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THE MINISTRY OF
SCIENCE AND TECHNOLOGY OF VIETNAM
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom – Happiness
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No.
36/2014/TT-BKHCN
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Hanoi, December
12, 2014
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CIRCULAR
ON THE PROVISION OF
TRAINING FOR MANAGEMENT SYSTEM AUDITORS AND PRODUCT CERTIFICATION AUDITORS OF
CONFORMITY ASSESSMENT BODIES
Pursuant to the Law on Quality of Products and
Goods dated November 21, 2007;
Pursuant to Decree No. 132/2008/ND-CP dated
December 31, 2008 of the Government elaborating certain Articles of the Law on
Quality of Products and Goods;
Pursuant to Decree No. 20/2013/ND-CP dated
February 26, 2013 of the Government of Vietnam on functions, tasks, powers and
organizational structure of the Ministry of Science and Technology of Vietnam;
At the request of the General Director of
Directorate for Standards; Metrology and Quality of Vietnam;
The Minister of Science and Technology hereby
provides for the provision of training for management system auditors and
product certification auditors of conformity assessment bodies.
Chapter I
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Article 1. Scope
1. This Circular provides for the provision of
training for management system auditors and product certification auditors of
conformity assessment bodies, including:
a) Competence requirements to be satisfied by
auditor training facilities;
b) Procedures for declaration of competence in providing
training of training facilities;
c) Responsibilities held by regulatory authorities
and training facilities.
2. This Circular does not apply to internal auditor
training courses.
Article 2. Regulated entities
This Circular applies to:
1. Conformity assessment bodies;
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3. Other relevant organizations and individuals.
Article 3. Definitions
This Circular applies terms and definitions in
national standards TCVN ISO/IEC 17000:2007 Conformity assessment - Vocabulary
and general principles, TCVN ISO/IEC 17065 Conformity assessment -
requirements for bodies certifying products, processes and services, TCVN
ISO/IEC 17021:2011 Conformity assessment - Requirements for bodies providing
audit and certification of management systems and the terms below:
1. “Training program” refers to a document
that stipulates the purpose, required contents of knowledge and skills, overall
structure of the course, teaching plan, ratio between training contents,
between theory and practice, between exercises and (or) discussion, between
methods of evaluating results and issuing training certificates for specific
standards.
2. “detailed training outline” is a document
that specifies the knowledge and skills requirements for each training content
specified in a training program.
3. “training course" means a group of
lessons that provide the skills and knowledge necessary to carry out an audit
of a specific management system or product certification audit.
Chapter II
SPECIFIC PROVISIONS
Article 4. Competency requirements for training
facilities
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1. It must be established according to regulations
of law and operate in the area in which training is provided;
2. It must have developed and applied the Quality
management system according to the National Standard TCVN ISO 9001 for the
scope of training;
3. The training facility must have at least 01
tenured lecturer (public employee or employee signing a fixed-term contract for
a term of 12 months or more) for a system auditor training course or a product
certification auditor training course and meet the competence requirements
specified in Article 5 of this Circular;
In necessary cases, the training facility may
employ a qualified lecture who meets the regulations in Article 5 of this
Circular;
4. The training facility must have developed a
training program and detailed training outline for a training course which
meets the requirements in Article 6 of this Circular;
5. The training facility must meet requirements of
material facilities and equipment for organizing a training course.
Article 5. Competence requirements for lectures
1. Have an undergraduate degree or higher;
2. Be proficient in their area of expertise;
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4. Have at least 07 (seven) years of experience
(from the time of university graduation) and have conducted at least 30 audits
as an audit team leader.
Article 6. Requirements for training programs
and outlines of training courses
1. Each training facility must develop a training
program and detailed training outline, at least ensuring the basis contents
prescribed in Appendix I enclosed herewith for each training course.
2. The minimum duration of a management system
auditor or product certification auditor training course is 05 (five) days, in
which the minimum duration of auditing skill training is 03 (three) days.
3. Requirements for administering midterm exams,
final exams and granting training certificates:
a) A midterm exam can be a short essay test,
multiple choice test or a group discussion;
b) A final exam can be a written test including
essay and multiple choice sections or both. The final exam shall be graded on a
scale from 1 to 100. The examinee must have at least 70 points to pass the
final exam;
c) At the end of a training course, the training
facility will, based on the participation process, midterm exam results and
final exam results, grant a training certificate to qualified examinees.
