Thông tư 89/2015/TT-BGTVT

CIRCULAR

TECHNICAL SAFETY QUALITY AND ENVIRONMENTAL PROTECTION INSPECTION OF TRANSPORT CONSTRUCTION MACHINERY

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

Pursuant to the Law on Quality of Goods and Products dated November 21, 2007;

Pursuant to the Commercial Law dated June 14, 2005;

Pursuant to the Government’s Decree No. 132/2008/ND-CP dated December 31, 2008 elaborating certain articles of the Law on Quality of Goods and Products;

Pursuant to the Government’s Decree No. 187/2013/ND-CP dated November 20, 2013, detailing the implementation of the Commercial Law regarding international goods trading and goods purchase, sale, processing and transit agency activities with foreign countries;

Pursuant to the Government’s Decree No. 107/2012/ND-CP dated December 20, 2012 defining the Functions, Tasks, Powers and Organizational Structure of Ministry of Transport;

At the request of Director of Science and Technology Department, and of Director of Vietnam Register;

Minister of Transport promulgates a Circular providing for technical safety quality and environmental protection inspection of transport construction machinery.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

1. This Circular provides for technical safety quality and environmental protection inspection of imported transport construction machinery, those manufactured or assembled from unused components or unused chassis without registration plates issued, and those modified for use.

2. Transport construction machinery which is manufactured, assembled or imported by Ministry of National Defence or Ministry of Public Security to serve national defense and security purposes shall not be governed by regulations herein.

Article 2. Regulated entities

This Circular applies to competent authorities, organizations and individuals involved in management and inspection of import, manufacturing or assembly of transport construction machinery from unused components or unused chassis without registration plates issued, or modification of transport construction machinery for use.

Article 3. Interpretation of terms

The following terms, technical standards and regulations are used to serve the purposes of this Circular.

1. “transport construction machinery” (hereinafter referred to as "TCM”) refers to types of construction vehicles defined in TCVN 7772:2007 “Moving engineering construction machinery and equipment – Classification” and those specified in the Appendix II of the Circular No. 13/2015/TT-BGTVT dated April 21, 2015 by Minister of Transport on promulgation of lists of imports subject to specialized management by the Ministry of Transport under the Government’s Decree No. 187/2013/ND-CP dated November 20, 2013.

2. “TCM of the same type” means TCM of the same industrial property rights, trade mark, design, major technical specifications and production country.

3. “typical sample” refers to the TCM which is tested and examined so as to issue a type approval certificate.

4. “quality certificate” refers to one of the following documents: Notice of exemption from inspection of technical safety quality and environmental protection for imported transport construction machinery-TCM (hereinafter referred to as "Notice of exemption”), Certificate of conformity from inspection of technical safety quality and environmental protection for imported transport construction machinery-TCM (hereinafter referred to as “Certificate of conformity”), Notice of non-conformity from inspection of technical safety quality and environmental protection for imported transport construction machinery-TCM (hereinafter referred to as “Notice of non-conformity”), Certificate of design approval, Type approval certificate for transport construction machinery (hereinafter referred to as “Type approval certificate”), Certificate of modified design approval and Certificate of conformity from inspection of technical safety quality and environmental protection for modified transport construction machinery.

5. “type approval certificate” means the process of inspection, testing, review, assessment and certification of conformity of a TCM type with the Ministry of Transport’s technical standards and regulations on technical safety quality and environmental protection.

6. “inspection certificate of technical safety and environmental protection for used TCM” (hereinafter referred to as “inspection certificate ") refers to the document indicating that TCM has been tested and found to fulfill technical standards and regulations on technical safety quality and environmental protection.

7. “inspection stamp of technical safety and environmental protection for used TCM” (hereinafter referred to as “inspection stamp") refers to an emblem mounted onto the TCM which has been accredited by a inspection certificate and licensed to participate in road transportation for the validity term provided in the inspection stamp.

8. “importer” refers to any organization or individual that imports TCM.

9. "design appraisal” means the process of examining and reviewing contents of a design of the TCM to determine its compliance with applicable technical standards and/or regulations so as to ensure that manufactured/ assembled TCM will fulfill all technical safety quality and environmental protection requirements.

10. “designing party” refers to an organization that processes a valid business registration certificate and engages in design of TCM or a manufacturer or modification services provider that produces its own design of TCM.

11. “manufacturer” refers to an enterprise that manufactures and assembles TCM in accordance with applicable regulations.

12. “modifying party” refers to an organization that provides TCM modification services.

13. “inspecting units" include motor vehicle inspection centers and Vietnam Register Offices that have fulfilled all equipment and personnel requirements to conduct vehicle inspection in accordance with regulations and have their names published on the website of Vietnam Register.

14. “TCM owner” means the organization or individual owning the TCM, or the person who drives or takes the TCM to the inspection.

15. “Conformity of Production (CoP) assessment” refers to the process of reviewing and assessing the conformity of the manufacturer’s production or assembly line with technical safety and environmental protection requirements.

