGTVT of January 10, 2018, prescribing technical safety quality and environmental protection inspection for imported automobiles regulated by Decree No. 116/2017/ND-CP (below referred to as Circular No. 03/2018/TT-BGTVT), as follows:

1. To amend Clause 11, Article 3 as follows:

“1.Certificates of qualitymean papers provided in Forms No. 01, 02 and 03 of the Appendix to this Circular.”

2. To amend Point dd, Clause 2, Article 4 as follows:

“dd/ A copy of the valid document on results of assessment of quality assurance conditions of automobiles issued by inspection agencies for types of imported products of foreign automobile manufacture and assembly establishments (applicable only to imported automobiles that are manufactured in countries applying the type-based certification method specified in Form No. 05 provided in the Appendix to this Circular).”.

3. To amend Clause 2, Article 5 as follows:

“2. Imported brand-new automobiles shall be inspected by the quality inspection agency as follows:

a/ Sample automobile inspection and testing method

Sample automobile inspection and testing method applies to automobiles imported into Vietnam for the first time, with the subsequent cycle of sample automobile inspection and testing of automobiles imported from countries applying the type-based certification system specified in Form No. 06 provided in the Appendix to this Circular and the cycle applicable to automobiles imported from countries applying the self-certification system being 36 months. Contents of inspection and testing are as follows:

- Inspecting consistency of contents of ex-works quality inspection sheets and type uniformity of actual automobiles in import lots; status of chassis and engine numbers of each automobile in imported automobile lots based on inspection registration dossiers; taking random automobile samples representing each type in imported lots for comparing technical specifications of these automobiles with those declared in inspection registration dossiers;

- The inspection agency shall take one random sample or two random samples of automobiles (in case the importing enterprise requests one sample for safety test and another for emission test) representing each type in imported lots of automobiles already inspected, then the importing enterprise shall bring by itself automobiles to the testing establishment. The sample taking shall be recorded in minutes according to Form No. 04 provided in the Appendix to this Circular and presented by the importing enterprise to the testing establishment. The exhaust emission test must comply with national technical regulation QCVN 86: 2015/BGTVT onthe fourth level of emissions for new assembled, manufactured and imported automobiles(excluding evaporation test). Technical safety quality test must comply with national technical regulations QCVN 09: 2015/BGTVTon technical safety quality and environmental protection for automobiles; QCVN 10:2015/BGTVT ontechnical safety quality and environmental protection for urban buses; and QCVN 82:2014/BGTVTon urban buses for easy access by people with disabilities, and current relevant regulations (excluding tests of rear mirrors, glass, head lamps, tires, alloy wheel rims, fireproof materials and fireproof safety structures).

b/ Probability inspection method

Probability inspection method applies to imported lots of automobiles that are not subject to sample automobile inspection and testing method. The inspection contents are as follows:

Inspecting consistency of contents of ex-works quality inspection sheets; status of chassis and engine numbers of each automobile in imported lots of automobiles based on inspection registration dossiers; to take 1 random sample of automobiles of each type to inspect and compare automobile technical specifications and actual structure with emission test and inspection reports made in accordance with the Prime Minister’s Decision No. 16/2019/QD-TTg of March 28, 2019, prescribing the roadmap for application of emission standards for in-use automobiles and imported used automobiles.

c/ Inspection and comparison of actual structure of sample automobiles against test reports mentioned at Point b of this Clause may be replaced by structure inspection and comparison of sample automobiles against automobiles for which test reports are issued via the manufacturer’s software. In case inspected sample automobiles have technical specifications or structure different from test reports and are inconsistent with the principle of determination of automobiles of the same type specified in Appendix II to this Circular, the sample automobile inspection and testing method shall be applied. In case the emission structure is different from the emission test report but still complies with the principle of determination of automobiles of the same type specified in Appendix II to this Circular, the emission test shall be carried out, except in case the emission-related component codes have changed but the documentation of the automobile manufacturer is available or modified components do not change emission-related functions and structures.

d/ Assessment of quality assurance conditions of foreign automobile manufacture and assembly enterprises for manufacture plants shall be carried out as follows:

The quality management agency shall perform customer oriented process (COP) assessment according to the criteria stated in IATF 16949 standard “Quality management system requirements for automotive manufacture and parts-related service  organizations”, including the following contents:

- Assessing completeness and appropriateness of manufacture and assembly guiding processes and quality inspection guiding processes suitable to types of manufactured automobiles from the stage of input component quality control and stage-by-stage quality control to ex-works quality inspection; process of remedying and preventing errors; process of archiving and controlling automobile quality inspection dossiers. The assessment of inspection items and ex-works quality inspection standards must comply with regulations of foreign automobile manufacturers to ensure that mass manufactured automobiles conform with testing samples;

- Assessing actual operation of the quality inspection system in the process of manufacture, assembly and quality inspection of automobiles; traceability of supplies, components and manufacture and ex-works time of automobiles;

- Assessing automobile quality inspection operation and use of ex-works quality inspection equipment undertaken by quality inspection technicians.

