Thông tư 09/2011/TT-BKHCN

CIRCULAR

AMENDING, SUPPLEMENTING AND ANNULING SOME PROVISIONS OF THE CIRCULAR NO.01/2010/TT-BKHCN DATED 25/02/2010 OF THE MINISTER OF SCIENCE AND TECHNOLOGY REGULATING ON THE OPERATION OF COUNSULTATION, EVALUATION AND CERTIFICATION OF QUALITY MANAGEMENT SYSTEM UNDER THE NATIONAL STANDARDS TCVN ISO 9001:2008 FOR THE STATE ADMINISTRATIVE AGENCIES

Pursuant to the Decree No.28/2008/ND-CP dated March 14, 2008 of the Government regulating functions, duties, powers and organizational structure of Ministry of Science and Technology;

Pursuant to the Resolution No.67/NQ-CP dated December 24, 2010 by the Government on the simplification of administrative procedures within the scope of management functions of the Ministry of Science and Technology;

Pursuant to the Decision No.144/2006/QD-TTg of June 20, 2006 of the Prime Minister on application of quality management systems compliant with TCVN ISO 9001:2000 standard to the operation of state administrative agencies and the Decision No.118/2009/QD-TTg dated September 30, 2009 of the Prime Minister on amendment and supplement of some Articles of the Decision No.144/2006/QD-TTg;

At the proposal of the General Director of Directorate for Standards, Metrology and Quality;

Minister of Science and Technology regulates:

Article 1. To amend and supplement Circular No.01/2010/TT-BKHCN dated February 25, 2010 of the Minister of Science and Technology regulating the consultation, evaluation and certification of quality management system under the national standards ISO 9001:2008 for the state administrative agencies (hereinafter referred to as Circular No.01/2010/TT-BKHCN) specifically as follows:

1. To amend clause 4 of Article 5 as follows:

"4. Always having at least 02 consultants as the official staffs (public employees or laborers signed indefinite-term contract) who meet the conditions specified in Article 4 of the Circular No.01/2010/TT-BKHCN”

2. To amend clause 5 of Article 7 as follows:

"5. Always having at least 02 evaluating experts as the official staffs (officials or laborers signed indefinite term labor contract) who meet the conditions specified in Article 4 of the Circular No.01/2010/TT-BKHCN."

3. To amend the 3rd dash in point d Clause 1 of Article 8 as follows:

"- To sum up work history, consultation/evaluation experiences of quality management systems according to national standards TCVN ISO 9001:2008 (hereinafter referred to as the QMS) in the form prescribed in Appendix I issued together with this Circular. "

4. To amend point b clause 2 of Article 8 as follows:

"b) To sum up work history, consultancy experiences on QMS in the form prescribed in Appendix I issue together with this Circular and copies of degrees and certificates prescribed in Clauses 1, 2, 3 of Article 4 of the Circular No.01/2010/TT-BKHCN and 02 color photos (size 2x3 cm)".

5. To amend and supplement Clause 3 of Article 8 as follows:

"3. Handling of dossiers:

a) Within 05 working days after receiving the complete and valid dossiers, unless otherwise specified at Point b of this clause, the Directorate for Standards, Metrology and Quality shall examine dossiers and grant certificate of qualified operation for the consultancy organizations, independent consultants, certification organizations (hereinafter referred to as certificate) in the form prescribed in Appendix V, issued together with the Circular No.01/2010/TT-BKHCN and issue cards to the consultants/evaluators in the form prescribed in Appendix VI issued together with the Circular No.01/2010/TT-BKHCN if the organizations and individuals are eligible. Certificates and professional cards shall be valid for 03 years from the date of issuance.

b) In case the dossiers fail to meet the requirements, an actual assessment is needed, within 15 working days after receiving complete dossiers, the Directorate for Standards, Metrology and Quality shall conduct examination of dossiers, assign experts, or set up an evaluation team for organization of the actual evaluation with the following contents:

- Compliance with law regulations of organizations and individuals in the field of consultation/evaluation of certification;

- The authenticity of the registration dossiers;

- Other activities related to the registration area.