16. Technical standards and regulations referred to in this Circular include:

a) QCVN 13:2011/BGTVT: National technical regulation on quality, safety and environmental protection for construction machinery;

b) QCVN 22:2010/BGTVT: National technical regulation on construction and survey of lifting appliances;

c) QCVN 12:2011/BGTVT: National technical regulation on permitted tolerance and rounding of vehicle dimension and mass; on permitted tolerance and rounding of dimension and mass of vehicles used as heavy-duty vehicles;

d) TCVN 7772: Moving engineering construction machinery and equipment – Classification;

dd) TCVN 4244: Lifting appliances – Design construction and survey.

Chapter II

TECHNICAL SAFETY QUALITY AND ENVIRONMENTAL PROTECTION INSPECTION OF IMPORTED TRANSPORT CONSTRUCTION MACHINERY

Article 4. Application for inspection

1. The application for inspection shall include the following documents:

a) The application form using the form stated in the Appendix I enclosed herewith;

b) The copy of commerce invoice or equivalent document;

c) The copy of customs declaration form (if the imported TCM is located outside the supervision areas of customs authorities and this document must be submitted before the date of physical inspection);

d) The document indicating features and technical specifications of TCM or the information sheet of imported TCM made using the form stated in the Appendix II enclosed herewith;

dd) The original of the manufacturer’s ex-factory quality inspection certificate or certificate of quality. These documents shall be submitted for TCM type approval inspection as prescribed in Clause 1 Article 6 herein.

2. The document indicating features and technical specifications of TCM stated in Point d Clause 1 of this Article is not required in the application for inspection of TCM of the same type with the one granted a Certificate of conformity. Types of TCM having Certificate of conformity issued are published on the website of Vietnam Register.

Article 5. Inspection procedures

1. The importer shall submit an application, which comprises the documents mentioned in Article 4 herein, by hand or by post or by another appropriate means to the Vietnam Register.

2. Upon the receipt and examination of an application for inspection, Vietnam Register shall:

a) give confirmation to the application form for technical safety quality and environmental protection inspection of imported transport construction machinery within 01 working day from the receipt of a valid application. The importer must take the TCM to the inspection site within 15 working days from the date on which a confirmation is given.

In case the importer fails to take the TCM to the anticipated inspection site within 15 working days from the date of goods release, a written explanation about such lateness must be submitted to Vietnam Register.

b) If the application is invalid, Vietnam Register shall instruct the importer to supplement the application within 01 working date from the receipt of the application.

3. Vietnam Register shall conduct a physical inspection of TCM on the inspection date and at the inspection site agreed upon with the importer. Such physical inspection must be completed within a day.

4. Within 05 working days from the receipt of sufficient application and completion of physical inspection, Vietnam Register shall issue a quality certificate to the qualified importer.

5. Such quality certificate is issued to the importer who presents tax and fee receipts only.

Article 6. Inspection methods

1. Type approval inspection:

a) This method of inspection is employed to inspect a brand new TCM which is less than 03 years old counted from the date of manufacture, has sufficient documents as prescribed in Clause 1 Article 4 herein, and satisfies one of the following conditions: TCM has been inspected in accordance with the mutual recognition agreement to which Vietnam is a signatory; or TCM is manufactured by a foreign manufacturer that has passed CoP assessment by Vietnam Register in accordance with regulations in Clause 2 Article 12 herein and is the same type as the one accredited by Certificate of conformity granted by Vietnam Register.

b) Inspection tasks: Examine the conformity of type of the TCM which is selected at random from the production line of a specific TCM type as specified in the application for inspection to the type of TCM accredited by Certificate of conformity; visually inspect the chassis number and engine number of each imported TCM of the same type as that specified in the application for inspection.

2. Random inspection:

a) This method is employed to inspect a brand new TCM which is less than 03 years old counted from the date of manufacture, has sufficient documents as prescribed in Clause 1 Article 4 herein, and is not subject to the type approval inspection prescribed in Clause 1 of this Article.

b) Inspection tasks: Select a piece of TCM of a specific type at random to inspect the following items: general inspection of braking system (brake functions are not inspected), control system, operating system (load testing is not conducted), lighting and signaling system, emission and noise inspection made in accordance with applicable technical standards and regulations; visual inspection of chassis number and engine number of every imported TCM of the same type as that specified in the application for inspection.

3. Individual inspection of TCM:

a) This method is employed to inspect TCM which is not subject to the methods of inspection prescribed in Clause 1 and Clause 2 of this Article but has sufficient documents as prescribed in Clause 2 Article 1 herein;

b) Inspection tasks: individually inspect items as prescribed in applicable technical standards and regulations (load testing and brake functions are not inspected).

