CIRCULAR

ON ASSESSMENT AND CERTIFICATION OF THE SAFETY OF FISHERY FOOD PRODUCTS FOR EXPORT[1]

Circular No. 48/2013/TT-BNNPTNT dated November 12, 2013 of the Minister of Agriculture and Rural Development on inspection and certification of the safety of fishery food products for export, coming into force as of December 26, 2013, amended by:

Circular No. 17/2024/TT-BNNPTNT dated November 28, 2024 of the Minister of Agriculture and Rural Development on amendments to Circulars on the assessment and certification of agricultural, forestry, and fishery food production and business establishments meeting food safety requirements under the management of the Ministry of Agriculture and Rural Development, coming into force as of January 15, 2025.

Pursuant to Law No. 05/2007/QH12 on products and goods quality dated November 21, 2007;

Pursuant to Law No. 55/2010/QH12 on Food Safety dated June 17, 2010;

Pursuant to the Government’s Decree No. 132/2008/ND-CP dated December 31, 2008 providing detailed regulations on the implementation of some articles of Law on products and goods quality;

Pursuant to the Government’s Decree No. 38/2012/ND-CP dated April 25, 2012 providing detailed regulations on the implementation of some articles of Law on Food safety;

Pursuant to the Government’s Decree No. 01/2008/ND-CP dated January 03, 2008 on functions, tasks, power and organizational structure of the Ministry of Agriculture and Rural Development and the Government’s Decree No. 75/2009/ND-CP dated September 10, 2009 on amendments to Article 3 of Decree No. 01/2008/ND-CP ;

According to suggestion of Director of the National Agro Forestry Fisheries Quality Assurance Department,

The Minister of Agriculture and Rural Development on inspection and certification of the safety of fishery food product for export[2].

Chapter I

GENERAL PROVISIONS

Article 1. Scope[3]

1. The applications, procedures, and authority for assessing food safety conditions to register and add fishery food production and business establishments (hereinafter referred to as Establishments) to the list of exporters to countries or territories requiring: registration, compilation of the export establishment list, and issuance of food safety certificates for export consignment by the competent authority of Vietnam (hereinafter referred to as the Export List); Issuance and revocation of the Certificate of Food Safety Eligibility (hereinafter referred to as the Food Safety Certificate) in accordance with the Law on Food Safety; inspection of food safety for establishments listed in the Export List.

2. The applications, procedures, and authority for assessing and issuing food safety certificates for consignments of fishery products intended for export (hereinafter referred to as the Health Certificate) as required by the importing country or territory.

Article 2. Regulated entities[4]

1. The regulated entities include:

a) Establishments involved in the production, preliminary processing, processing, and storage of fishery food products for export to countries or territories requiring registration and inclusion in the Export List;

b) Consignments of fishery products intended for export to countries or territories that require a food safety certificate issued by the competent authority of Vietnam;

c) For consignments of fishery products intended for export that require quarantine certification under the regulations of the importing market, the assessment and certification authority specified in Clause 2, Article 5 of this Circular shall conduct both food safety assessment and quarantine certification simultaneously.

2. The following cases are not subject to this Circular:

a) Establishments that only distribute products domestically and do not fall under the provisions of Point a, Clause 1 of this Article;

b) Fishery products exported for non-food purposes.

Article 3. Interpretation of terms

For the purposes of this Circular, the following terms are defined as follows:

1. Independent establishment producing fishery food products: means an establishment that possesses complete infrastructure and equipment to fully execute a distinct production process from raw material reception to final product packaging; has a dedicated quality management team with at least three (03) personnel overseeing food safety control during production and at least one (01) personnel who has completed food safety management training based on the Hazard Analysis and Critical Control Points (HACCP) principles, conducted by an agency or organization assigned by the Ministry of Agriculture and Rural Development.

2. Production batch: A quantity of products manufactured from one or multiple raw material batches of the same origin, following the same technological process and operating under the same production conditions (having identical factors affecting food safety conditions) within a period not exceeding 24 hours at a single establishment.

3. Export consignment: A quantity of goods registered by the exporter for assessment[5] and certification for a one-time export shipment to a single importer using a single means of transport.

4. Group of similar fishery food products: fishery food products that share the same level of food safety risk, are produced following a fundamentally similar technological process (with potential variations in certain steps that do not introduce significant food safety hazards) at a single establishment.

5. Production of fishery food products: the execution of one or multiple activities, including harvesting, preliminary processing, processing, packaging, and storage, to produce fishery food products.

6. Fishery food product: A fishery product intended for human consumption, whether fresh, pre-processed, processed, or preserved.

7. Ready-to-eat fishery food product: A fishery food product that is safe for direct human consumption without requiring any special processing before eating.

8. [6]Sample product consignment: A consignment exported for product promotion, trade fairs, exhibitions, or research purposes, not intended for commercial food distribution, with a total registered weight not exceeding 50 kg as per the issued export health certificate.

9. [7]Assessment: The process of reviewing and inspecting the completeness and validity of documents, as well as conducting an on-site examination of food safety conditions in seafood processing, production, and storage establishments for export compliance with Vietnamese regulations and the requirements of the importing market.

Article 4. Basis for assessment, certification, and food safety inspection[8]

The basis for assessing, issuing the Food Safety Certificate, granting the Health Certificate for exported seafood products, and conducting food safety inspections shall be in accordance with Articles 41, 42, 68, 69, and 70 of the Law on Food Safety, relevant regulations and technical standards of Vietnam, as well as the food safety regulations of the importing market.

Article 5. Assessment authorities[9]

1. The competent authority responsible for issuing and revoking the Food Safety Certificate, assessing additional establishments for inclusion in the Export List, and conducting food safety inspections (hereinafter referred to as the competent authority) shall be: the Department of Quality, Processing, and Market Development and its designated regional Sub-Departments (the Central Region Sub-Department of Quality, Processing, and Market Development and the Southern Region Sub-Department of Quality, Processing, and Market Development).

2. The Certification Authority, responsible for assessing and issuing the Health Certificate for consignments of fishery products intended for export, as well as monitoring the food safety conditions of establishments and post-certification consignments (hereinafter referred to as the Certification Authority), shall be Regional Centers for Quality, Processing, and Market Development 1, 2, 3, 4, 5, and 6, as assigned by the Department of Quality, Processing, and Market Development to carry out tasks within their respective jurisdictions.

Article 6. Requirements for inspectors and assessment team members[10]

1. Requirements for inspectors

a) Must be honest, objective, and have no conflict of interest with the establishment under assessment;

b) Must have relevant expertise in the field of assessment;

c) Must have attended training courses on assessment procedures or training courses on inspection and audit procedures related to the field of assessment.

2. Requirements for the Head of the assessment team

a) Must meet the requirements specified in Clause 1 of this Article;

b) Must have at least three (03) years of experience in the field of assessment and have participated in the assessment of at least five (05) establishments in the relevant field.

3. Requirements for sampling personnel

a) Must have relevant expertise;

b) Must hold a certificate or qualification in sampling or have attended training or refresher courses that include food sampling procedures.

