GENERAL REGULATIONS ON CERTIFICATION
Pursuant to the Law on Product and Goods Quality dated 21 November 2007;
Pursuant to the requirements applicable to bodies providing product certification and management system certification under ISO/IEC 17065, ISO/IEC 17021-1, ISO 22003-1, ISO 50003, ISO/IEC 27006-1, SAAS Procedure 201A and other relevant international requirements and regulations;
Pursuant to Business Registration Certificate No. 0102007867 dated 06 March 2003 and the amended Business Registration Certificate dated 18 October 2021 of GIC Vietnam;
Pursuant to the Rules of Procedure of the GIC Vietnam Certification Council;
The GIC Vietnam Certification Council hereby issues the General Regulations on Certification as follows:
Regulation Contents
I. General Provisions II. Application and Certification Assessment III. Granting and Maintaining Certification IV. Changes, Suspension and Withdrawal V. Use of Certificates and Certification Marks VI. Rights and Obligations of Clients VII. Information, Confidentiality, Complaints and Appeals VIII. Implementation Provisions
I General Provisions
Article 1. Purpose and Scope
1. These Regulations set out the requirements, procedures, rights and obligations applicable to organizations/enterprises (hereinafter referred to as clients) when applying for and maintaining certification of products, goods, processes, services or management systems (hereinafter collectively referred to as certification objects) provided by GIC Vietnam Co., Ltd. (hereinafter referred to as GIC Vietnam).
2. GIC Vietnam provides independent and impartial certification services against national standards (TCVN), international standards (e.g. ISO, IEC), regional and foreign standards, technical regulations and relevant legal requirements. The main certification services include:
a) Certification of products, goods, processes and services against applicable standards/technical regulations;
b) Quality Management System certification (e.g. ISO 9001);
c) Environmental Management System certification (e.g. ISO 14001);
d) Occupational Health and Safety Management System certification (e.g. ISO 45001);
e) Food Safety Management System certification (e.g. ISO 22000, HACCP);
f) Energy Management System certification (e.g. ISO 50001);
g) Information Security Management System certification (e.g. ISO/IEC 27001);
h) Social Accountability Management System certification (e.g. SA8000).
Note: The above list is for reference only. The specific scope of services is determined according to GIC Vietnam's competence and accreditation/designation status at the time the service is provided.
3. These Regulations, together with the certification agreement/contract entered into between GIC Vietnam and the client, constitute the binding basis for the provision and use of certification services. GIC Vietnam's activities are carried out in accordance with applicable requirements such as ISO/IEC 17021-1, ISO/IEC 17065 and other relevant standards and programmes to ensure credibility, impartiality and recognition.
Article 2. Terms and Definitions
For the purposes of these Regulations, the following terms apply:
a) Client: An organization/enterprise applying for or having entered into a certification agreement with GIC Vietnam, including both applicants and certified organizations.
b) Certification object: A specific product, good, process, service or management system for which the client has applied for certification or which has been certified by GIC Vietnam.
c) Certification: An activity performed by GIC Vietnam to provide written attestation, through a certificate, that the certification object fulfils the applicable certification requirements.
d) Certification requirements: Requirements of the standards or technical regulations applicable to the certification object and other requirements with which the client must comply under these Regulations, the certification programme and the certification agreement.
e) Certification assessment: The process performed by GIC Vietnam to obtain objective evidence and determine the extent to which the certification object fulfils the certification requirements.
f) Nonconformity: Failure to fulfil a certification requirement. A Major NC is a nonconformity that seriously affects the ability to fulfil requirements or the effectiveness of the system/product; a Minor NC is a nonconformity that is not classified as major.
g) Corrective action: Action taken to eliminate the cause of an identified nonconformity.
h) Certificate: A document issued by GIC Vietnam attesting conformity of the certification object within the stated scope and applicable requirements, valid subject to the conditions of the certification programme.
i) Certification symbol/mark: A mark owned or controlled by GIC Vietnam and used by clients in accordance with applicable rules to indicate valid certification status.
Article 3. Commitments of GIC Vietnam
GIC Vietnam is committed to performing certification activities based on the following principles:
1. Impartiality and fairness: Certification decisions are based on objective evidence and are not influenced by financial interests or conflicts of interest. GIC Vietnam does not provide consultancy relating to objects certified by GIC Vietnam where such consultancy is prohibited by applicable requirements.
2. Competence: Ensuring that auditors, reviewers and decision-makers have competence appropriate to the certification field and programme assigned to them.
3. Confidentiality: Protecting client information in accordance with legal requirements, contractual arrangements and the applicable certification programme, except where disclosure is permitted or required.
4. Transparency: Making available or providing necessary information on certification processes, certification requirements and mechanisms for handling complaints and appeals in accordance with applicable requirements.
5. Responsibility: GIC Vietnam is responsible for assessment and certification decisions based on evidence; the client is responsible for ensuring and maintaining conformity of the certification object.