Article 7. Handling of inspection results

1. Based on inspection results and TCM documentation, Vietnam Register shall issue Certificate of conformity. To be specific:

a) If TCM fulfills all of requirements upon the type approval inspection results, Vietnam Register shall issue a Notice of exemption using the form stated in the Appendix III enclosed herewith;

b) If TCM fulfills all of requirements upon the results of random inspection or individual inspection of TCM, Vietnam Register shall issue a Certificate of conformity using the form stated in the Appendix IV enclosed herewith;

c) If inspection results indicate that TCM fails to satisfy requirements, Vietnam Register shall issue a Notice of non-conformity using the form stated in the Appendix V enclosed herewith;

d) If the chassis number and/or engine number of inspected TCM is found to be altered or re-stamped, Vietnam Register shall: Suspend inspection works and make record of imported TCM’s violation of Decree No. 187/2013/ND-CP using the form stated in Appendix VI enclosed herewith. Within 03 working days from the detection of violation, Vietnam Register shall make and send the Notice of imported transport construction machinery’s violation of Decree No. 187/2013/ND-CP using the form stated in Appendix VII enclosed herewith to the importer and the customs authority (at the place where import procedures are conducted).

2. Actions taken in certain special cases of inspection:

a) If major technical specifications stated in technical documents of the used TCM are insufficient as required, remaining major technical specifications shall be recorded according to physical inspection results;

b) In case TCM of large dimension and weight must be disassembled for shipment to Vietnam, Vietnam Register shall conduct the inspection of imported TCM only after it has been reassembled;

c) If imported TCM has been damaged during the shipment from the port of loading to Vietnam, importer shall be allowed to replace or repair paint scratches, broken windshields or window, cracked or broken lighting or signaling systems, cracked or broken rear-view mirror, damaged or ineffective windscreen wipers, or damaged battery;

d) If imported TCM is not used to participate in road traffic network, the phrase " Xe này không tham gia giao thông Đường bộ” must be specified in the issued Certificate of conformity;

dd) In case of right-hand drive TCM imported in accordance with regulations in Item 6a Part II Appendix 1 enclosed with the Decree No. 187/2013/ND-CP dated November 20, 2013, if inspection result indicates that such imported right-hand drive TCM satisfies all technical safety and environmental protection requirements, certificate of conformity shall be granted provided that the note “Operation of this TCM is limited and this TCM may not participate in traffic network” must be specified in the certificate of conformity.

e) In case TCM is equipped with adaptive cruise control system or specially designed exhaust pipe, emission inspection shall not conducted because it is unable to put the sampling probe into the exhaust pipe;

g) With regard to TCM with multiple chassis numbers or engine numbers, Vietnam Register shall specify the status of TCM’s chassis number or engine number in the Certificate of conformity and make note of location of every number in special cases;

h) When there is some doubt about TCM's chassis numbers or engine numbers, Vietnam Register shall has it assessed by a competent examination authority;

i) Production year shall be determined according to the following grounds: PIN number, chassis number, documents issued by manufacturer such as catalogue, technical specification manual, TCM-related information searched by employing software of international organizations or associations, information shown in the manufacturer’s trade mark mounted onto or stamped on TCM, and information shown in the copy of TCM’s registration certificate or certificate of deregistration issued by a competent foreign authority.

3. Method and contents of CoP assessment of band new TCM are available in Article 12 herein.

Chapter III

TECHNICAL SAFETY QUALITY AND ENVIRONMENTAL PROTECTION INSPECTION OF DOMESTICALLY MANUFACTURED/ASSEMBLED TRANSPORT CONSTRUCTION MACHINERY

Article 8. Design dossier

1. Design dossier includes the following documents:

a) The original of the explanation about technical design of TCM using the form stated in Section A of the Appendix VIII enclosed herewith;

b) The original of the technical drawing using the form stated in Section B of the Appendix VIII enclosed herewith;

c) Information sheet of technical specifications of imported parts and systems relating to design contents.

2. Design dossier of TCM manufactured/ assembled according to foreign design and bearing foreign trade mark is not required provided that the manufacturer can present the following documents:
a) Technical drawing that shows general layout of TCM, overall dimensions, arrangements and dimensions of operating systems and cabin;

b) The copy of type approval certificate issued by a competent foreign authority;

c) The technology transferor’s written certification that the quality of TCM manufactured/ assembled in Vietnam is conformable with the prototype.

Article 9. Design appraisal

1. Design dossier must be appraised by Vietnam Register.

2. If appraisal result indicates that the design dossier fulfills all requirements, Vietnam Register shall issue a Certificate of design approval using the form stated in the Appendix IX enclosed herewith.

3. Certificate of design approval is made into 03 Copies: each of Vietnam Register and designing party shall retain 01 copy and the other is sent to the manufacturer.
4. Modifications to design dossier:

a) If there is any change or modification to the appraised design dossier, the manufacturer or the designing party must submit an application to Vietnam Register for appraisal of changed or modified contents of such design dossier in accordance with the procedures mentioned in Clause 5 of this Article.

b) The designing party must prepare a new design dossier if appraisal result indicates that changed or modified contents of design dossier fail to satisfy requirements for TCM of the same type as prescribed in the Appendix I enclosed herewith.