The cost for the operation of the expert assessment or evaluation team shall be covered by organizations or individuals registering for granting certificates.

Based on the registered dossiers and minutes of the actual evaluation, the Directorate for Standards, Metrology and Quality shall grant certificates and cards for the consultants/evaluators if the organizations and individuals are eligible. Certificates and professional cards shall be valid for 03 years from the date of issuance.

c) ) In cases of failing to meet the requirements in accordance with provisions of the Circular No.01/2010/TT-BKHCN and this Circular, organizations and individuals will be notified in writing the reasons."

6. To amend clause 2 of Article 9 as follows:

"a) One month before the expired date of the certificate, the organization needs to establish 01 set of registration dossier for re-granting certificate and professional card, sends it to the Directorate for Standards, Metrology and Quality. The registration dossier for re-grant comprises:

- A registration application for re-granting certificate in the form prescribed in Appendix II issued together with this Circular;

- A report of the consultation/evaluation operations of the organization and maintenance, improvement of consultancy/evaluation capabilities during valid time of the certificate;

- A copy of a certificate of quality management system as prescribed in Clause 3 of Article 5 of the Circular No.01/2010/TT-BKHCN (for consultancy organizations);

- A copy of a accredited certificate as prescribed in Clause 4, Article 7 of the Circular No.01/2010/TT-BKHCN (for certification organizations);

- A List of consultants/evaluators, accompanied with the certificates, relevant documents as prescribed in Clause 1, Article 8 of the Circular No.01/2010/TT-BKHCN for experts not yet been granted cards;

- A copy of the granted consultant/evaluation card (for the experts who have been issued cards).

During the examination of dossier, if necessary, the copies of documents and certificates will be considered, for comparison with the originals or required for additional notarized copies.

"b) One month before the expired date of the certificate, independent consultants need to establish 01 set of registration dossier for re-granting certificate and professional card, send it to the Directorate for Standards, Metrology and Quality. The registration dossier for re-grant comprises:

- A registration application for re-granting certificate in the form prescribed in Appendix II issued together with this Circular;

- A report of the operations of consultancy and maintenance, improvement of consultancy capabilities during valid time of the certificate;

- 02 color photos (size 2x3 cm);

- A copy of the issued consultant card.

During the examination of dossier, if necessary, the copies of documents and certificates will be considered, for comparison with the originals or required for additional notarized copies.

c) Within 05 working days after receiving of complete and valid dossier, unless otherwise specified at point d of this Clause, the Directorate for Standards, Metrology and Quality shall conduct dossier examination and re-grant certificate, professional card if organization is eligible for operation. Certificate and professional card shall be valid for 03 years from the date of issuance.

d) In cases the dossier fails to meet the requirements, an actual assessment is needed, within 15 working days, the Directorate for Standards, Metrology and Quality shall conduct examination of dossier, send experts, or set up an evaluation team for organization of the actual evaluation. The content of assessment, cost of assessment operations and the re-issuance of certificate, professional cards shall be performed in accordance with provisions of Clause 5 of Article 1 of this Circular.

đ) During the valid period of certificate, organize the consultation, certification of need registering for additional cards for the experts, set up 01 set of registration dossier and send it to the Directorate for Standards, Metrology and Quality. The dossier comprises:

- A registration application for granting additional cards in the form prescribed in Appendix III issued together with this Circular;

- List of experts requesting for card issuance accompanied with certificates and related documents as stipulated in Clause 1, Article 8 of the Circular No.01/2010/TT-BKHCN.