Article 7. Requirements for equipment and tools used for on-site assessment[11]

1. Must be specialized and distinguishable from other tools.

2. Must be in proper working condition and well-maintained; inspected and calibrated as required; kept in sanitary condition to ensure no risk of contamination.

Article 8. Requirements for testing laboratories

Testing laboratories involved in analyzing and testing food safety criteria under this Circular must be designated by the competent authority in accordance with the regulations of the Ministry of Agriculture and Rural Development.

Article 9. Fees and charges[12]

The collection of fees and charges for the assessment and issuance of the Food Safety Certificate, as well as the fees and charges for the assessment and issuance of the Health Certificate for exported aquatic consignments, shall be carried out in accordance with the provisions of the law on fees and charges.

Chapter II

ASSESSMENT, ISSUANCE OF THE FOOD SAFETY CERTIFICATE, AND ADDITION TO THE EXPORT LIST[13]

Article 10. Application for the Food Safety Certificate[14]

1. The application for the Food Safety Certificate shall include the components specified in Clause 1, Article 36 of the Law on Food Safety.

The Application form for Food Safety Certificate can be found in Appendix I enclosed with this Circular. The Explanatory Statement on establishments, equipment, and tools ensuring food safety and hygiene can be found in Appendix II enclosed with this Circular. The Certificate of training in food safety and hygiene for the establishment owner and personnel directly engaged in food production and business operations shall be conducted and certified by the establishment owner.

2. Organizations and individuals shall submit the application for the Food Safety Certificate to the competent authority via the online public service system, by postal mail, or directly at the competent authority's office.

Article 11. Processing of applications[15]

1. Upon receiving the application from the establishment, the competent authority shall conduct an initial review to verify the completeness and validity of the application and notify the establishment of the results. If the application is valid, the competent authority shall inform the establishment of the expected assessment date. If the application is incomplete or invalid, the competent authority shall notify the establishment and clearly state the reasons.

2. The on-site assessment shall be conducted within 15 (fifteen) days from the date of receipt of a complete and valid application in accordance with Point b, Clause 2, Article 36 of the Law on Food Safety.

Article 12. Issuance of the Food Safety Certificate[16]

The assessment for issuing the Food Safety Certificate shall apply to:

1. Establishments required to obtain a Food Safety Certificate, as specified in Points a and b, Clause 1, Article 2 of this Circular, which have not yet undergone assessment and certification.

2. Establishments that were previously issued a Food Safety Certificate but had it revoked or have ceased operations for more than twelve (12) months from the date of notification to the competent authority.

3. Establishments that have been issued a Food Safety Certificate but have changed their legal representative or made modifications to their food safety management system beyond the scope previously assessed and certified.

4. Establishments whose Food Safety Certificate is valid for less than six (6) months.

5. Establishments holding other certificates as specified in Point k, Clause 1, Article 12 of Decree 15/2018/ND-CP dated February 2, 2018, but that have not maintained the validity of such certificates and wish to participate in the Export Certification Program under this Circular.

Article 13. Establishment of the assessment team[17]

1.[18] The competent authority shall issue a decision to establish the assessment team for evaluating food safety conditions, including a team leader and assessment team members who meet the requirements specified in Article 6 of this Circular.

2. Decision on the establishment of the assessment team[19] shall include the following contents:

a) Basis for assessment[20];

b) Full name, title, and employing entity of the assessment team members;

c) Name, address, and identification number (if any) of the establishment subject to assessment[21];

d) Scope, contents, form, and anticipated time of assessment[22];

dd) Responsibilities of the establishment subject to assessment[23] and the assessment team[24].

3. The decision on the establishment of the assessment team[25] must be announced at the establishment at the commencement of the assessment[26].

Article 14. Contents of the assessment of food safety conditions at the establishment[27]

1. [28]The assessment of food safety conditions at the Establishment shall include:

a) Establishments, equipment, and human resources involved in food safety management and production;

b) Food safety management programs based on HACCP principles (if mandatory);

c) Procedures for traceability, recall, and handling of unsafe products;

d) Specific food safety requirements of the importing market applicable to the establishment’s export registration (if any);

dd) Food safety conditions for suppliers of raw materials to the establishment (if necessary);

e) Compliance with regulations on combating illegal, unreported, and unregulated (IUU) fishing in the production, processing, and export of fishery products (if applicable);

g) Sampling for analysis to assess the effectiveness of hygiene control measures during production, as outlined in Appendix IV enclosed with this Circular. The assessment team shall determine the necessity of sampling based on food safety risk assessment during the on-site evaluation. Sampling and sample analysis shall comply with applicable regulations.

2. The assessment method[29] shall be implemented in accordance with Appendix V enclosed with this Circular.

Article 15. Assessment report[30]

1. The assessment report shall follow the template provided in Appendix V enclosed with this Circular. For production and business establishments subject to Clause 8 and Clause 10, Article 36 of Decree No. 15/2018/ND-CP dated February 2, 2018, the assessment of establishment conditions shall be conducted in accordance with the relevant industry-specific regulations.

2. Requirements for the assessment report:

a) Must be completed by the assessment team on-site at the establishment immediately after the assessment concludes;

b) Must accurately reflect the assessment results;

c) Must clearly indicate any non-compliant items, applicable standards, and the deadline for the establishment to correct the deficiencies;

d) Must include a general conclusion on the establishment's compliance with food safety requirements.

dd) Must include comments from the establishment’s authorized representative on the assessment results, along with a commitment to correct non-compliances (if applicable);

e) Must bear the signature of the assessment team leader, the signature of the establishment’s authorized representative, and, if available, the establishment's official stamp on the assessment report. If the establishment does not have an official stamp, the report must be signed on each page;

g) If the establishment’s representative refuses to sign the report, the assessment team must document: "The representative of the assessed establishment declined to sign the assessment report," along with the reason for refusal. The report shall remain legally valid if signed by all members of the assessment team;

h) The report shall be prepared in two (02) copies, each having the same legal value: one (01) copy retained by the competent authority and one (01) copy provided to the establishment. Additional copies may be made if deemed necessary by the assessment team leader.

Article 16[31] (annulled)

Article 17. Processing of assessment results and issuance of the Food Safety Certificate[32]

Upon receiving the assessment report, the competent authority shall review the report (and may request the assessment team to clarify certain findings if necessary) and proceed as follows:

1. If the assessment results meet requirements:

a) Notify the establishment of the assessment outcome and issue a registration code (if the establishment does not yet have one) as specified in Appendix VII enclosed with this Circular; issue the Food Safety Certificate, valid for three (03) years, using the format in Appendix VI enclosed with this Circular;

b) If sampling and analysis were conducted during the assessment to evaluate hygiene control effectiveness, the Food Safety Certificate shall only be issued after satisfactory laboratory test results are obtained.

For non-compliant test results, the Food Safety Certificate shall only be issued after the establishment submits a report on the investigation of root causes, implements corrective measures, and passes a follow-up verification by the competent authority.