5. Design appraisal procedures

a) An application for design appraisal includes: An application form for design appraisal, 03 types of required documents of a design dossier as prescribed in Clause 1 Article 8 herein and a copy attached with the original thereof for comparison or a certified copy of business registration certificate or equivalent paper of the designing party (if this is an initial appraisal of design dossier).

b) Appraisal steps:

The designing party or the manufacturer (if the manufacturer itself makes design) shall prepare and submit an application for design appraisal, which includes types of documents mentioned in Point a Clause 5 of this Article, to Vietnam Register by hand or by post or by another appropriate means.

Vietnam Register shall verify the application within 01 working day from the receipt of such application. Vietnam Register shall instruct the applicant to supplement the application if it is invalid or give the applicant an appointment note to receive appraisal result if the application is sufficient and valid as regulated.

Vietnam Register shall conduct the appraisal of design dossier. If design dossier fails to meet requirements, Vietnam Register shall request the applicant to supplement it. If design dossier meets all requirements, Vietnam Register shall issue a Certificate of design approval using the form stated in the Appendix IX enclosed herewith.

c) Time-limit for processing an application for design appraisal:

The appraisal of a design dossier must be completed within 15 working days from the receipt of a valid application as prescribed.

Article 10. Representative sample inspection and test

1. The manufacturer shall prepare and transport the representative sample of TCM to the inspection site as agreed upon with Vietnam Register. Items and parts to be inspected or tested are prescribed in the Appendix X enclosed herewith.

2. Vietnam Register shall inspect and/or test representative sample in conformity with applicable technical standards and regulations, and then prepare the inspection/ test report as regulated.

Article 11. Inspection dossier

1. An inspection dossier includes:

a) The original of representative sample inspection/ test report;

b) Design dossier appraised by Vietnam Register or substitutes thereof as prescribed in Clause 2 Article 8 herein;

c) TCM photograph; Information sheet of manufactured/assembled TCM using the form stated in Appendix XI enclosed herewith;

d) List of domestically manufactured and imported parts and systems used for manufacturing or assembly of TCM using the form stated in Appendix XII enclosed herewith;

dd) Description of manufacturing/assembling technology and inspection procedure;

e) Explanation about method and location of punching chassis number and engine number;

g) Instruction manual and warranty certificate.

2. Inspection dossier must be retained at Vietnam Register and the manufacturer for at least 02 years from the date on which the manufacturer sends a notification of stopping manufacturing/assembly of TCM type granted Certificate to Vietnam Register.

Article 12. CoP assessment

1. In order to ensure quality of mass-produced TCM, the manufacturer must satisfy all of the following requirements:

a) Have procedure and professional guidance on quality control for each TCM type, including quality control of input components, each production step, ex-factory quality inspection as well as warranty and maintenance;

b) Have quality control equipment conformable to each step of the production process and ex-factory quality inspection;

c) Recruit qualified technicians to take charge of ex-factory quality inspection.

2. Vietnam Register shall conduct CoP assessment by employing the following methods:

a) Initial assessment: This assessment must be conducted before issuing a type approval certificate by consideration and assessment of the following contents: Manufacturing/assembly procedures and quality management system; quality documents retention and management; human resources engaging in manufacturing/assembly and quality control; equipment serving ex-factory quality inspection; operations of quality control system during the manufacturing/assembly, ex-factory quality inspection and launching;

b) Annual assessment: This assessment shall be conducted every year so as to certify the manufacturer’s maintenance of fulfillment of quality requirements as registered and certified in the initial assessment. Inspection and assessment activities shall be further conducted if any non-conformity is found in course of manufacturing/assembly and quality inspection;

c) Unscheduled assessment: This assessment is conducted in case the manufacturer is found to commit violations against quality inspection rules or any well-grounded complaint about TCM quality is made.

CoP assessment is carried out in accordance with guidelines of ISO 9000 regarding quality management systems and corresponding technical standards/regulations.

3. CoP assessment is not mandatory if TCM is manufactured/ assembled according to the same or insignificantly modified manufacturing/assembly and quality inspection procedures which have been accredited by a COP certification and applied to produce the same TCM type.

Article 13. Issuance of type approval certificate

1. Based on the TCM inspection dossier prescribed in Article 11 herein, product inspection/test report and CoP assessment report, Vietnam Register shall issue a type approval certificate using the form stated in the Appendix XIII enclosed herewith.

