tcvn 17021-2011

t I u c h u n q u c g i a

TCVN ISO/IEC 17021:2011

ISO/IEC 17021:2011

Xut bn ln 2

NH GI S PH HP YU CU I VI

T CHC NH GI V CHNG NHN

H THNG QUN L

Conformity assessment Requirements for bodies providing audit and

certification of management systems

H NI - 2011

tcvn


3

Mc lc

Trang

Li ni u ....................................................................................................................................... 5

Li gii thiu .................................................................................................................................... 6

1 Phm vi p dng ..................................................................................................................... 9

2 Ti liu vin dn ...................................................................................................................... 9

3 Thut ng v nh ngha.......................................................................................................... 9

4 Nguyn tc ............................................................................................................................... 11

4.1 Khi qut .......................................................................................................................... 11

4.2 Khch quan ..................................................................................................................... 12

4.3 Nng lc .......................................................................................................................... 13

4.4 Trch nhim ..................................................................................................................... 13

4.5 Cng khai ......................................................................................................................... 13

4.6 Bo mt ........................................................................................................................... 13

4.7 p ng khiu ni ............................................................................................................ 13

5 Yu cu chung .......................................................................................................................... 14

5.1 Cc vn php l v hp ng ..................................................................................... 14

5.2 Qun l tnh khch quan .................................................................................................. 14

5.3 Trch nhim php l v ti chnh ..................................................................................... 16

6 Yu cu v c cu .................................................................................................................... 16

6.1 C cu t chc v lnh o cao nht .............................................................................. 16

6.2 Ban m bo tnh khch quan ......................................................................................... 17

7 Yu cu v ngun lc ............................................................................................................... 18

7.1 Nng lc ca lnh o v nhn s .................................................................................. 18

7.2 Nhn s lin quan n hot ng chng nhn ............................................................... 19

7.3 S dng chuyn gia nh gi v chuyn gia k thut c lp bn ngoi ... ...................... 21

7.4 H s nhn s ................................................................................................................. 21

7.5 Thu ngoi ....................................................................................................................... 21

8 Yu cu v thng tin ................................................................................................................. 22

8.1 Thng tin cng khai ......................................................................................................... 22

8.2 Ti liu chng nhn ......................................................................................................... 22

8.3 Danh b khch hng c chng nhn .......................................................................... 23

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8.4 Vin dn chng nhn v s dng du ............................................................................ 23

8.5 Bo mt ............................................................................................................................ 24

8.6 Trao i thng tin gia t chc chng nhn v khch hng ............. .............................. 25

9 Yu cu v qu trnh ................................................................................................................. 26

9.1 Yu cu chung ................................................................................................................. 26

9.2 nh gi v chng nhn ln u ...................................................................................... 36

9.3 Hot ng gim st ......................................................................................................... 39

9.4 Chng nhn li ................................................................................................................ 40

9.5 nh gi c bit ............................................................................................................. 41

9.6 nh ch, hy b hoc thu hp phm vi chng nhn .................. ...................................... 41

9.7 Yu cu xem xt li .......................................................................................................... 42

9.8 Khiu ni .......................................................................................................................... 43

9.9 H s ngi ng k chng nhn v khch hng ............................................................ 44

10 Yu cu v h thng qun l i vi t chc chng nhn ..................... ................................... 45

10.1 Cc la chn ................................................................................................................... 45

10.2 La chn 1: Yu cu v h thng qun l theo TCVN ISO 9001 .... ................................ 45

10.3 La chn 2: Yu cu chung v h thng qun l ............................ ................................ 46

Ph lc A (quy nh) Kin thc v k nng cn thit ................................... ................................... 50

Ph lc B (tham kho) Cc phng php nh gi .................................... ................................... 51

Ph lc C (tham kho) V d v lu qu trnh xc nh v duy tr nng lc .... .......................... 53

Ph lc D (tham kho) Hnh vi c nhn mong mun .................................. ................................... 55

Ph lc E (tham kho) Qu trnh nh gi v chng nhn ca bn th ba . ................................... 56