Article 7. Procedures for declaration of
competence in providing training
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a) A declaration of competence in providing
training using the Form in Appendix II enclosed herewith;
b) A copy of a Decision on establishment or a
Business Registration Certificate or an Investment certificate (in case the
application is submitted in person and the copy is uncertified, an original is
required for comparison; in case the application is submitted by post, the copy
must be certified);
c) Documents proving the application of the Quality
management system according to the National Standard TCVN ISO 9001 for the
scope of training;
d) A training program and detailed outline for each
training course;
dd) A list of lectures meeting the requirements in
clauses 3, 4 and 5 of this Circular for each training course and attached
documents proving competence.
2. Processing the application:
a) Within 05 (five) working days from the day of
receiving the application for declaration, if the application is insufficient
as regulated, the training facility will receive a request for supplementation
of the application.. After 15 working days from the day on which the request
for supplementation is received, if the application is not supplemented as
requested, the Directorate for Standards, Metrology and Quality may cancel the
processing of the application.
b) Within 15 working days from the day on which the
valid and sufficient application is received, the Directorate for Standards,
Metrology and Quality shall consider and examine the application, and
promulgate a Notice of receipt of the application for declaration of competence
in providing training using the Form in Appendix III enclosed herewith if the
training facility is qualified. The Notice of receipt shall be effective for up
to 03 (three) years from the day on which it is signed.
c) In case the training facility is unqualified,
within the period prescribed in point b of this clause, the training facility
must be notified in writing of reasons for rejection.
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1. If the training facility that has been notified
of receipt of the application for declaration of competence in providing
training declares supplementations or adjustments to the scope of training
stated in the Notice of receipt, the facility shall prepare 01 (one) application
for declaration of supplementations or adjustments to the scope of training and
submit it in person or by post to the Directorate for Standards, Metrology and
Quality. The application shall include the documents prescribed in points a, d
and dd clause 1 Article 7 of this Circular.
2. The Directorate for Standards, Metrology and
Quality shall process the application according to the regulations in clause 2
Article 7 of this Circular.
Article 9. Suspension, revocation of Notice of
receipt
1. A Notice of receipt shall be suspended if the
training facility commits one of the following violations:
a) Failure to comply with the regulations of this
Circular and legislative documents, related guidelines of the Directorate for
Standards, Metrology and Quality;
b) Failure to comply with training process as
regulated;
c) Failure to maintain the declared organizational
structure and competence according to requirements of the corresponding
standards.
2. A Notice of receipt of a training facility shall
be revoked if the training facility commits one of the following violations:
a) The training facility is dissolved, goes
bankrupt or seriously violates regulations of law in force;
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c) The training facility uses fake or false records
and documents for the declaration of provision of training;
d) The training facility falsifies training
records and documents;
dd) The training facility grants training
certificates without provision of training;
e) The training facility has a Notice of receipt
suspended but fails to take remedial measures within the period of suspension
specified in the notice of suspension;
g) The training facility fails to comply with the
requirements and regulations on inspection and examination of competent
regulatory authorities.
3. Depending on the severity of violations, the
training facility whose Notice of receipt is revoked shall have training
results cancelled and be only reissued the Notice of receipt after 02 (two)
years from the day on which the notice of revocation is issued and violations
have been corrected. In case where the training results are cancelled, the
training facility shall provide compensation for the damage to organizations
and individuals that have paid training costs.
Chapter III
RIGHTS AND RESPONSIBILITIES
HELD BY REGULATORY AUTHORITIES AND TRAINING FACILITIES
Article 10. Rights and responsibilities of the
Directorate for Standards, Metrology and Quality
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2. Notify the list of training facilities that have
Notices of receipt granted, suspended or revoked on the website of the
Directorate for Standards, Metrology and Quality.
3. Carry out inspections and examinations of the
provision of training of training facilities and handle violations, under its
jurisdiction, according to regulations of this Circular and regulations of
relevant laws.
Article 11. Rights and responsibilities held by
training facilities
1. Results of the provision of training for
management system auditors and product certification auditors of certification
bodies shall be considered approval by regulatory agencies within the process
of handling administrative procedures if training facilities have declared
their competences in providing training according to regulations herein.