2. If the assessment results do not meet requirements:

a) If the establishment cannot correct deficiencies within the required timeframe: The competent authority shall issue a notification of non-compliance, clearly stating the reasons for failure. If the establishment previously held a valid Food Safety Certificate, it shall be revoked in accordance with Article 18 of this Circular. The competent authority shall notify the local food safety regulatory agency to ensure that the establishment ceases food production and business operations.

b) In case the Establishment submits a corrective action report and is verified and confirmed by the assessment team to meet the requirements within the time limit for issuance of the Certificate as prescribed in point b, clause 2, Article 36 of the Law on Food Safety, the competent authority shall issue the Food Safety Certificate in accordance with point a, clause 1 of this Article.

Article 18. Revocation of the Food Safety Certificate[33]

1. An establishment shall have its Food Safety Certificate revoked if it no longer meets the conditions specified in Clause 1, Article 34 of the Law on Food Safety.

2. Authority for revocation: The competent authority that issued the Food Safety Certificate shall have the power to revoke it.

3. The competent authority shall revoke the Food Safety Certificate of an establishment as specified in Clause 1 of this Article based on inspections, assessments, audits, or upon request from an inspection or audit agency.

The competent authority shall issue a revocation decision for the establishment upon receiving a written request for revocation from the inspection or audit agency.

Article 19. Modification of the Food Safety Certificate[34]

1. A Food Safety Certificate that remains valid may be modified in the following cases: it is lost, misplaced, or damaged; it contains administrative errors made during issuance; the establishment undergoes a name or address change due to an administrative boundary adjustment, without changing its legal representative or food safety management system that has been assessed and certified.

2. Upon receiving a request for modification, the competent authority shall review the archived application and consider issuing a modified Food Safety Certificate with the same validity period as the existing certificate or issue a written rejection stating the reasons.

Chapter III

ASSESSMENT [35], ISSUANCE OF CERTIFICATES OF FISHERY FOOD PRODUCTS FOR EXPORT

Section 1. PROGRAM FOR CERTIFICATION OF FISHERY FOOD PRODUCTS FOR EXPORT

Article 20. Scope and eligible entities for participation in the Certification Program[36]

1. The Export fishery food certification program includes: The assessment of food safety conditions at establishments for inclusion in the Export List. The assessment and issuance of the Health Certificate for exported fishery food products in accordance with the requirements of the importing country or territory. The list of countries and territories subject to these requirements is provided in Appendix IX enclosed with this Circular.

2. Participation in the Export fishery food certification program is voluntary. Establishments wishing to export to markets that require compliance as per Clause 1 of this Article shall register for assessment, inclusion in the Export List, and Health Certificate issuance with the competent authority as defined in Clause 1, Article 5 of this Circular.

3. If new requirements are imposed by the importing market, the Department of Quality, Processing, and Market Development shall notify relevant organizations and individuals, implement necessary measures, and report to the Ministry of Agriculture and Rural Development to update the list of regulated markets within 30 (thirty) days from the date of receiving the regulation from the competent authority of the importing country.

4. Establishments participating in the Program and registering for assessment and inclusion in the Export List as per Article 10 of this Circular shall be subject to an assessment by the competent authority to confirm compliance with:

a) Vietnam's food safety requirements;

b) The technical regulations and food safety standards of the corresponding importing country.

Article 21. Export List[37]

1. The Export List consists of establishments that have successfully passed the assessment requirements as stipulated in Chapter II of this Circular and meet the criteria specified in Points a and b, Clause 4, Article 20 of this Circular, including:

a) Establishments required to obtain a Food Safety Certificate;

b) Establishments holding other valid certificates as specified in Point k, Clause 1, Article 12 of Decree No. 15/2018/ND-CP dated February 2, 2018;

c) Establishments already listed in the Export List but seeking inclusion in new markets requiring such registration, or those adding new product categories that have not yet been assessed and certified.

2. On a monthly basis, or as required by the importing country, the competent authority defined in Clause 1, Article 5 of this Circular shall: register, introduce, verify, and certify food safety conditions for establishments; prepare the Export List for each market and submit it to the competent authority of the importing country for recognition; update the recognized Export List on the electronic information portal.

3. An establishment shall be removed from the Export List for a specific market in the following cases:

a) The establishment submits a written request for removal from the Export List;

b) The establishment no longer meets the program criteria as specified in Clause 4, Article 20 of this Circular, or the competent authority of the importing country requests its removal from the list;

c) The establishment fails a food safety inspection, as specified in Point g, Clause 1, Article 35 of this Circular, and does not rectify the food safety violations within 30 (thirty) days from the date of notification;

d) The establishment has ceased operations for more than 12 (twelve) months from the date of notifying the competent authority and has not undergone inspection or supervision by the Certification Authority as specified in Clause 2, Article 5 of this Circular.

Article 22. Priority list[38]

1. The Priority list comprises establishments with a strong food safety compliance record, meeting the criteria specified in Clause 3 of this Article. Establishments on this list are eligible for an export fishery food certification scheme corresponding to their priority classification, as stipulated in Section 2 of this Chapter.

2. Priority classification for establishments with a strong food safety compliance record:

a) An establishment shall be classified as Priority Level 2 if it has exported at least five (05) consignments and has not been found non-compliant with food safety requirements by the Certification Authority or the importing market concerning any of the following parameters: Pathogenic microorganisms; pathogenic parasites; residual contaminants, veterinary drugs, pesticides; additives, processing aids; biotoxins; allergens for a minimum period of 03 (three) months from the date of notification of the assessment result meeting the requirements as prescribed in Clause 1, Article 17 of this Circular;

b) An establishment classified as Priority Level 2 shall be upgraded to Priority Level 1 if it continues to meet food safety requirements for an additional three (03) months after being listed as a Priority Establishment, exports at least five (05) consignments, and maintains compliance with the parameters outlined in Point a, Clause 2 of this Article;

During the review period for priority classification, the establishment must not commit any food safety violations or be subject to administrative penalties under Vietnamese law.

3. Criteria for inclusion in the priority list:

a) The establishment must be listed in the export list;

b) The establishment must be classified as Priority Level 1 or Priority Level 2.

4. Removal from the Priority list:

An establishment shall be removed from the Priority list in the following cases:

a) It no longer meets the criteria specified in Clauses 2 and 3 of this Article;

b) It fails to obtain a Health Certificate as per Points b, c, and dd, Clause 1, Article 26 of this Circular;

c) Its export consignment or food safety risk assessment sample is found non-compliant by the Certification Authority or the importing market based on the parameters specified in Point a, Clause 2 of this Article;

d) It has committed an administrative violation related to food safety and has been sanctioned under Vietnamese law.

5. Reinstatement to the Priority list:

An establishment may be reinstated to the Priority list if it meets the following conditions:

a) It meets the criteria specified in Clause 3 of this Article;

b) It has submitted a report on the root cause investigation, implemented corrective actions, and received approval from the Certification Authority (applicable to establishments removed under Point c, Clause 4 of this Article); or successfully complied with an administrative penalty decision for at least three (03) months after the sanction was imposed (applicable to establishments removed under Point d, Clause 4 of this Article).