Ph lc F (tham kho) Xem xt chng trnh, phm vi hoc k hoch nh gi ..................... 58

Th mc ti liu tham kho ............................................................................................................. 60


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Li ni u

TCVN ISO/IEC 17021:2011 thay th cho TCVN ISO/IEC 17021:2008

(ISO/IEC 17021:2006);

TCVN ISO/IEC 17021:2011 hon ton tng ng vi ISO/IEC

17021:2011;

TCVN ISO/IEC 17021:2011 do Ban k thut tiu chun quc gia

TCVN/TC 176 Qun l cht lng v m bo cht lng bin son,

Tng cc Tiu chun o lng Cht lng ngh, B Khoa hc v

Cng ngh cng b.

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Li gii thiu

Vic chng nhn h thng qun l, nh h thng qun l cht lng hoc mi trng ca mt t

chc, l mt phng tin mang li s m bo rng t chc p dng h thng qun l cc

kha cnh lin quan n cc hot ng ca t chc, ph hp vi chnh sch ca t chc.

Tiu chun ny quy nh cc yu cu i vi t chc chng nhn. Vic tun th cc yu cu ny

nhm m bo rng t chc chng nhn tin hnh chng nhn h thng qun l mt cch thnh

tho, nht qun v khch quan, t to thun li cho vic tha nhn t chc v chp nhn

chng nhn ca t chc trn c s quc gia v quc t. Tiu chun ny l nn tng to thun li cho

vic tha nhn hot ng chng nhn h thng qun l phc v cho li ch ca thng mi quc t.

Vic chng nhn h thng qun l a ra minh chng c lp rng h thng qun l ca t chc

a) ph hp cc yu cu quy nh,

b) c kh nng t c chnh sch v mc tiu cng b mt cch nht qun, v

c) c p dng mt cch hiu lc.

T , hot ng nh gi s ph hp, nh chng nhn h thng qun l, to ra gi tr cho t chc,

khch hng v cc bn quan tm ca t chc.

Trong tiu chun ny, iu 4 m t cc nguyn tc da vo c th chng nhn mt cch tin cy.

Cc nguyn tc ny gip ngi c hiu c bn cht c bn ca vic chng nhn v y l phn

m u khng th thiu iu 5 n iu 10. Nhng nguyn tc ny l c s cho tt c cc yu cu

trong tiu chun, tuy nhin bn thn nhng nguyn tc ny khng phi l cc yu cu c th t nh

gi c. iu 10 m t hai cch la chn h tr v chng t vic t c mt cch nht qun

cc yu cu trong tiu chun ny thng qua vic thit lp h thng qun l ca t chc chng nhn.

Tiu chun ny nhm s dng cho cc t chc tin hnh vic nh gi v chng nhn h thng qun

l. Trong a ra cc yu cu chung i vi cc t chc chng nhn thc hin vic nh gi v

chng nhn h thng qun l trong lnh vc cht lng, mi trng v cc dng h thng qun l

khc. Cc t chc ny c gi chung l t chc chng nhn. Cch dng t nh vy khng nn l

tr ngi cho vic s dng tiu chun ny ca cc t chc khc nhng cng thc hin cc hot ng

thuc phm vi p dng ca tiu chun ny.

Cc hot ng chng nhn bao gm c vic nh gi h thng qun l ca t chc. Hnh thc xc

nhn s ph hp ca h thng qun l ca t chc vi mt tiu chun v h thng qun l c th

hoc cc yu cu quy nh khc thng l ti liu chng nhn hoc giy chng nhn.

n bn ca tiu chun ny gm nhng ni dung ca TCVN ISO/IEC 17021 : 2008 (ISO/IEC 17021 :

2006), cc sa i xa b nhng vin dn lin quan ti TCVN ISO 19011, vi cc ni dung mi b


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sung cc yu cu c th i vi hot ng nh gi chng nhn ca bn th ba cng nh vic qun

l nng lc nhn s tham gia vo chng nhn.