After assessing the above-mentioned contents, the inspection agency shall notify in writing COP evaluation results and scheduled follow-up assessment to importing enterprises and manufacturing establishments. The follow-up assessment period shall be 36 months from the date of notification of satisfactory COP assessment results.

COP assessment shall be exempted in case the type of imported automobiles manufactured and assembled at the same factory of the foreign manufacturing establishment has undergone COP assessment, provided that technological process and inspection process see no fundamental changes or are simpler than technological process and inspection process for the previously assessed product type.

dd/ For types of imported automobiles manufactured in countries applying the self-certification management method specified in Form No. 05 provided in the Appendix to this Circular, inspection agencies shall, periodically during the 36-month period, assume the prime responsibility for, and coordinate with importing enterprises in, taking random samples at agents or warehouses and storing yards of importing enterprises (belonging to goods lots for which import procedures have been completed) for technical safety and environmental protection testing for each type of automobiles. The sample taking must be recorded in minutes according to Form No. 04 provided in the Appendix to this Circular for importing enterprises to produce when they work with testing establishments. In case testing results fail to meet requirements, the importing enterprise shall carry out a product recall in accordance with law while subsequent import goods lots of the same automobile type must comply with Point h, Clause 2 of this Article.

e/ Automobiles having quality conformity certification results imported from countries and territories that have signed mutual recognition agreements with Vietnam in the field of motor vehicle quality certification must comply with such agreements.

g/ In case types of imported automobiles manufactured in countries using the type-based certification method have not yet been assessed regarding quality assurance conditions by the inspection agency under Point d of this Clause, or types of imported automobiles manufactured in countries that do not apply the type-based certification method or self-certification management method, the sample automobile inspection and testing method shall be applied.

h/ For types of automobiles of which sample automobile inspection and testing results fail to meet requirements, the sample automobile inspection and testing method shall be applied to subsequent 3 import lots of the same type. If testing results of 3 consecutive import lots of the same type meet requirements, the cycle of application of the sample automobile inspection and testing method for subsequent import lots must comply with Form No. 06 provided in the Appendix to this Circular.

i/ In case of grounded complaints related to technical safety quality and environmental protection, the quality inspection agency shall apply the sample automobile inspection and testing method for same-type automobiles of  subsequent import lots. If inspection and testing results meet requirements, the cycle of application of the sample automobile inspection and testing method must comply with Form No. 06 provided in the Appendix to this Circular. In case testing results fail to meet requirements, the provisions of Point h, Clause 2 of this Article shall apply to subsequent same-type import lots.”

4. To amend and supplement Clauses 1 and 5, Article 6 as follows:

a/ To amend and supplement Clause 1, Article 6 as follows:

“1. Submission of inspection registration dossiers

a/ An importing enterprise shall make 1 set of inspection registration dossier as prescribed by law and submit it directly or according to electronic inspection and certification procedures to the inspection agency. At the time of inspection registration, it shall submit the documents specified at Points a thru e, Clause 1, Article 4 of this Circular, for used automobiles; or the documents specified at Points a and Points c thru i, Clause 2, Article 4 of this Circular, for brand-new automobiles; and a copy of the import declaration, for paper dossiers, or number and date of the import declaration, for e-dossiers, which shall be submitted when physical inspection is requested; remaining documents of the dossier shall be added before the inspection agency issues a certificate of quality;

b/ A copy of every ex-works quality inspection sheet shall be submitted online for each type and original sheets for all automobiles shall be additionally submitted to the inspection agency before the physical inspection of automobiles is carried out.

c/ An importing establishment having an automobile type that has been granted a certificate of technical safety quality and environmental protection for imported motor vehicles in accordance with this Circular is exempted from submission of the documents specified at Points c and i, Clause 2, Article 4, and copies of documents on results of assessment of quality assurance conditions specified at Point d, Clause 2, Article 4, of this Circular. It shall provide the serial number of such certificate granted for the same-type automobile, which is included in the first-time inspection registration dossier and has sufficient documents in accordance with regulations so that the inspection agency may have grounds to retrieve documents to serve inspection.”