6. The Certification authority, as specified in Clause 2, Article 5 of this Circular, shall update the Priority list for establishments in its jurisdiction within a maximum of three (03) days from the date the establishment meets the requirements for: upgrading priority classification, inclusion or reinstatement in the Priority list (as per Clauses 2, 3, and 5 of this Article), removal from the Priority list (as per Clause 4 of this Article).

Article 23. Certification methods for export consignments

1. For export consignments produced at facilities listed in the Priority list:

a) The certification authority[39] shall issue the Certificate based on the results of sampling to verify the effectiveness of food safety hazard control, following the procedures specified in Section 2 of this Chapter.

b) In cases where the establishment requests an assessment[40] and sampling for testing of each export consignment, the certification authority[41] shall proceed in accordance with the procedures outlined in Section 3 of this Chapter.

2. For export consignments produced at facilities outside the Priority list: The certification authority[42] shall issue the Certificate based on the results of assessment[43] and sampling for testing of each export consignment, following the procedures specified in Section 3 of this Chapter.

3. [44] For sample product consignments: The certification authority shall issue the Certificate for the consignment in accordance with Clause 3, Article 28 of this Circular.

Article 24. Requirements for exported products[45]

1. Products must be produced and stored at an establishment listed in the Export certification program for the respective importing market.

2. Products must comply with food safety regulations, include mandatory labeling information as required by the importing market, ensure no misrepresentation of the product’s nature, and not violate Vietnamese law.

3. For products that have undergone processing, packaging, storage, or handling at multiple establishments:

a) The final processing establishment (responsible for packaging and labeling) or the storage establishment (as required by the importing market) must be listed in the Export list for the respective market;

b) Previous processing establishments must comply with Vietnamese and importing market food safety requirements;

c) Establishments involved in transportation, preprocessing, processing, packaging, labeling, storage, and export must sign a written commitment to jointly take responsibility for implementing corrective measures required by the Certification authority if the consignment is flagged by the importing country's competent authority or found non-compliant during inspection;

d) Establishments involved in transportation, preprocessing, processing, packaging, labeling, storage, and export must maintain comprehensive production, food safety control, storage, and export records for their respective stages to ensure full traceability in accordance with legal regulations.

4. For live fishery products intended for export as food:

a) Must comply with the requirements stated in Clauses 1, 2, and 3 of this Article;

b) Must be farmed, harvested, packaged, transported, and exported in compliance with Articles 20, 21, and 23 of the Law on Food Safety;

c) The final processing establishment (responsible for packaging and labeling) must establish a production and export supply chain ensuring food safety, traceability, recall, and disposal of unsafe products in accordance with Circular No. 17/2021/TT-BNNPTNT .

Article 25. Regulations on Health Certificates

1. [46] The export consignment shall be issued a Certificate in accordance with the template required by the respective importing market and, if required, a certificate template for transshipment, temporary import, or re-export. The content shall be consistent with the certificate of the importing market and/or other relevant certifications related to the export consignment as required by the importing country and in compliance with Vietnamese regulations.

2. The Certificate shall only be valid for consignments that are transported and stored under conditions that do not alter the certified food safety status.

2. The Certificate shall only be valid for consignments that are transported and stored under conditions that do not alter the certified food safety status.

3. [47] The Certificate shall conform to the content and format required by the respective importing market and shall be numbered in accordance with Appendix XI enclosed with this Circular. If necessary, an appendix may be attached to the Certificate to ensure full certification of all information related to the consignment as per the applicable regulations.

Article 26. Establishment not eligible for issuance of the Health Certificate for export consignments

1. [48] The Certification authority shall not issue a Health Certificate for an export consignment produced at an establishment that:

a) Has been temporarily suspended from exports by the importing country’s competent authority or subjected to export suspension measures by the Ministry of Agriculture and Rural Development, based on the importing market's request;

b) Fails an inspection or assessment, as stipulated in Point a, Clause 2, Article 17 and Clause 1, Article 35 of this Circular;

c) Has had its Food Safety Certificate revoked, as stipulated in Article 18 of this Circular;

d) Fails to correct non-compliances identified through food safety monitoring or traceability audits, as stipulated in Clause 2, Article 35 of this Circular;

dd) Is under production suspension, as per Articles 30 and 33 of the Law on Product and Goods Quality, or has been subject to sanctions, including suspension or revocation of its Food Safety Certificate, in accordance with the Government’s regulations on administrative penalties for quality and food safety violations;

e) Has officially notified a temporary suspension of production.

2. The establishment specified in Clause 1 of this Article shall continue to be issued a Health Certificate if the following conditions are met:

a) The establishment has implemented corrective measures as required by the Certification authority[49] and has been verified and confirmed by the Certification authority[50] regarding the effectiveness of the corrective measures taken;

b) Additionally, the establishment specified in Point a, Clause 1 must be notified by the Department of Quality, Processing, and Market Development[51] and must have the importing country's competent authority lift the temporary suspension of imports.

Section 2: ISSUANCE OF THE HEALTH CERTIFICATES OF EXPORT CONSIGNMENTS PRODUCED AT ESTABLISHMENTS ON THE PRIORITY LIST

Article 27. Verification of food safety risk control effectiveness[52]

1. Verification principles:

a) Verification parameters shall comply with the list of food safety indicators and permitted limits required by the importing market, as periodically or urgently updated by the Department of Quality, Processing, and Market Development based on regulatory changes;

b) Minimum verification sampling frequency for establishments: Priority Level 1: Once per month; Priority Level 2: Once every two months. If an establishment’s actual production or export activity does not meet the required sampling frequency, the Certification authority shall determine an appropriate sampling frequency;

c) Verification sampling rate shall be determined based on: Determined based on food safety assurance conditions; food safety assurance history; product risk level; scale, capacity, or production output of the establishment in accordance with Appendix X enclosed with this Circular;

Sampling criteria shall follow Appendix X of this Circular. If new risks arise or importing country requirements change, the Department of Quality, Processing, and Market Development shall report to the Ministry of Agriculture and Rural Development for guidance on updating Appendix X;

d) Sampling locations: At any stage of production, including: on the production line; storage warehouse; aquaculture establishment, purchasing establishment, preliminary processing, initial packaging establishment for fresh iced, chilled, or live fishery products;

dd) Verification content: Production monitoring records, storage conditions, traceability information, history of food safety assurance conditions of the establishment, and records related to the origin and provenance of raw materials.

2. For export consignments produced at facilities outside the Priority list:

a) Based on the establishment’s production and export plan, the Certification authority shall coordinate with the establishment to develop a verification plan, including details such as sampling time, sample type, and estimated sample quantity for each round. The plan shall be communicated to the establishment in writing or through an appropriate communication method (email, online software);

b) In case of any changes to the production and export plan, the establishment must notify the Certification authority in writing or via an appropriate communication method no later than three (03) working days in advance, or one (01) working day for facilities producing live, fresh, or iced seafood, compared to the initially agreed schedule.