2. Adhere to the declared training programs and
training contents and regulations on training of this Circular and relevant
laws.
3. Only employ the lectures listed in applications
for declaration.
4. Store all training records according to laws.
5. Publish information on training courses that
have been organized including names of courses and date of organization on
websites of training facilities.
6. Grant training certificates to trainees who have
completed training courses.
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8. Comply with regulations and requirements for inspections
and examinations of competent regulatory agencies.
9. Report in writing
situations of training provision to the Directorate for Standards, Metrology
and Quality every November or whenever requested. Contents of the report:
a) A list of training courses that have been run
within the last 12 months or a specified period;
b) A list of trainees of those training courses;
c) Recommendations and proposals (if any);
10. Comply with other rights and obligations in
accordance with regulations of law.
Chapter IV
IMPLEMENTATION PROVISIONS
Article 12. Effect
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Article 13. Organization of implementation
1. The Director General of the Directorate for
Standards, Metrology and Quality is responsible for guiding, inspecting and
organizing the implementation of this Circular.
2. Any question or difficulty arising during the
implementation should be reported in writing to the Ministry of Science and
Technology for further instructions and handling./.
PP. MINISTER
DEPUTY MINISTER
Tran Viet Thanh
APPENDIX I
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Training program for CONFORMITY assessment of
management system/product conformity certification
1. General introduction of the training course:
a) Objectives of the training course
b) Introduction of Standards (in relation to the
management system/product)
c) Training method
d) Method of audit of results of the training
course
2. Requirements for knowledge of trainees before
enrolling in the training course
3. Learning objectives of trainees
4. Knowledge and skills obtained after the training
course
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6. Contents of the training course:
a) Basic purposes of the standards in the training
course, explanations for principles, processes and techniques used in audits,
b) Explanations for purposes and contents:
- Standards for management systems or quality
assurance systems (for product certification training courses)
- Practical application
- Standard application process
- Legal framework related to the certification
- Audit skills
c) Explanations of roles of auditors in processes
of audit in accordance with the ISO 19011 standard.
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dd) Sampling methods and procedures (for product
certification auditor training courses)
e) Planning, conducting and reporting an audit
using the ISO 19011 standard and other relevant standards
g) Other contents (if any)
7. Period of the training course
8. Requirements for lectures:
a) Lectures must satisfy competence requirements
b) Requirements for the minimum and maximum number
of trainees of a training course must be satisfied
c) The number of lectures must be appropriate to
the number of trainees of a training course
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a) Evaluation of completion of the training course
b) Management and evaluation of the training course
c) Management and organization of exams
d) Provision of regulations on certificate grant
10. Material facilities and equipment necessary for
the training course.
ANNEX II
Form of declaration of competence in providing
training
(enclosed with Circular No. 36/2014/TT-BKHCN dated December 12, 2014 of the
Minister of Science and Technology of Vietnam)
SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom – Happiness
---------------
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Facility’s name: …………………………………………………………………………..
Address:…………………………………………………………………………..
Tel: ……………………….Fax:……………………Email:
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Hereby declares:
competence in providing training for management
system auditors/product certification auditors: ………………………………………. (insert name
of specific standard).
We declare to be competent to provide training and
to be held accountable for training provision in accordance with relevant
requirements of law./.
………[location]…..,
[date]…….
Leader of the training FACILITY
(full name, signature and seal)
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APPENDIX III
FORM OF NOTICE OF
RECEIPT OF APPLICATION FOR DECLARATION OF COMPETENCE IN PROVIDING TRAINING
(enclosed with Circular No. 36/2014/TT-BKHCN dated December 12, 2014 of the
Minister of Science and Technology of Vietnam)
Ministry of Science and Technology
Directorate for Standards, Metrology and Quality
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom – Happiness
---------------
No.
/TB-TDC
Hanoi,….(date)..….,
20
NOTICE
of receipt of the
application for declaration of competence in providing training
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This Notice acknowledges the declaration of (insert
name of the training facility) ……………………….. in complying with the
requirements for the provision of training for auditors.
(insert name of the training
facility)………………………….. must take full responsibility for the suitability of
training courses according to applicable regulations./.
Director General