II Application and Certification Assessment
Article 4. Application for Certification
1. The client submits an application for certification together with necessary information about the organization, the desired certification scope and relevant documents in accordance with GIC Vietnam's guidance.
2. The client is responsible for the completeness and accuracy of the information provided.
Article 5. Application Review and Assessment Preparation
1. GIC Vietnam reviews the application, confirms the scope and applicable standard, evaluates GIC Vietnam's ability to provide the certification service and informs the client of the outcome of the review.
2. The parties agree on the necessary arrangements for the assessment, including timing, location, audit team and preparation requirements applicable to the client.
Article 6. Initial Certification Assessment
1. For management systems:
a) Stage 1: GIC Vietnam reviews the organization's preparedness, management system documentation, operational context and readiness for Stage 2 in accordance with the applicable standard/programme requirements.
b) Stage 2: GIC Vietnam evaluates the implementation and effectiveness of the management system and its conformity with the requirements of the applicable standard and requested certification scope.
2. For products, goods, processes and services:
a) GIC Vietnam performs necessary evaluation activities such as testing, assessment of production/service provision processes, document review or other activities in accordance with the applicable certification scheme and programme.
b) Where assessment activities are conducted on-site, GIC Vietnam holds appropriate meetings to coordinate implementation and communicate assessment results and findings. The assessment report is provided to the client in accordance with applicable requirements.
Article 7. Handling of Nonconformities
1. The client is responsible for taking corrective action for nonconformities identified by GIC Vietnam and providing evidence within the timeframe communicated by GIC Vietnam, taking into account the severity of the nonconformity and the applicable certification programme.
2. GIC Vietnam reviews corrections and corrective actions in accordance with applicable requirements. Satisfactory resolution of nonconformities is a prerequisite for consideration of the certification decision. Where nonconformities are not resolved within the required timeframe or applicable requirements are not fulfilled, GIC Vietnam may decline to grant certification.
III Granting and Maintaining Certification
Article 8. Certification Decision and Issuance of Certificate
1. The certification decision is made independently and impartially by GIC Vietnam on the basis of the assessment results, resolution of nonconformities and requirements of the applicable certification programme.
2. A certificate is issued when the client fulfils all applicable certification requirements. The certificate specifies the required information, certification scope and validity in accordance with the applicable programme.
3. The client is responsible for complying with the conditions for maintaining certification throughout the period in which certification remains valid.
Article 9. Surveillance Assessment
1. GIC Vietnam performs surveillance assessments at the frequency and in accordance with the requirements of the applicable standard or certification programme to confirm that the client continues to maintain conformity while certification remains valid.
2. The client shall cooperate with and facilitate GIC Vietnam's surveillance activities. Refusal to cooperate with or obstruction of surveillance activities may result in suspension of certification.
3. Where nonconformities are identified during surveillance, the client shall address them in accordance with Article 7 of these Regulations.
Article 10. Recertification Assessment
1. For programmes operating on a certification cycle, GIC Vietnam coordinates with the client to carry out recertification activities before certification expires, in accordance with the requirements of the applicable programme.
2. Recertification is intended to evaluate continued fulfilment of certification requirements and, where applicable, the continuing effectiveness of the management system or certification object.
3. The client should complete the required assessment activities and resolution of nonconformities within the prescribed timeframe in order to maintain continuity of certification. Where certification expires before recertification is completed, restoration of certification or requirements for reassessment shall be handled in accordance with the applicable certification programme.
Article 11. Extension of Scope and Special Assessments
1. Where the client requests an extension of the certification scope, GIC Vietnam reviews the request and determines the assessment activities necessary for the proposed extended scope. Depending on the scope and applicable programme, these activities may include steps similar to those used for initial certification.
2. GIC Vietnam may conduct special assessments, including short-notice assessments where appropriate, to investigate complaints, review changes that may affect certification or follow up on clients whose certification has been suspended. The client is required to cooperate in such cases.
IV Changes, Suspension and Withdrawal of Certification
Article 12. Changes Affecting Certification
1. The client shall promptly notify GIC Vietnam of significant changes relating to legal status, organizational structure, locations, processes, products, services or management systems that may affect certified conformity.
2. GIC Vietnam reviews information concerning such changes and determines any necessary activities to ensure that certification continues to accurately reflect the status of the certification object.
Article 13. Reduction of Certification Scope
GIC Vietnam may reduce the certification scope where the client no longer maintains conformity for part of the certified scope or where required by the applicable certification programme.
Article 14. Suspension and Restoration of Certification
1. Certification may be suspended where the client seriously or persistently fails to fulfil certification requirements, fails to cooperate with surveillance/recertification activities, improperly uses certificates or certification marks, fails to address nonconformities as required, or in other circumstances specified by the applicable certification programme.
2. During suspension, the client shall not represent or promote its certification in a manner that could lead third parties to believe that certification remains valid for the suspended scope.