3. Handling of verification sample testing results:

a) Within one (01) working day from the date of receiving verification sample test results that do not meet the food safety requirements of the importing market, the Certification authority shall issue a non-compliance notification using the template provided in Appendix XVI of this Circular;

The establishment is responsible for conducting traceability, investigating the root cause, establishing and implementing corrective actions, including recall and disposal of unsafe food products. The establishment must submit an explanation report using the template in Appendix XVII of this Circular to the Certification authority within the required timeframe;

b) Within five (05) working days from the receipt of the establishment’s explanation report, the Certification authority shall verify the report’s contents and issue a written notification of the verification results to the establishment. If an on-site verification is required, the Certification authority shall notify the establishment of the results within a maximum of five (05) working days from the completion of the on-site verification.

Article 28. Registration and issuance of Health Certificate[53]

1. Application for issuance of a Health Certificate for an export consignment includes:

a) An application form for the Health Certificate as per the template in Appendix XII enclosed with this Circular;

b) A detailed list of the consignment as per the template in Appendix XIV enclosed with this Circular;

c) Information in the certificate as required by the importing market in case the certificate is registered through an online system;

d) In case the consignor does not directly conduct the production, processing, or storage of the consignment: a sale/processing/entrustment agreement with the production or processing establishment must be provided, including a commitment from both parties (the production establishment and the consignor) to be jointly responsible if the consignment is subject to a warning from the competent authority of the importing country;

dd) The consignor is responsible for providing data related to the export consignment to facilitate verification and certification of the contents in the certificate as required by the respective importing market and shall bear responsibility for the accuracy of the provided information.

2. At least one (01) working day before the scheduled export date or in accordance with the regulations of the importing market regarding the issuance date of the certificate, the consignor shall submit one (01) application package to the Certification authority through one of the following methods: Direct submission; postal mail; email; or online submission and declaration of certificate-related information based on the importing market’s template.

3. Assessment and issuance of the Health Certificate:

Within one (01) working day from the receipt of complete information, the Certification authority shall conduct verification and issue the Health Certificate for the export consignment, as well as certificates for transshipment, temporary import, and re-export consignments (if required), ensuring that the contents align with the certificate of the importing market. This process is based on reviewing the results of food safety risk control verification as stated in Article 27 of this Circular or providing confirmation and stating the reasons for ineligibility in the certificate application.

Section 3: ISSUANCE OF THE HEALTH CERTIFICATES OF EXPORT CONSIGNMENTS PRODUCED AT ESTABLISHMENTS OUTSIDE THE PRIORITY LIST

Article 29. Registration for inspection[54]

1. Assessment registration application for one (01) export consignment:

a) Inspection registration form, as per Appendix XIII enclosed with this Circular;

b) A detailed list of the consignment as per the template in Appendix XIV enclosed with this Circular;

c) If the Exporter (Shipper) does not directly produce, process, or store the consignment, they must provide a contract, purchase agreement, or outsourcing agreement with the production/processing establishment. This document must include a commitment from both parties (the production establishment and the shipper) to joint responsibility in case the consignment is flagged by the importing country’s competent authority.

2. Submission deadline for assessment registration:

a) For live, fresh, or ice-chilled fishery products: The registration application must be submitted at least one (01) working day before the expected export date.

b) For other products: The establishment must register and coordinate the inspection schedule with the Certification authority to ensure that test results are available before the expected export date.

3. The consignor must submit one (01) set of the assessment registration application to the Certification authority through one of the following methods: Direct submission, postal mail, email, or online submission of the dossier and declaration of information in the certificate according to the template of the importing market during online registration.

4. Processing of assessment registration applications: Within one (01) working day of receiving a complete and valid assessment registration application, the Certification authority shall review the application for completeness and compliance; guide the consignor in supplementing any missing or incorrect information, if applicable.

Article 30. Assessment [55] and sampling for testing

1. The Certification authority[56] shall assign inspectors to conduct assessment[57] and sampling for testing of the consignment within two (02) working days from the date of the consignor’s request or according to the timeline agreed upon between the consignor and the Certification authority[58].

2. The assessment[59] content and procedures for the consignment shall comply with the provisions set out in Appendix XV enclosed with this Circular.

Article 31. Handling of assessment [60] and testing results that fail to meet food safety requirements

1. In cases where the assessment[61] results indicate that the consignment does not meet the requirements concerning production records, sensory and visual indicators: Within one (01) working day from the completion of the assessment[62], the Certification authority[63] shall send the consignor a Notification of Non-compliance in accordance with the template provided in Appendix XVI enclosed with this Circular.

2. In cases where the test results of the consignment do not comply with food safety regulations:

a) The Certification authority[64] shall send the test results to the consignor within one (01) working day from the date of obtaining complete test results.

b) Within three (03) days from the date the test results are sent to the consignor, if the consignor provides written feedback on the test results, the Certification authority[65] shall proceed in accordance with the provisions set out in point 2, section 8, Appendix XV enclosed with this Circular.

c) [66] Within three (03) days from the date the test results are sent to the consignor, if the consignor does not provide written feedback on the test results, the Certification authority shall send the consignor a Notification of Non-compliance in accordance with the template provided in Appendix XVI enclosed with this Circular. The consignor is responsible for investigating the cause, implementing corrective measures, handling the consignment within the required time, and preparing an Explanation Report in accordance with the template provided in Appendix XVII enclosed with this Circular to submit to the Certification authority.

3. [67 Within five (05) working days from the date of receiving the consignor’s Explanation Report, the Certification authority shall review the contents of the report and issue a written notice on the verification results to the consignor and the production facility. In cases where an on-site verification is necessary, the Certification authority shall notify the results to the production facility within a maximum of five (05) working days from the completion of the verification process.

Article 32. Assessment and issuance of the Health Certificate[68]

1. [69]At least one (01) working day before the expected export date, or as required by the importing market regarding the issuance date of the Health Certificate, the Exporter (Shipper) must provide all relevant data concerning the export consignment to facilitate the verification and certification process. The Exporter (Shipper) is responsible for the accuracy of the provided information.

Within one (01) working day from receiving complete and valid information, the Certification authority shall: conduct the assessment and issue the Health Certificate for the export consignment; issue a Health Certificate for transit, temporary import, or re-export consignments, if required; if the assessment and test results meet requirements, the certificate will be issued. For live, fresh, or ice-chilled fishery products, the Certification authority is permitted to issue the Health Certificate while awaiting test results and shall handle test results according to Clause 2, Article 31 of this Circular.

2. After a period of 90 days from the date of assessment[70], if the consignor fails to provide complete information to the certificate-issuing authority for assessment[71] and issuance of the Health Certificate, the consignor must reapply for assessment[72] in accordance with the provisions of Article 29 of this Circular.

Section 4. POST-CERTIFICATION HANDLING

Article 33. Reissuance of the Health Certificate[73]

1. If a previously issued Certificate is lost, damaged, contains administrative errors at the time of issuance, or requires information updates (excluding changes related to product identification, quantity, product specifications, traceability of the shipment, or previously assessed and certified quality, food safety, or aquatic animal health safety), or upon request from the competent authority of the importing country, transit, temporary import, or re-export territory, the Consignor must submit a written request for reissuance to the Certificate Issuing Authority, clearly stating the reason. The request may be submitted via direct delivery, postal mail, or electronic communication.