Within 05 working days after receiving the complete and valid dossier, the Directorate for Standards, Metrology and Quality shall review, issue cards to experts who are qualified with a valid period according to the certificate of the consultation/certification organizations.

e ) In cases of failing to meet the requirements in accordance with the provisions of the Circular No.01/2010/TT-BKHCN and this Circular, organizations and individuals will be notified in writing the reasons. "

"7. To amend Point g, Clause 2 of Article 10 as follows:

"g) Upon completion of the evaluation and certification of quality management system compliant to national standards TCVN ISO 9001:2008, make report for the assessment results in the form prescribed in Appendix IV issued together with this Circular for the state administrative agencies to complete dossiers and to propose the Directorate for Standards, Metrology and Quality to grant certificate of quality management system compliant with national standards TCVN ISO 9001:2008 (hereinafter referred the Certificate).

Certification organizations shall guide and coordinate with state administrative agencies in setting up, completing dossiers requesting for granting certificate, ensuring the time limit specified in Clause 9 of Article 1 of this Circular.

"8. To supplement Point n, Clause 2 of Article 10 as follows:

"n) In cases the administrative agencies hire consultants, the certification organizations to assess only for the agencies hiring consultation organization/independent consultant having been granted certificate, consultant having been granted card under the provisions of the Circular No.01/2010/TT-BKHCN and this Circular.

In case the administrative agencies use consultation organization/independent consultant having not been granted certificate, consultant having not been granted card, upon discovery, certification organization does not evaluate and make written report to the Directorate for Standards, Metrology and Quality for handling.  

"9. To amend Clause 1, Clause 2 of Article 12 as follows:

"1. Within 01 month since having been certified by certification organization the quality management system is compliance with national standard TCVN ISO 9001:2008 in writing, state administrative agency set up 01 set of dossier requesting for certificate issuance, send it to the General Department of Standards, Metrology and Quality. Over that above-mentioned time limit, the evaluation results of certification organizations will not be accepted for consideration and grant of certificates.

2. The dossier comprises:

a) A written request for grant of certificate in the form prescribed in Appendix V, issued together with this Circular;

b) A summarized report on the process of developing, applying quality management system in the form prescribed in Appendix IX, issued together with Circular No.01/2010/TT-BKHCN;

c) A written commitment of developing, applying quality management system for all activities related to administrative procedures for individuals or organizations (from 01/01/2012);

d) A report on the evaluation results of certification organizations as specified in Clause 7 of Article 1 of this Circular.”

10. To amend Point a, Clause 1 of Article 13 as follows:

"a) One month before the expired date of the certificate, state administrative agency organizes the valuation for re-granting certificate, establishes 01 set of dossier for re-granting certificate and send it to the Directorate for Standards, Metrology and Quality. The registration dossier for re-grant comprises:

- A written request for re-granting the certificate in the form prescribed in Appendix VI issued together with this Circular;

- A copy of the Decision and the Certificate that has been issued;

- A written self-comment on the extent of suitableness, effectiveness and efficiency of quality management system for operations of agencies in the valid period of the certificate;

- A written commitment of developing, applying quality management system for all activities related to administrative procedures for individuals or organizations (from 01/01/2012);

d) A report on the evaluation results of certification organizations specified in Clause 7 of Article 1 of this Circular.”

11. To amend Point a, Clause 2 of Article 13 as follows:

"a) During the valid period of the certificate, whenever there is any adjustment, expanding or narrowing the application scope of the Quality Management System, within 01 month after the certification organizations certify the expansion, narrowing, adjustment of the application scope of the quality management system in compliance with national standard TCVN ISO 9001:2008 in writing, state administrative agency makes 01 set of dossier requesting for adjustment, expansion, narrowing of application scope of the certificate, sends it to the Directorate for Standards, Metrology and Quality. The dossier comprises:

- A written request for adjustment, extension, narrowing of the application scope of the certificate in the form prescribed in Appendix II issued together with this Circular;

- A written commitment of developing, applying quality management system for all activities related to administrative procedures for individuals or organizations (from 01/01/2012);

d) A report on the evaluation results of certification organizations specified in Clause 7 of Article 1 of this Circular.”