3. Certification is restored when the causes of suspension have been satisfactorily addressed and GIC Vietnam confirms fulfilment of the applicable conditions for restoration.
Article 15. Withdrawal of Certification
1. Certification may be withdrawn where the client fails to resolve the causes of suspension within the required timeframe, engages in fraud or serious violation, ceases operations, fails to fulfil obligations under the agreement, or voluntarily requests termination of certification.
2. Upon withdrawal of certification, all rights associated with certified status cease. The client shall discontinue use of certificates, certification marks or symbols and related references in accordance with GIC Vietnam's requirements.
V Use of Certificates and Certification Marks
Article 16. General Requirements
The client may use certificates and certification marks or symbols issued or authorized by GIC Vietnam only while certification remains valid and within the certified scope. Such use shall comply with applicable requirements, be truthful and not create a misleading impression.
Article 17. Use of Management System Certification Marks
1. Management system certification marks may be used in accordance with GIC Vietnam's instructions on communication media, business documents and other permitted media; they shall not be used on products in a manner implying that the product itself has been certified.
2. Use of certification marks or related statements on packaging or accompanying product information shall comply with the certification programme and GIC Vietnam's requirements and shall clearly indicate that the certification relates to the organization's management system and not to the product itself.
Article 18. Use of Certification Marks for Products, Goods, Processes and Services
The client may use certification marks on products, packaging, documents or related media where permitted by the certification programme and shall comply with GIC Vietnam's mark-use instructions and applicable legal and certification programme requirements.
Article 19. Discontinuation of Use
The client shall discontinue use of certificates, certification marks or symbols and related claims when certification expires, is suspended, withdrawn or is changed in a manner that makes previous use no longer appropriate.
VI Rights and Obligations of Clients
Article 20. Rights of Clients
1. To be treated fairly by GIC Vietnam and to receive objective and professional services.
2. To receive necessary information concerning applicable certification processes, requirements and programmes.
3. To have information kept confidential in accordance with applicable requirements.
4. To receive certificates and certification decisions and to use certification marks or symbols in accordance with applicable requirements when certification requirements are fulfilled.
5. To submit complaints concerning certification services and appeals against certification decisions made by GIC Vietnam.
Article 21. Obligations of Clients
1. To provide complete, accurate and truthful information during application and throughout the certification process.
2. To ensure and maintain conformity of the certification object with applicable certification requirements.
3. To cooperate with and provide the necessary conditions for GIC Vietnam to conduct assessments, surveillance and other certification activities.
4. To implement corrections and corrective actions for nonconformities within the required timeframe and in accordance with applicable requirements.
5. To pay certification service fees in full in accordance with the agreement.
6. To use certificates, certification marks and symbols for their intended purposes, within the certified scope and valid certification status, and in accordance with applicable requirements.
7. To promptly notify GIC Vietnam of changes that may affect certification.
8. To retain ultimate responsibility for ensuring conformity of the certification object.
VII Information, Confidentiality, Complaints and Appeals
Article 22. Publicly Available and Provided Information
GIC Vietnam makes publicly available or provides necessary information concerning certification activities and maintains an appropriate means by which relevant parties can check or verify certification status within the scope of information permitted to be publicly disclosed.
Article 23. Confidentiality of Client Information
GIC Vietnam is responsible for managing and protecting client information obtained or created during the certification process in accordance with the principles set out in Article 3, the certification agreement, applicable programme requirements and legal requirements. Information shall be disclosed only where permitted or where disclosure is mandatory under applicable requirements.
Article 24. Handling of Complaints and Appeals
1. Clients and relevant parties have the right to submit complaints concerning certification services or personnel conduct, and appeals against certification decisions made by GIC Vietnam, including decisions to decline certification, suspend or withdraw certification, or reduce the certification scope.
2. GIC Vietnam maintains a process for receiving, reviewing and resolving complaints and appeals to ensure objectivity, fairness and independence in their handling.
3. The submitter shall be informed of receipt, the handling process and the outcome in accordance with GIC Vietnam's applicable procedures.
VIII Implementation Provisions
Article 25. Effective Date
These Regulations take effect from 17 May 2025 and form an integral part of the certification agreement/contract between GIC Vietnam and the client.
Article 26. Responsibility for Implementation
Clients and relevant units and personnel of GIC Vietnam are responsible for complying with and fully implementing the provisions of these Regulations.
Article 27. Dispute Resolution and Amendments
1. Any dispute arising from implementation of these Regulations or the certification agreement/contract shall first be resolved, where possible, through negotiation in a spirit of cooperation.
2. Where a dispute cannot be resolved through negotiation, it shall be referred to the competent authority in accordance with Vietnamese law.
3. These Regulations may be reviewed, amended or supplemented by the GIC Vietnam Certification Council to reflect changes in standards, certification programmes, management requirements or applicable laws. Changes affecting clients shall be communicated by appropriate means.
FOR THE CERTIFICATION COUNCIL CHAIRPERSON
(Signed)