2. The Certificate Issuing Authority shall reissue the Certificate within 01 (one) working day from the receipt of the Consignor's request or issue a written refusal specifying the reason for the denial, which will be sent to the Consignor.

3. The reissued Certificate must accurately certify the product identification information, quantity, product specifications, and traceability of the shipment in accordance with the content of the original Certificate. It must be assigned a new number per the provisions of Appendix XI attached to this Circular and include a note stating: This Certificate replaces Certificate No. …, issued on …" or an annotation complying with the regulations of the importing country, transit, temporary import, or re-export territory.

Article 34. Issuance of successive Certificates

In cases where the Consignor requests the issuance of a successive Certificate for a consignment, the Certification authority[74] shall issue the successive Certificate in compliance with the following requirements:

1. The issuance must be carried out on the same day the initial Certificate is received;

2. The successive Certificate must contain information that is identical to the content of the initial Certificate.

Article 35. Post-assessment and certification inspection and supervision[75]

1. Inspection of maintenance of food safety conditions for establishments in the Export List to markets:

a) The competent authority responsible for this assessment is defined in Clause 1, Article 5 of this Circular.

b) Routine inspections: The competent authority shall establish an annual assessment plan based on management requirements; compliance with food safety laws; developments in food safety incidents; results of previous food safety monitoring and inspections; directives from superior regulatory agencies. The inspection plan shall comply with Point a, Clause 2, Article 69 of the Law on Food Safety.

c) The inspection shall be conducted by an inspection team established by the competent authority under Clause 1, Article 5 of this Circular. The inspection team shall have responsibilities and powers as stipulated in Article 70 of the Law on Food Safety. The competent authority must notify the establishment at least three (03) working days in advance of the inspection.

d) Regular inspections shall not exceed one (01) inspection per establishment per year, except for unscheduled inspections specified in Point e of this clause.

dd) The inspection content and reporting format shall be in accordance with Annex V issued with this Circular. If violations are detected, the inspection team must prepare an inspection report or an administrative violation report and submit it to the competent authority for handling under applicable regulations.

e) The competent authority shall conduct unscheduled inspections in the following cases: signs of food safety violations or food safety incidents are detected; special inspections are directed by the superior food safety management agency; warnings are issued by domestic, foreign, or international organizations concerning food safety; complaints or reports are submitted by organizations or individuals regarding food safety concerns; the establishment fails two (02) consecutive assessments on hygiene and food safety conditions during production.

g) Handling of inspection results: Within five (05) working days after completing the inspection, the competent authority shall notify the establishment of the inspection results. If the establishment meets the requirements, the inspection result is confirmed as satisfactory. If non-compliance issues are found, the establishment must implement corrective actions and submit a report with evidence of compliance within thirty (30) days from the notification date.

If the establishment fails to submit a report or its corrective actions are deemed inadequate, the competent authority may remove the establishment from the Export List, revoke its Food Safety Certificate (if applicable); notify the relevant certification body that issued other certificates to the establishment, recommend legal action against the conformity assessment body responsible for certification.

2. Supervision of food safety conditions for establishments in the Export List:

a) Authority responsible: The Certification authority specified in Clause 2, Article 5 of this Circular;

b) The supervision are conducted by inspectors meeting the requirements under Clause 1, Article 6 of this Circular. If necessary, the Certification authority may establish an inspection team to conduct the supervision;

c) Frequency: No more than one (01) time per establishment per year; if the competent authority has already conducted a food safety inspection under Clause 1 of this Article, additional supervision may not be required; The supervision should be integrated with activities such as verification, certification of export consignments; review of traceability and corrective actions for establishments with detected non-compliance;

d) The supervision must follow the Inspection Report format outlined in Annex IB of this Circular; If violations are detected, an inspection report or administrative violation report shall be prepared and submitted to the competent authority for further action;

dd) Handling of supervision results: Within three (03) working days after completing the supervision, the Certification authority shall notify the establishment of the results;

In case the establishment fails to implement corrective measures within the committed timeframe or the corrective actions do not meet the required standards, the Certification authority shall suspend the issuance of health certificates and propose the revocation of the Food Safety Certificate (if applicable), as well as remove the establishment from the Export List in accordance with regulations.

3. Post-certification supervision of export consignments:

a) The Certification authority shall conduct post-certification supervision of consignments in conjunction with monitoring the food safety conditions of establishments as prescribed in Clause 2 of this Article. Additionally, the authority shall carry out verification, certification of export consignments, investigation, and assessment of traceability activities, as well as identify causes related to establishments with products or consignments found to be non-compliant with food safety regulations. It shall also conduct specialized verification, inspection, or supervision under the directive of the Ministry of Agriculture and Rural Development or in coordination with Customs authorities (if necessary), or in combination with the above activities.

b) Scope of supervision: The Certification authority shall review the consistency of information, documentation, and records regarding the origin and provenance of raw materials, the production and processing procedures of the consignment after certification, and compare them with the information in the application for assessment, the actual supervision at the establishment, or the information recorded at the staging area awaiting export. The content and results of the supervision shall follow the template prescribed in Appendix IB enclosed with this Circular.

In case of violations, the Certification authority shall issue an official record or an administrative violation record and transfer the case to the competent authority for handling in accordance with regulations. Simultaneously, it shall issue a written notice to revoke the validity of the previously issued Health Certificate.

c) For live fishery products intended for food export originating from establishments or production sites located in different provinces/cities, the certifying authorities shall coordinate in implementing post-certification supervision to verify the compliance of traceability information for consignments that have been certified or are awaiting export, as well as assess the food safety conditions of establishments within the production chain under their respective jurisdiction.

Article 36. Handling cases of warned consignments and non-compliant food safety products before export[76]

1. For consignments subject to warnings from the competent authority of the importing country

Within 03 (three) working days from the date of receiving an official warning from the competent authority of the importing country, the Department of Quality, Processing, and Market Development shall issue a written request requiring the establishment to:

a) Conduct traceability investigations for the consignment, determine the cause of the warning, establish and implement corrective actions, and submit a report to the Certification authority using the form in Appendix XVII enclosed with this Circular. The establishment must also perform traceability, recall, and disposal of unsafe products (in case of recall) in compliance with Circular No. 17/2021/TT-BNNPTNT dated December 20, 2021, issued by the Minister of Agriculture and Rural Development, which provides regulations on traceability, recall, and disposal of unsafe food under the jurisdiction of the Ministry of Agriculture and Rural Development;

b) Suspend exports to the corresponding importing countries if required by the competent authority of the importing country or in accordance with the regulations of the Ministry of Agriculture and Rural Development;

c) Comply with sampling and testing for the identified non-compliance parameters and be subject to supervision by the Certification authority for each subsequent export consignment of the violating product or similar product category manufactured at the establishment until the competent authority specified in Clause 1, Article 5 of this Circular approves the root cause investigation report and corrective measures of the establishment.

2. For products found to be non-compliant with food safety requirements before export The Certification authority shall act in accordance with the relevant provisions of Clause 3, Article 27; Point c, Clause 2, and Clause 3, Article 31 of this Circular.