12. To amend Point 3.3.2, 3.3.3 and 3.3.4 in Appendix XI, issued together with the Circular No.01/2010/TT-BKHCN as follows:

"3.3.2. After completion of the assessment of certificate and certification of quality management system in compliance with national standards TCVN ISO 9001:2008, certification organization shall make report on assessment results for the state administrative agency to complete dossier requesting for granting certificate.

3.3.3. State administrative agency sets up 01 set of dossier requesting for granting certificate including written request for granting certificate, briefly report of developing process, applying quality management system for all activities related to administrative procedures for individuals or organizations (from 01/01/2012) and report on the results of the assessment of certification organization, sends it to the Directorate for Standards, Metrology and Quality.

3.3.4. The Directorate for Standards, Metrology and Quality is based on the requesting dossier of state administrative agency to consider and grant certificate (with a valid period of 03 years).”

13. To annul Appendix III, VIII, issued together with the Circular No.01/2010/TT-BKHCN

Article 2. The Directorate for Standards, Metrology and Quality shall be responsible for guiding, implementing this Circular.

Article 3.

1. This Circular takes effect from August 20, 2011.

2. General Director of Directorate for Standards, Metrology and Quality, Director of Legal Affairs Department and other related organizations and individuals shall implement this Circular. /.

APPENDIX I

SUMMARY FORM OF VALUATION/CONSULTATION EXPERIENCE OF QUALITY MANAGEMENT SYSTEM OF CONSULTANT/EVALUATOR
(Issued together with the Circular No.09/2011/TT-BKHCN dated June 30, 2011 of Minister of Science and Technology)

SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom - Happiness
---------------

SUMMARY OF VALUATION/CONSULTATION OPERATING EXPERIENCE OF QUALITY MANAGEMENT SYSTEM OF CONSULTANT/EVALUATOR

Full name:

Contact address:

Tel, Fax:

Process of working (listing time of working, units of working):

...................................................................................................................................

Experience in the field of consultation/evaluation of quality management system:

(Listing working time in the field of consultation/evaluation, units consulted/ reviewed: contact address, phone, fax, representatives, the results of consultation/evaluation, units certifying consultation/evaluation).

Other information:

....................................................................................................................................

I hereby certify that the above information is true and is responsible for the above declaration.

APPENDIX II

FORM OF APPLICATION FOR RE-GRANT OF CERTIFICATE OF PARTICIPATING IN THE CONSULTATION/VALUATION OF QUALITY MANAGEMENT SYSTEM
(Issued together with the Circular No.09/2011/TT-BKHCN dated June 30, 2011 of Minister of Science and Technology)

SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom - Happiness
---------------

………, date …… month …… 20…

APPLICATION FOR RE-GRANT OF CERTIFICATE OF PARTICIPATING IN THE CONSULTATION/VALUATION OF QUALITY MANAGEMENT SYSTEM BY NATIONAL STANDARDS TCVN ISO 9001:2008 FOR STATE ADMINISTRATIVE AGENCIES

To: the Directorate for Standards, Metrology and Quality

1. Name of organization /individual:....................................................................................

2. Address:...........................................................................................................

Tel:………………….    Fax: ………………… E-mail: ........................................

3. On ... / ... / ..., ... name of organization/individual ... has been reviewed and granted by the Directorate for Standards, Metrology and Quality a certificate of eligibility to provide consultation/evaluation of quality management systems according to national standards TCVN ISO 9001:2008 for state administrative agencies of ......... / TDC-HCHQ.

4. Attached documents:

- ……

- ……

5. After studying the conditions for re-granting certificate as prescribed in the Circular No.01/2010/TT-BKHCN dated February 25, 2010 and the Circular No: ..... / 2011/TT-BKHCN date ... month, 2011 ... of the Minister of Science and Technology, ..... (Name of organization/individual) ... realizes to have all the conditions to be re-issued certificate.

To request the Directorate for Standards, Metrology and Quality to review and re-issue certificate of eligibility for consultation/evaluation of quality management systems according to national standards TCVN ISO 9001:2008 for state administrative agencies and professional cards.