2. Procedures for a type approval certificate:

a) The manufacturer shall prepare the inspection dossier as prescribed in Article 11 herein and submit it by hand or by post or by another appropriate means to Vietnam Register;

b) Vietnam Register shall receive and verify the inspection dossier. Vietnam Register shall instruct the manufacturer to supplement the inspection dossier within 01 working day from the receipt of an invalid inspection dossier. If the inspection dossier is sufficient and valid as regulated, Vietnam Register shall come to an agreement with the manufacturer on representative sample inspection site and date as well as CoP assessment schedule;

c) Based on representative sample inspection/test report as prescribed in Clause 2 Article 10 herein and CoP assessment report, Vietnam Register shall request the manufacturer to supplement the inspection

3. Time-limit for issuing a type approval certificate:

A type approval certificate shall be issued within 05 working days from the date on which the inspection dossier is certified valid in accordance with regulations.

Article 14. Inspection during the mass production

1. After obtain a type approval certificate, the manufacturer shall start the mass production, have quality inspected during the process of manufacturing/assembling each TCM and ensure that produced TCM shall be conformable to the certified type and representative sample.

2. The manufacturer shall assume responsibility for the origin and quality of each finished TCM.

3. Each mass-produced TCM must bear the ex-factory quality self-inspection by the manufacturer.

4. Ex-factory dossier for manufactured/assembled TCM:

a) With regard to TCM granted type approval certificate and ex-factory quality inspection report, the manufacturer shall be provided with the template of ex-factory quality inspection certificate according to the form stated in the Appendix XIV enclosed herewith in corresponding to the quantity of produced TCM. Based on quality inspection result of each finished TCM, the manufacturer shall issue ex-factory quality inspection certificate (hereinafter referred to as “factory certificate”) to such TCM. A valid factory certificate must bear the signature and seal of an authorized officer. This factory certificate is used for TCM registration or presented at the request of a competent authority;
b) The manufacturer shall prepare and issue the following documents to each finished TCM: The original of factory certificate prescribed in Point a of this Clause for applying for TCM registration; the copy of factory certificate for applying for initial inspection of TCM for compliance with technical safety and environmental protection requirements; instruction manual which specifies major technical specifications and instructions for using TCM’s safety systems; warranty number or certificate which specifies warranty requirements and details of warranty service providers;

c) The manufacturer shall make and submit periodical reports on the quantity, type and quality inspection results of finished TCM to Vietnam Register.

Article 15. Type assessment for TCM granted type approval certificate; suspension and revocation of type approval certificate

1. Vietnam Register shall conduct type assessment for TCM granted type approval certificate in the following cases:

a) Annual type assessment;

b) Type assessment made if there is difference between newly produced TCM type and the one granted type approval certificate;

c) Type assessment made upon the occurrence of changes in relevant technical standards and regulations.

2. Grounds for conducting type assessment for TCM granted type approval certificate:

a) CoP assessment report as prescribed in Clause 2 Article 12 herein;

b) The conformity of TCM granted type approval certificate to corresponding national technical regulations and standards.

3. When changes in the national technical regulations and standards governing TCM type granted type approval certificate come into force or when changes in TCM affect the conformity of such TCM to corresponding national technical regulations and standards, the manufacturer must re-apply for type approval certificate in accordance with new national technical regulations and standards. In such cases, the manufacturer must supplement the following documents to Vietnam Register:

a) Documents relating changes in TCM;

b) Report on inspection of TCM types conducted in accordance with new national technical regulations and standards or report on inspection of changed items of TCM type made in accordance with applicable national technical regulations and standards.

Vietnam Register shall receive, verify and consider supplemented documents. Procedures for issuing a new type approval certificate in this case shall be carried out in accordance with regulations in Article 13 herein.

4. Suspension of type approval certificate:

Vietnam Register shall suspend a type approval certificate for 03 months with giving a written notification of suspension to the manufacturer in the following cases:

a) The manufacturer commits any violations against regulations on quality inspection or use of factory certificate; or

b) Finished TCM shows unconformity to the type inspection dossier and representative sample of TCM granted type approval certificate but the manufacturer fails to implement any remedial measures.

During the period of suspension, the manufacturer must implement remedial measures against such violations. Vietnam Register shall conduct an inspection upon the receipt of the manufacturer’s notification of its remedy for violations. If violations are remedied, Vietnam Register shall resume the type approval certificate by giving a written notification to the manufacturer. Over the suspension period but the manufacturer fails to remedy such violations, Vietnam Register shall continue suspending the type approval certificate for another 3-month period. Over the second suspension period but the manufacturer still fails to remedy its violations, the type approval certificate shall be revoked in accordance with regulations in Point c Clause 5 of this Article.

5. Revocation of type approval certificate:

Vietnam Register shall give a written notification of revocation and termination of a type approval certificate in the following cases:

a) TCM type no longer meets applicable national technical regulations and/or standards, or there are changes in TCM type resulting in its unconformity to the inspection dossier and the granted type approval certificate but the manufacturer fails to apply for re-inspection in accordance with regulations;

b) The CoP assessment report shows that the manufacturer commits serious violations against regulations on quality inspection or use of factory certificate;

c) Ending the second suspension period of the type approval certificate as prescribed in Clause 4 of this Article but the manufacturer still fails to remedy its violations.