b/ To amend and supplement Clause 5, Article 6 as follows:

“5. Grant of certificates of quality

Within 4 working days after finishing the test and receiving all relevant documents for use as a basis for certification, the inspection agency shall grant a certificate of quality (paper or electronic one) as follows:

a/ It shall grant a certificate of technical safety quality and environmental protection, made according to Form No. 01 provided in the Appendix to this Circular, for each imported motor vehicle in the import lot. Particularly for tested sample automobiles, such a certificate must contain a note: “This vehicle has been used for testing in Vietnam”;

c/ It shall issue a notice of non-conformity with technical safety quality and environmental protection requirements for imported motor vehicles, made according to Form No. 02 provided in the Appendix to this Circular, and send it to the custom office for settlement under regulations, for same-type automobiles in the import lot for which either or both of results of the emission and safety quality are unsatisfactory; used automobiles for which results of physical inspection testing is or are unsatisfactory or circulation registration is not permitted in the EU and G7 countries or countries applying emission standards equivalent to or higher than those applied in Vietnam;

d/ It shall issue a notice, made according to Form No. 03 provided in the Appendix to this Circular, that the imported motor vehicle is on the list of motor vehicles banned from import, and send it to the customs office for settlement under regulations.”

5. To amend and supplement Clause 4, Article 7 as follows:

“In the course of inspection and certification, if detecting an imported automobile on the list of those banned from import under Decree No. 69/2018/ND-CP, the inspection agency shall record the proof that such automobile is  on the list of those banned from import while issuing a notice, made according to Form No. 03 provided in the Appendix to this Circular, that such automobile is on the list of those banned from import. The inspection, classification and taking of samples representing import lots for other automobiles shall be carried out under regulations.”

6. To amend and supplement Sections 11.2 and 11.3 of Appendix IV as follows:

“Emission tests must comply with the Prime Minister’s Decision No. 16/2019/QD-TTg of March 28, 2019, prescribing the roadmap for application of emission standards for in-use automobiles and imported used automobiles.”

7.To replace Appendices V, VI, VII and VIII to Circular No. 03/2018/TT-BGTVT with Forms No. 01, 02, 03 and 04 provided in the Appendix to this Circular; and add Forms No. 05 and 06 to the Appendix to this Circular.

Article 2.To annul Clauses 12 and 13, Article 3, and Point b, Clause 2, Article 4, of Circular No. 03/2018/TT-BGTVT.

Article 3.Effect

This Circular takes effect on April 15, 2020.

Article 4.Transitional provisions

1. Imported automobiles for which import declarations are opened under the Customs Law and that arrive at Vietnamese ports or border gates before February 5, 2020, shall be inspected and granted certificates of quality under Circular No. 03/2018/TT-BGTVT.

2. Imported automobiles for which import declarations are opened under the Customs Law or that arrive at Vietnamese ports or border gates on or after February 5, 2020, shall be inspected and granted certificates of quality under Decree No. 17/2020/ND-CP and this Circular.

3. Import lots of types of imported automobiles that have been inspected and certified as meeting requirements specified in Circular No. 03/2018/TT-BGTVT may apply the probability inspection method. The cycle of applying the sample automobile inspection and testing method for subsequent lots of automobiles imported from countries applying the type-based certification system specified in Form No. 06 provided in the Appendix to this Circular and the cycle applicable to automobiles imported from countries applying the self-certification system shall be 36 months. The starting time of such cycle is the time of issuing a certificate of technical safety quality and environmental protection for imported motor vehicles in accordance with Circular No. 03/2018/TT-BGTVT, for the most recent same-type import lot.

4. Copies of documents on results of assessment of quality assurance conditions specified in Clause 2, Article 1 of this Circular are not required within 6 months starting from February 5, 2020.

5. Certificates of quality granted for imported motor vehicles under Circular No. 03/2018/TT-BGTVT remain valid for completion of customs procedures, registration fee collection, automobile registration, initial inspection for circulation and for performance of other procedures upon request of competent agencies.

Article 5.Implementation responsibility

1. The Chief of the Office, Chief of the Inspectorate, department directors, Director General of the Vietnam Register, and heads of related agencies and organizations shall implement this Circular.

2. In case legal documents referred to in this Circular are amended, supplemented or superseded, the amending, supplementing or superseding documents will prevail.

3. Any problems arising in the course of implementation of this Circular shall be promptly reported to the Ministry of Transport for guidance and settlement.-

For the Minister of Transport
Deputy Minister
LE DINH THO

* The Appendix to this Circular is not translated.