3. For exported consignments or products detected with prohibited chemical residues or antibiotics before export

a) Within 03 (three) days from the date of receiving information on violations, the Certification authority shall directly take the lead and coordinate with relevant local regulatory agencies to conduct a root cause investigation throughout the entire production, preliminary processing, processing, and export chain related to the violation.

b) Implement preventive measures to limit the impact of the violation, issue a working record or administrative violation report on food safety, and transfer the case to the competent authority for handling in accordance with regulations (if applicable).

4. After receiving the report on the investigation results and corrective actions from the establishment, the Certification authority shall verify the contents of the report:

a) Within 05 (five) days, the Certification authority shall review the Establishment’s explanation report and issue a written notification to the Establishment on the verification results in case additional information is required, or issue a written notification to the Competent Authority if the verification report meets the requirements for the case specified in Clause 1 of this Article;

b) In case of an on-site verification, the Certification authority shall notify the Establishment of the on-site verification results and report to the competent authority as stipulated in Clause 1, Article 5 of this Circular within 05 (five) days from the completion of the on-site verification process.

5. Within 01 (one) working day, the competent authority shall evaluate the verification report from the Certification authority and issue a written notification of the verification results to the Establishment.

Chapter IV

RESPONSIBILITIES AND AUTHORITY OF RELEVANT PARTIES

Article 37. Establishments participating in the Export seafood certification program [77]

1. Responsibilities:

a) [78]Register with the competent authority to obtain a Food Safety Certificate, undergo additional assessment for inclusion in the Export list, and comply with the assessment plan of the competent authority;

b) Assign an authorized representative from the establishment to work with the assessment team[79] at the establishment;

c) Provide complete information, documents, and relevant records, as well as product samples for testing to assess the effectiveness of sanitation control conditions during production as requested by the assessment team[80], and take responsibility for the accuracy of the information and documents provided;

d) [81]Maintain food safety conditions as certified and submit a written notice to the competent authority in case of suspension of production, change of legal representative, or modifications to the food safety management system compared to the scope assessed and certified;

dd) Carry out corrective actions for non-compliances identified in the Assessment Report[82] and other notices issued by the competent authority[83] within the required timeframe;

e) Sign the Assessment Report[84];

g) Pay the assessment and certification fees[85] in accordance with Article 9 of this Circular.

2. Rights:

a) Agree or disagree (with justification) with the assessment results[86] recorded in the Assessment Report[87];

b) File complaints regarding the assessment conclusions[88] related to the establishment;

c) Promptly report to the head of the competent authority[89] regarding negative conduct or misconduct by the assessment team[90] or inspectors.

Article 38. Consignors or manufacturing establishments of export consignments

1. Responsibilities:

a) Register with the Certification authority[91] in accordance with this Circular to undergo assessment[92] and obtain a Health Certificate for the consignment;

b) Comply with regulations on assessment[93], sampling for verification of food safety risk control, and testing of export consignments as prescribed in this Circular, and submit all relevant documents and records as required by the assessors[94];

c) Ensure that product characteristics, batch composition, and labeling information remain unchanged from those declared during registration and assessment[95] and as certified in the Health Certificate;

d) Proactively report to the Certification authority[96] if a consignment is rejected or destroyed by the importing country. Implement appropriate measures for rejected or recalled consignments as required by the Certification authority[97];

dd) Ensure that the sampling plan for verifying food safety risk control effectiveness is consistent with the agreement made with the Certification authority[98];

e) Pay the assessment[99] and certification fees as stipulated in Article 9 of this Circular;

g) [100]If the consignor is an organization or individual who does not directly engage in the manufacturing, processing, or storage of the consignment, they must establish and implement regulations for traceability, recall, and handling of unsafe seafood products; monitor storage conditions, transport duration, hygiene conditions of the transport means, and the integrity of the product during transportation from the processing or storage establishment to export, in compliance with Articles 54 and 55 of the Law on Food Safety and Circular No. 17/2021/TT-BNNPTNT .

2. Rights:

a) Request the Certification authority[101] to provide regulations related to the assessment[102] and issuance of Health Certificates for export consignments in accordance with this Circular;

b) If the manufacturing establishment is on the priority list, the consignor has the right to request the Certification authority[103] to conduct assessment[104] and sampling for testing of the export consignment as a basis for issuing a Health Certificate;

c) Retain the right to disagree with the assessment[105] results;

d) File complaints or denunciations regarding any legal violations committed by inspectors, the Certification authority[106], testing laboratories, or any related individuals or organizations, in accordance with the Law on Complaints, the Law on Denunciations, and related legal guidance documents.

Article 39. Inspectors for food safety assessment [107]

1. Responsibilities:

a) Comply with the procedures, methods, and legal basis for the assessment of food safety conditions at the establishment in accordance with this Circular;

b) Maintain confidentiality of all business-related information, ensure accuracy, transparency, objectivity, and fairness, and avoid discrimination while performing duties;

c) Do not request unnecessary documents or information, and do not cause inconvenience or harassment to the establishment;

d) Follow the assignments of the head of the assessment team and the head of the Certification authority, and take full responsibility for the assessment results before the head of the Certification authority and before the law.

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2. Authority

a) Request the establishment to provide documents, records, and product samples (if any) for the assessment;

b) Access production areas, storage facilities, and warehouses, review records, take samples, photographs, copies, and notes as needed for the assessment;

c) Prepare reports and propose handling measures in cases where the establishment violates food safety regulations;

d) Retain the right to express individual opinions and report to the head of the competent authority if there is a disagreement with the conclusions made by the head of the assessment team, as stated in point b, clause 2, Article 40 of this Circular.

Article 39a. Inspectors for quality and food safety assessment and certification [108]

1. Responsibilities:

a) Comply with the procedures, methods, and regulations for assessment, sampling for verification of food safety risk control, and testing of registered export consignments as prescribed in this Circular;

b) Maintain confidentiality of all business-related information, ensure accuracy, transparency, objectivity, and fairness, and avoid discrimination while performing duties;

c) Do not request unnecessary documents or information, and do not cause inconvenience or harassment to the establishment;

d) Take full responsibility for the assessment results before the head of the Certification authority and before the law.

2. Rights:

a) Request the consignor to provide documents, records, and product samples (if any) for assessment and certification purposes;

b) Access production areas, storage facilities, and warehouses, review records, take samples, photographs, copies, and notes as necessary for the assessment;

c) Prepare reports and propose handling measures in cases where the consignor or manufacturing establishment violates food safety and quality regulations;

d) Refuse to conduct the assessment if the consignor or manufacturing establishment fails to fulfill their responsibilities under points b and c, clause 1, Article 38 of this Circular.

Article 40. Head of the assessment team [109]

1. When performing assigned duties, the head of the assessment team has responsibilities similar to an inspector as stipulated in Clause 1, Article 39 of this Circular and additional responsibilities as follows:

a) Manage and assign tasks to members of the assessment team to fully execute the contents specified in the decision on the establishment of the assessment team;

b) Process opinions and assessment results from members of the assessment team and provide the final conclusion in the assessment report;

c) Review, sign the assessment report, report the assessment results, and be accountable to the head of the competent authority and before the law for the results executed by the assessment team.