Nhng nhu cu c th ca th trng c nhn bit t vic thiu cc yu cu c th v c

tha nhn i vi chuyn gia nh gi ca bn th ba v h thng qun l, nh h thng qun l

cht lng, h thng qun l mi trng hay h thng qun l an ton thc phm. Cc bn quan tm

chnh, gm c cc bn quan tm thuc ngnh cng nghip, nhn bit c s hn ch t vic

thiu cc yu cu v nng lc ca chuyn gia nh gi cng nh cch thc qun l v s dng

nhng chuyn gia ny.

Tiu chun ny a ra tp hp cc yu cu i vi vic nh gi h thng qun l mc tng

hp, nhm mang li s xc nh tin cy v s ph hp vi cc yu cu c p dng chng nhn

do mt on nh gi c nng lc tin hnh vi nhng ngun lc tha ng v tun theo mt qu

trnh nht qun, vi kt qu c bo co theo cch thc nht qun.

Tiu chun ny c p dng cho nh gi v chng nhn mi loi h thng qun l. Mt s yu cu

v c th l nhng yu cu lin quan n nng lc ca chuyn gia nh gi c tha nhn l c

th c b sung thm cc tiu ch nhm t c nhng mong i ca cc bn quan tm.

Trong tiu chun ny, t phi ch ra mt yu cu v nn ch ra mt khuyn ngh.

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T I U C H U N Q U C G I A TCVN ISO/IEC 17021 : 2011

nh gi s ph hp Yu cu i vi t chc nh gi

v chng nhn h thng qun l

Conformity assessment Requirements for bodies providing audit and certification

of management systems

1 Phm vi p dng

Tiu chun ny gm nhng nguyn tc v yu cu v nng lc, tnh nht qun v khch quan trong

vic nh gi v chng nhn h thng qun l thuc mi loi hnh (v d nh h thng qun l cht

lng hay h thng qun l mi trng) v i vi cc t chc cung cp cc hot ng ny. T chc

chng nhn hot ng theo tiu chun ny khng cn cung cp tt c cc loi chng nhn h thng

qun l.

Vic chng nhn h thng qun l (trong tiu chun ny gi l "chng nhn") l hot ng nh gi

s ph hp ca bn th ba (xem TCVN ISO/IEC 17000:2007, 5.5). Do , cc t chc tin hnh hot

ng ny l t chc nh gi s ph hp bn th ba (trong tiu chun ny gi l "t chc/cc t

chc chng nhn").

CH THCH 1: i khi vic chng nhn h thng qun l cn c gi l "ng k" v t chc chng nhn i

khi c gi l "c quan ng k.

CH THCH 2: T chc chng nhn c th l t chc thuc chnh ph hoc phi chnh ph (c hoc khng c

thm quyn php l).

CH THCH 3: C th s dng tiu chun ny lm ti liu chun cng nhn hoc nh gi ng ng hay cc

qu trnh nh gi khc.

2 Ti liu vin dn

Cc ti liu vin dn di y rt cn thit cho vic p dng tiu chun ny. i vi cc ti liu ghi

nm cng b th p dng bn c nu. i vi cc ti liu khng ghi nm cng b th p dng bn

mi nht, bao gm c cc sa i.

TCVN ISO 9000 : 2007, H thng qun l cht lng C s v t vng

TCVN ISO/IEC 17000 : 2007, nh gi s ph hp T vng v nguyn tc chung

TCVN ISO/IEC 17021 : 2011

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3 Thut ng v nh ngha

Tiu chun ny p dng cc thut ng v nh ngha trong TCVN ISO 9000, TCVN ISO/IEC 17000

cng vi cc thut ng v nh ngha di y.

3.1

Khch hng c chng nhn (certified client)

T chc c h thng qun l c chng nhn.

3.2

Tnh khch quan (impartiality)

S th hin trn thc t v cm nhn c ca tnh v t.

CH THCH 1: V t c ngha l khng c xung t v li ch hoc xung t li ch c gii quyt sao cho

khng nh hng bt li n cc hot ng tip theo ca t chc chng nhn.