Chapter IV

TECHNICAL SAFETY QUALITY AND ENVIRONMENTAL PROTECTION INSPECTION OF MODIFIED TRANSPORT CONSTRUCTION MACHINERY

Article 16. Application for appraisal of modified TCM design

1. An application for appraisal of modified TCM design includes:

a) The application form for certification of quality of modified TCM;

b) Business registration certificate or equivalent documents of the designing party (if this is initial design);

c) Drawings of TCM before and after modification; technical drawings and documents about parts and systems used for modification; explanation of the influence of modified contents on items to be inspected and calculated in the Appendix XV enclosed herewith; photograph of TCM before modification; information sheet of TCM (if changed) made using the form stated in the Appendix XVI enclosed herewith.

2. Procedures for appraisal of modified design:

a) The designing party shall prepare and submit an application for appraisal of modified TCM design to Vietnam Register by hand or by post or by another appropriate means.

b) Vietnam Register shall verify the application within 01 working day from the receipt of such application. Vietnam Register shall instruct the applicant to supplement the application if it is invalid or give the applicant a receipt note if the application is sufficient and valid as regulated.

c) Within 07 working days from the receipt of a valid application for appraisal of modified TCM design, Vietnam Register shall issue a certificate of modified design approval using the form stated in the Appendix XVIII enclosed herewith if the modified design meets all requirements. If an application is refused, Vietnam Register shall give a written notification which specifies reasons for refusal to the designing party.

Article 17. Testing of modified TCM

1. The modifying party shall take the modified TCM to the agreed-upon inspection site.

2. Vietnam Register shall make inspection report after conducting physical inspection of the conformity of modified TCM to the approved modified design and technical safety quality and environmental protection requirements as well as applicable technical regulations and standards. A written notification of modified items/parts failing to meet requirements shall be given to the modifying party.

Article 18. Issuance of certificate of quality of modified TCM

1. A certificate of quality of modified TCM made according to the form stated in the Appendix XVIII enclosed herewith shall be issued if modified TCM satisfies all requirements when tested.

2. Certificate of quality of modified TCM is made into 02 Copies and issued to the TCM owner to apply for inspection and registration of plate number.

3. Certificate of quality of modified TCM shall be issued within 05 working days from the date on which modified TCM is tested and certified to meet all relevant requirements.

Chapter V

TECHNICAL SAFETY QUALITY AND ENVIRONMENTAL PROTECTION INSPECTION OF USED TRANSPORT CONSTRUCTION MACHINERY

Article 19. Application for inspection of used TCM

An application for inspection of used TCM includes:

1. The application form for technical safety quality and environmental protection inspection of used TCM using the form stated in the Appendix XIX enclosed herewith.

2. One of the following documents if applying for inspection for the first time:

a) The original or the soft copy of quality certificate; or

b) The copy of factory certificate; or

c) The copy of technical document including drawing and major technical specifications or the information sheet of technical specifications if TCM has been imported or manufactured/assembled before December 01, 2009 (i.e. the date of entry into force of the Circular No. 23/2009/TT-BGTVT dated October 15, 2009 by Minister of Transport on technical safety quality and environmental protection inspection of transport construction machinery).

3. The original of certificate of quality of modified TCM, if any;

Article 20. Inspection procedures

1. The TCM owner shall prepare and submit an application for inspection of used TCM in accordance with regulations in Article 19 herein to the inspecting unit.

2. Inspecting unit shall verify the received application. If the application is insufficient and invalid, the inspecting unit shall instruct the applicant to supplement the application within a day (if such application is submitted by hand) or give a written notification to the applicant to supplement the application within 02 working days (if such application is submitted by post or by another appropriate means). In case of a valid application, the inspecting unit shall come into an agreement on inspection date and site with the applicant (if the inspection is conducted outside the inspecting unit as requested by the applicant).

3. The inspection of used TCM shall be conducted. The TCM owner shall be immediately informed if the inspection result shows that used TCM fails to meet requirements. If the inspection result shows that used TCM meets requirements, certificate of quality of used TCM shall be issued within 01 working day from the completion of inspection works if the inspection is conducted at the location of the inspecting unit, or within 03 working days the completion of inspection works if the inspection is conducted outside the inspecting unit.

4. Method of application: The TCM owner may submit the application for inspection of used TCM to the inspecting unit by hand or by post or by another appropriate means.

Article 21. Contents of inspection

1. Used TCM shall be inspected in accordance with relevant technical regulations and standards. If an inspection of used TCM is conducted at a location other than the location of the inspecting unit, emission inspection shall not be conducted.

2. Photograph of the inspection site shall be taken at 45-degree angle from the front side of the inspected TCM or the opposite rear angle so that the TCM's type and plate number are clearly shown. In case of unavailability of TCM’s plate number, the chassis number shall be photographed or stenciled to serve the preparation of inspection certificate for used TCM. Time of taking such photograph must be shown on such photograph.