(Name of organization/individual) ... commits to comply with the provisions on consultation/evaluation of quality management systems according to national standards TCVN ISO 9001:2008 for state administrative agencies.

APPENDIX III

FORM OF APPLICATION FOR GRANTING ADDITIONAL CARDS FOR THE CONSULTANTS/VALUATORS
(Issued together with the Circular No.09/2011/TT-BKHCN dated June 30, 2011 of Minister of Science and Technology)

SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom - Happiness
---------------

………, date …… month …… 20…

APPLICATION FOR GRANTING ADDITIONAL CARDS FOR THE CONSULTANTS/VALUATORS

To: the Directorate for Standards, Metrology and Quality

1. Name of organization /individual:....................................................................................

2. Address:...........................................................................................................

Tel:………………….    Fax: ………………… E-mail: ........................................

3. On ... / ... / ..., ... name of organization... has been reviewed and granted by the Directorate for Standards, Metrology and Quality a certificate of eligibility to provide consultation/evaluation of quality management systems according to national standards TCVN ISO 9001:2008 for state administrative agencies of ......... / TDC-HCHQ.

4. Attached documents:

- ……

- ……

5. After studying the conditions for consultants/valuators as prescribed in the Circular No.01/2010/TT-BKHCN dated February 25, 2010 and the Circular No: ..... / 2011/TT-BKHCN date ... month, 2011 ... of the Minister of Science and Technology, ..... (Name of organization) ... realizes to have all the conditions to be issued additional cards for the experts stated in the attached documents, so request the Directorate for Standards, Metrology and Quality to review and issue additional cards for these experts.

(Name of organization) ... commits to comply with the provisions on consultation/evaluation of quality management systems according to national standards TCVN ISO 9001:2008 for state administrative agencies.

APPENDIX IV

FORM OF REPORT ON EVALUATION RESULTS
(Issued together with the Circular No.09/2011/TT-BKHCN dated June 30, 2011 of Minister of Science and Technology)

REPORT ON EVALUATION RESULTS

To: the Directorate for Standards, Metrology and Quality

1. Name of the agency to be evaluated, name of representative:....................................

2. Address:.....................................................................................................................

3. Tel:……………………Fax:…………………..Email:.......................................

4. Type of assessment:

4.1. Evaluation of certification:                         □

4.2. Evaluation of re-certification:                    □

4.3. Evaluation of monitoring:                             □

4.4. Evaluation of expanding, narrowing, adjusting application scope       □:

5. A summary of the performance process of evaluation (program, plan, name of evaluator):............

.................................................................................................................................

6. Minutes of evaluation (Attached copies of minutes of evaluation):

7. Examination results of preventive, corrective actions (if any) – copies of the corrective action reports and certified by certification organization:........................

Scope of application of quality management system requesting for granting certificate:

..............................................................................................................................

9. Evaluation on the development, application of quality management system for the activities related to administrative procedures for individuals or organizations (according to the results of Project 30):

9.1. Application for the whole:                 □

9.2. Application for a part:              □

(Specifying the areas of activity not yet applied and its reason)

10. Recommendations

After assessment is done, certification organization’s name ... recommends:

10.1. Granting certificate:                   □

10.2. Not granting certificate:         □
(Stating clearly the reason)

10.3. Other Recommendations:...................................................................................................

APPENDIX V

FORM OF OFFICIAL DISPATCH REQUESTING FOR GRANTING CERTIFICATE
(Issued together with the Circular No.09/2011/TT-BKHCN dated June 30, 2011 of Minister of Science and Technology)

To: the Directorate for Standards, Metrology and Quality

I. Name of state administrative agency:.......................................................................

II. Address:...................................................................................................................

III. Tel:……………………Fax:…………………..Email:....................................

IV. Quality management system of ... (name of state administrative agency) ... has been ... (name of certification organization) ... assessed certificate and certified conformity with national standards TCVN ISO 9001:2008 on... / ... / ...

V. Field of request for certificate:

1. ……….

2. ……….