2. Within the scope of assigned duties, the head of the assessment team has the same powers as an inspector stipulated in Clause 2, Article 39 of this Circular and additional powers as follows:

a) Propose to the head of the competent authority to issue a decision to adjust the members of the assessment team to ensure the full execution of the contents specified in the decision on the establishment of the assessment team;

b) Provide the final conclusion of the assessment team regarding the assessment results.

Article 41. Department of Quality, Processing, and Market Development and its Subordinate Divisions [110]

1. Responsibilities:

a) Organize the review of dossiers, conduct food safety inspections, issue, revoke the Food Safety Certificate; appraise and supplement the Export List according to the assigned management area;

b) Organize training, professional guidance for inspectors regarding dossier review, food safety inspection, assessment, and issuance of the Certificate for export seafood consignments;

c) Maintain complete records related to the results of dossier review, establishment assessment, issuance, revocation of the Food Safety Certificate, and supplementation of the Export List; conduct inspection and post-inspection of facilities in compliance with regulations; provide complete and accurate reports on issues related to food safety seafood export assessment and certification upon request by the Ministry of Agriculture and Rural Development;

d) Be responsible for the assessment and certification of food safety for exported seafood;

dd) Maintain confidentiality of information related to business secrets of the facilities subject to assessment and certification;

e) Publish, register, introduce, and update the list of facilities participating in the seafood export certification program according to each market in accordance with this Circular;

g) Report to the Ministry of Agriculture and Rural Development on updates regarding the list of markets where the competent authority of the importing country requires the Department of Quality, Processing, and Market Development to conduct assessment and certification for export consignments as per this Circular;

h) Update regulations and technical standards of Vietnam and importing countries regarding food safety conditions for seafood and notify facilities, exporters, relevant authorities, and organizations for consistent application.

2. Powers:

a) Appraise, issue, and revoke the Food Safety Certificate; appraise and supplement facilities into the Export List; handle cases of establishment violations as stipulated in this Circular in accordance with the authority and legal provisions;

b) Request facilities subject to assessment to conduct actual production for at least one of the registered assessment products with a complete process or a high-risk product to serve the assessment activity; request facilities to rectify non-conformities related to food safety conditions as stated in the assessment report, food safety inspection report; request facilities to rectify the non-compliance results regarding food safety criteria as per this Circular.

c) Notify the removal of the facility from the Export List for each market, the list of facilities participating in the seafood export certification program, and apply a temporary suspension of the issuance of the Certificate for facilities that do not meet the food safety conditions stipulated in this Circular;

d) Recommend the competent authority to handle organizations and individuals violating the provisions of this Circular in accordance with the law.

Article 41a. Regional centers for quality, processing, and market development [111]

1. Responsibilities:

a) Organize the dossier review, assessment, issuance, revocation, and reissuance of the Certificate for exported seafood consignments within the assigned management area;

b) Organize training, workshops, and professional guidance for inspectors on dossier review, assessment, and issuance of the Certificate for exported seafood consignments;

c) Monitor the maintenance of food safety conditions of facilities listed in the Export List for different markets;

d) Maintain complete records related to the supervision of food safety conditions, results of dossier review, appraisal, issuance, revocation, and reissuance of Certificates for exported seafood consignments in compliance with regulations; provide complete and accurate reports on matters related to seafood export appraisal and certification when requested by the Department of Quality, Processing, and Market Development and its affiliated divisions;

dd) Be responsible for monitoring the maintenance of food safety conditions and the appraisal and certification of exported seafood consignments;

e) Receive and resolve complaints from exporters regarding the appraisal, issuance, revocation, and reissuance of Certificates for exported seafood consignments in accordance with regulations;

g) Ensure the confidentiality of information related to the business operations of facilities undergoing appraisal and seafood export food safety certification;

h) Manage, establish, and update the Priority List in accordance with this Circular;

i) Report to the Department of Quality, Processing, and Market Development on the implementation of assigned tasks as stipulated in this Circular.

2. Powers:

a) Appraise, issue, revoke, and reissue the Certificate for export consignments in accordance with this Circular; refuse appraisal and issuance of Certificates if the exporter fails to fulfill its responsibilities as stipulated in Clause 1, Article 38 of this Circular;

b) Require the facility under appraisal to rectify non-conformities related to food safety conditions as stated in the appraisal report and supervision report; conduct root cause investigation, implement corrective measures, and report the implementation results when the Certificate Issuing Authority and the competent authority of the importing country issue a food safety violation warning as stipulated in this Circular;

c) Recommend the competent authority to handle organizations and individuals violating the provisions of this Circular in accordance with the law.

Article 42. Departments of Agriculture and Rural Development, Food Safety Departments, and Food Safety Management Boards of provinces and centrally-governed cities [112]

Direct subordinate units to coordinate with the Certificate Issuing Authority in activities related to traceability, cause investigation, recall, and handling of unsafe seafood products from facilities under local jurisdiction that supplied raw materials to processing facilities whose exported products were found to violate food safety regulations.

Article 43. Testing laboratories

1. Responsibilities:

a) Comply with proper testing procedures, ensure the capacity of testing equipment, and maintain the confidentiality of the exporter's information and test results in accordance with the law;

b) Ensure the accuracy, objectivity, and integrity of test results;

c) Only report test results to the Certification authority[113] and adhere to the prescribed timeline;

d) Be accountable for the test results;

dd) Participate in proficiency testing programs as required by the Ministry of Agriculture and Rural Development;

e) Maintain records and documents related to testing activities in compliance with regulations and present them when requested by the competent authority.

2. Powers:

a) Reject samples that do not meet technical requirements as stipulated. Refuse to test samples or parameters outside the certified scope;

b) Obtain information and access training opportunities to improve testing capabilities;

c) Collect testing fees and charges as per current regulations.

Chapter V

IMPLEMENTATION [114]

Article 44. Entry into force

1. This Circular comes into force as of December 26, 2013.

2. This Circular supersedes Circular No. 55/2011/TT-BNNPTNT dated August 3, 2011, of the Minister of Agriculture and Rural Development on the appraisal and certification of seafood quality and food safety.

3. Clause 3, Article 3 of Circular No. 01/2013/TT-BNNPTNT dated January 4, 2013, of the Ministry of Agriculture and Rural Development, which amends and supplements certain provisions of Circular No. 14/2011/TT-BNNPTNT dated March 29, 2011, on the inspection and assessment of agricultural input production and business establishments, as well as the production of agricultural, forestry, and fishery products, is hereby repealed. Additionally, certain forms issued under Circular No. 53/2011/TT-BNNPTNT dated August 2, 2011, which amended Circular No. 14/2011/TT-BNNPTNT dated March 29, 2011, are replaced.

4. Facilities that meet the provisions stipulated in Points a and c, Clause 2, Article 22 of this Circular and maintain food safety conditions classified as Category A or B continuously for 12 months before the effective date of this Circular shall be considered for inclusion in the Priority list.

Article 45. Amendments to the Circular

Any difficulties or obstacles arising during the implementation of this Circular shall be reported to the Minister of Agriculture and Rural Development for review, amendment, or supplementation as appropriate./.

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