3. Inspection results shall be recorded in the report on technical safety quality and environmental protection inspection (hereinafter referred to as “inspection report”) made using the form stated in the Appendix XX enclosed herewith.

4. Issuance of inspection certificate, inspection stamp and inspection result report:

a) The following documents shall be issued if inspection result shows that the inspected TCM meets all requirements: Inspection certificate and inspection stamp made according to the form stated in the Appendix XXII and the Appendix XXIII enclosed herewith. Inspection certificate and inspection stamp shall be printed out from the TCM management software; Inspection result report (for lifting equipment prescribed in Point 2 Section VI of the Appendix II enclosed herewith) shall be made using the form stated in the Appendix XXI enclosed herewith;

b) Inspection certificate, inspection stamp and inspection result report prescribed in Point a of this Clause shall remain valid for 12 months. Inspection certificate shall bear the same serial number as that of the inspection stamp;

c) Inspection certificate, inspection stamp and inspection result report prescribed in Point a of this Clause shall be null and void in the following cases: Contents of inspection certificate are not conformable to actual technical specifications of used TCM; or a new inspection certificate is granted to that used TCM; or the TCM owner makes declaration of loss of TCM; or the inspecting unit issues a notice of revocation of inspection certificate; or the TCM met an accident so that it fails to satisfy technical safety quality and environmental protection requirements; or inspection certificate is damaged or torn;

d) The re-issuance of inspection certificate, inspection stamp and inspection result report prescribed in Point a of this Clause due to loss or damage shall be subject to re-inspection of TCM in accordance with regulations in Article 20 herein. Inspection certificate and inspection stamp shall still remain their validity regardless of change in TCM owner or area of operation.

Article 22. Issuance of blank templates of inspection certificate and inspection stamp, and reports by inspecting units

1. Procedures for issuance of blank templates of inspection certificate and inspection stamp:

a) Each inspecting unit shall prepare and submit the application for provision of blank templates using the form stated in the Appendix XXIV enclosed herewith by hand or by post or electronically to Vietnam Register from the 15^th day to the 20^th day of the ending month of each quarter;

b) After considering the demand and capacity of the requesting inspecting unit, Vietnam Register shall, directly or by post, provide such inspecting unit with blank templates from the 23^rd day to the 30^th day of the ending month of each quarter.

2. Reports by inspecting units:

Each inspecting unit shall submit report on its inspection works as follows:

a) Transmit inspection-related data to the server of Vietnam Register after each inspection certificate and inspection stamp is printed out;

b) Submit periodical report on issuance of inspection certificate and inspection stamp according to the form of report stated in the Appendix XXV enclosed herewith by the 05^th day of the subsequent month;

c) Submit other reports at the request of a competent authority.

Chapter VI

RESPONSIBILITY OF RELEVANT ORGANIZATIONS AND INDIVIDUALS

Article 23. Responsibility of Vietnam Register

Vietnam Register shall manage, organize and conduct inspections, tests and certification of quality of imported TCM, manufactured/assembled TCM, modified and used TCM. Vietnam Register shall assume responsibility to:

1. Organize the implementation of this Circular.

2. Develop software programs for management of imported, manufactured/assembled, modified and used TCM; print and manage blank templates of inspection certificate, inspection stamp and other quality certificates prescribed herein.

3. Submit annual or unexpected reports on inspection of TCM’s conformity to technical safety quality and environmental protection requirements to the Ministry of Transport.

Article 24. Responsibility of Provincial Departments of Transport

1. Organize routine inspections of used TCM at their affiliates.

2. Cooperate with Vietnam Register to consistently perform state management of inspections for technical safety and environmental protection for TCM within their competence in the province.

Article 25. Responsibility of inspecting units

1. Properly conduct inspections and issue inspection certificate to TCM that fulfills requirements. The head of each inspecting unit and the person directly conducting inspection works shall assume responsibility for inspection results.

2. Assign inspectors who have attended professional training courses and appointed by the Director of Vietnam Register to conduct inspections of TCM in accordance with regulations.

3. Make inspection procedures, contents, technical standards and regulations, their service fees and working hours publicly; employ software programs for management of TCM to issue inspection results, and print inspection certificates and inspection stamps.

4. Manage written records, comply with regulations on retention of records, reports and data transmission; comply with and facilitate the inspection and supervision by competent authorities.

5. Manage and supervise inspection works conducted by their employees; provide training courses in professional ethics to their employees; take actions to prevent violations against regulations on inspection committed by their employees.

6. Inspect, maintain and repair inspection equipment and devices in order to guarantee their accuracy and operation in compliance with regulations.

Article 26. Responsibility of importers

1. Assume responsibility for the origin and quality of imported TCM as well as the accuracy and genuineness of documents submitted to Vietnam Register.

2. Maintain existing status of imported TCM so that Vietnam Register may conduct quality inspection in accordance with regulations.