3. ……….

…(Name of state administrative agency) ... encloses this official dispatch: The report on summary of the development, application of quality management system; written commitment of development, application of quality management system for all activities related to administrative procedures for individuals, organizations and report on evaluation results of ... name of certification organization, recommends the Directorate for Standards, Metrology and Quality to issue certificate of quality management system in accordance national standards TCVN ISO 9001:2008.

... (Name of state administrative agency) ... commits to maintain, improve, and perfect the quality management system during the application and coordination with certification organization in the evaluation of regular supervision as prescribed.

APPENDIX VI

FORM OF OFFICIAL DISPATCH REQUESTING FOR RE-GRANTING CERTIFICATE
(Issued together with the Circular No.09/2011/TT-BKHCN dated June 30, 2011 of Minister of Science and Technology)

To: the Directorate for Standards, Metrology and Quality

I. Name of state administrative agency:.......................................................................

II. Address:...................................................................................................................

III. Tel:……………………Fax:…………………..Email:....................................

IV. Field of request for re-granting certificate:

1. ……….

2. ……….

3. ……….

On ... / ... / ..., the quality management system of ... (name of state administrative agency) ... has been granted certificate of conformity with national standards TCVN ISO 9001:2008 by the Directorate for Standards, Metrology and Quality together with the Decision No.: …/QD-TDC.

During the period of validity of the certificate, (Name of state administrative agency) ... has maintained, improved, and perfected the quality management system during the application and coordination with certification organization in the evaluation of regular supervision as prescribed.

Quality management system of ... (name of state administrative agency) ... has been ... (name of certification organization) ... assessed, re-certified according to national standards TCVN ISO 9001:2008 and certified conformity with standards on... / ... / ...

……(Name of state administrative agency) ... encloses this official dispatch: a copy of decision and certificate which were issued; a written self-comment on the extent of suitableness, effectiveness and efficiency of quality management system for operations of the agency in the valid period of the certificate and a written commitment of development, application, maintenance of quality management system for all activities related to administrative procedures for individuals or organizations, requests the Directorate for Standards, Metrology and Quality to grant certificate.

…(Name of state administrative agency) ... commits to maintain, improve, and perfect the quality management system during the application and coordination with certification organization in the evaluation of regular supervision as prescribed.

APPENDIX VII

FORM OF OFFICIAL DISPATCH REQUESTING FOR MODIFICATION, EXPANSION, NARROWING OF SCOPE OF CERTIFICATE
(Issued together with the Circular No.09/2011/TT-BKHCN dated June 30, 2011 of Minister of Science and Technology)

To: the Directorate for Standards, Metrology and Quality

I. Name of state administrative agency:.......................................................................

II. Address:...................................................................................................................

III. Tel:……………………Fax:…………………..Email:....................................

IV. Field of request for granting certificate (setting out the fields requested for modification/expansion/narrowing and the reason for the request):

1. ……….

2. ……….

3. ……….

On ... / ... / ..., the quality management system of ... (name of state administrative agency) ... has been granted certificate of conformity with national standards TCVN ISO 9001:2008 by the Directorate for Standards, Metrology and Quality together with the Decision No.: …/QD-TDC.

During the period of validity of the certificate, …(Name of state administrative agency) ... has maintained, improved, and perfected the quality management system during the application and coordination with certification organization in the evaluation of regular supervision as prescribed.

On ... / ... / ..., the quality management system of ... (name of state administrative agency) ... has been assessed and certified by (name of certification organization) the modification/expansion/narrowing of scope of application of QMS.

… (Name of state administrative agency) ... encloses this official dispatch: a written commitment of development, application of quality management system for all activities related to administrative procedures for individuals or organizations, requests the Directorate for Standards, Metrology and Quality to grant certificate of modification/expansion/narrowing of scope of application of QMS.

…(Name of state administrative agency) ... commits to maintain, improve, and perfect the quality management system during the application and coordination with certification organization in the evaluation of regular supervision as prescribed ....