3. Keep and maintain any issued documents certifying inspection results, and present them at the request of competent law enforcement officers.

Article 27. Responsibility of manufacturers

1. Manufacture, assemble and modify TCM in compliance with applicable technical regulations and standards.

2. Formulate quality inspection procedures for finished TCM and invest in inspection equipment corresponding to manufacturing scale; conduct quality inspection of each finished TCM and assume responsibility for quality of finished TCM.

3. Keep and maintain any issued documents certifying inspection results, and present them at the request of competent law enforcement officers.

4. Establish quality management system and maintain details of buyers for use in necessary cases.

5. Set up quality data collection system, analyze technical errors and retain relevant information.

6. Actively submit reports on technical errors. Relevant information must be sufficiently and timely provided during the process of investigation by Vietnam Register.

7. Give information concerning recall of TCM to their agents, service stations and clients.

8. Dossier of finished TCM must be retained for at least 02 years from the date on which the manufacturer stops manufacturing/assembling such TCM type granted type approval certificate.

9. Dossier of modified TCM must be retained for at least 02 years from the date of certificate of quality of modified TCM issued by Vietnam Register.

Article 28. Responsibility of TCM owners

1. Assume responsibility to repair and maintain TCM to ensure the conformity of TCM to technical safety quality and environmental protection requirements between two inspection periods;

2. Not to forge, erase or modify the issued inspection certificate;

3. Provide necessary information relating inspection contents, administrative management and technical specifications of TCM, including relevant documents and dossiers to the inspecting unit;

4. Return inspection certificate and inspection stamp at the request of the inspecting unit;

5. Inspection certificate is delivered to the TCM owner for presentation at the request of a competent authority. Inspection stamp is delivered to the TCM owner to stamp on the inside of the windshield surface or where it is easily visible. Expiration date must be revealed and easily seen.

Article 29. Fees and charges

Fees and charges concerning inspection and certification shall be paid in accordance with applicable laws.

Article 30. Document retention

1. Inspection dossier prescribed in Article 4 herein and documents prepared during the inspection must be retained at Vietnam Register for at least 02 years from the issued date of quality certificate.

2. Inspection dossier prescribed in Article 8 herein and documents prepared during the inspection must be retained at the inspecting unit for at least 02 years from the date on which the manufacturer stops manufacturing/assembly of TCM type granted type approval certificate.

3. Modified design dossier prescribed in Article 16 herein and documents prepared during the inspection must be retained at the inspecting unit for at least 02 years from the issued date of certificate of quality of modified TCM.

4. Document prescribed in Clause 2, Clause 3 Article 19, Clause 2 Article 21 herein shall be retained during the operation of related TCM. Documents prescribed in Clause 3 Article 21 (originals), Point a Clause 4 Article 21 (photocopies) herein shall be retained at inspecting units for at least 02 years from the inspection date.

Chapter VII

IMPLEMENTATION PROVISIONS

Article 31. Application of electronic documents

Electronic versions of dossier, documents and certificates of quality herein may substitute for hard Copies when relevant procedures are performed via portals.

Article 32. Entry into force

1. This Circular shall come into force as from July 01, 2016 and abrogate the following Circulars and regulations:

a) The Circular No. 23/2009/TT-BGTVT dated October 15, 2009 by Minister of Transport providing for technical safety quality and environmental protection inspection of transport construction machinery;

b) The Circular No. 41/2011/TT-BGTVT dated May 18, 2011 by Minister of Transport on amendments to the Circular No. 23/2009/TT-BGTVT dated October 15, 2009 by Minister of Transport providing for technical safety quality and environmental protection inspection of transport construction machinery;

c) Article 1 and Article 4 of the Circular No. 19/2014/TT-BGTVT dated May 20, 2014 by Minister of Transport on amendments to the Circular No. 23/2009/TT-BGTVT dated October 15, 2009 by Minister of Transport providing for technical safety quality and environmental protection inspection of transport construction machinery, the Circular No. 44/2012/TT-BGTVT dated October 23, 2012 by Minister of Transport providing for technical safety quality and environmental protection inspection of imported motorcycles and mopeds, and imported engines used for manufacturing/assembly of motorcycles and mopeds, and the Circular No. 41/2013/TT-BGTVT dated November 05, 2013 by Minister of Transport providing for technical safety quality inspection of electric bicycles with respect to regulations on transport construction machinery.

2. Certificates issued before the date of entry into force of this Circular shall remain valid according to the validity period specified in such certificates.

Article 33. Implementation

1. Chief of the Ministry's Office, Chief Inspector of the Ministry, Directors of Departments affiliated to the Ministry, Director of Vietnam Register, Directors of Departments of Transport of provinces or central-affiliated cities, heads of relevant agencies/ organizations and relevant individuals shall be responsible for implementing this Circular.

2. Difficulties that arise during the implementation of this Circular should be reported to the Ministry of Transport for consideration.