CH THCH 2: Cc thut ng khc c th dng truyn t cu thnh ca tnh khch quan l: v t, c lp,

khng c xung t li ch, khng thin lch, khng thnh kin, trung lp, cng bng, ci m, khng thin v, tch

bch, cn bng.

3.3

T vn h thng qun l (management system consultancy)

S tham gia vo vic thit k, p dng hoc duy tr h thng qun l.

V D:

a) son tho hoc to lp cc s tay hay th tc, v

b) a ra khuyn ngh, cc hng dn hoc gii php c th cho vic xy dng v p dng h thng qun l.

CH THCH: B tr vic o to v tham gia lm ging vin khng c coi l t vn, vi iu kin l, trong

trng hp kha hc lin quan n h thng qun l hoc nh gi, gii hn vic cung cp thng tin chung

sn c trong lnh vc chung; ngha l ging vin khng c a ra cc gii php c th i vi cng ty.

3.4

nh gi chng nhn ca bn th ba (third-party certification audit)

nh gi c thc hin bi mt t chc nh gi c lp vi khch hng v ngi s dng, vi

mc ch chng nhn h thng qun l ca khch hng.

CH THCH 1: Trong nhng nh ngha sau y, n gin thut ng nh gi c dng ni n nh

gi chng nhn ca bn th ba.

CH THCH 2: nh gi chng nhn ca bn th ba gm c nh gi ln u, nh gi gim st v nh gi

chng nhn li, v cng c th gm cc nh gi c bit.

CH THCH 3: nh gi chng nhn ca bn th ba thng c tin hnh bi cc on nh gi ca nhng

t chc cung cp chng nhn s ph hp vi cc yu cu ca tiu chun v h thng qun l.

CH THCH 4: ng nh gi l khi hai hay nhiu t chc nh gi cng phi hp nh gi mt khch hng


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ring l.

CH THCH 5: nh gi kt hp l khi khch hng c nh gi ng thi theo cc yu cu ca hai hay nhiu

tiu chun v h thng qun l.

CH THCH 6: nh gi tch hp l khi khch hng p dng tch hp cc yu cu ca hai hay nhiu tiu chun

v h thng qun l vo mt h thng qun l v c nh gi theo nhiu hn mt tiu chun.

3.5

Khch hng (client)

T chc c h thng qun l c nh gi vi mc ch chng nhn.

3.6

Chuyn gia nh gi (auditor)

Ngi tin hnh nh gi.

3.7

Nng lc (competence)

Kh nng p dng nhng kin thc v k nng t c kt qu d kin.

3.8

Ngi hng dn (guide)

Ngi c khch hng ch nh h tr on nh gi.

3.9

Quan st vin (observer)

Ngi tham gia cng on nh gi nhng khng thc hin nh gi.

3.10

Lnh vc k thut (technical area)

Phm vi c trng bi nhng im tng ng ca cc qu trnh lin quan n loi h thng qun l

c th.

4 Nguyn tc

4.1 Khi qut

4.1.1 Nhng nguyn tc ny l c s cho vic thc hin c th v cc yu cu m t trong tiu

chun ny. Tiu chun ny khng a ra cc yu cu c th cho tt c cc trng hp c th xy ra.

Nhng nguyn tc ny cn c p dng nh l hng dn cho vic ra quyt nh c th cn trong

cc trng hp ngoi d tnh. Cc nguyn tc khng phi l yu cu.

4.1.2 Mc ch tng th ca vic chng nhn l mang li s tin cy cho tt c cc bn rng h thng


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qun l p ng cc yu cu quy nh. Gi tr ca vic chng nhn l mc tin cy ca cng chng

v lng tin c thit lp thng qua vic nh gi khch quan v chuyn nghip ca bn th ba. Cc

bn quan tm n chng nhn gm, nhng khng gii hn :

a) khch hng ca t chc chng nhn,

b) khch hng ca t chc c h thng qun l c chng nhn,

c) c quan c thm quyn thuc chnh ph,

d) cc t chc phi chnh ph, v

e) ngi tiu dng v cc thnh phn x hi khc.

4.1.3 Cc nguyn tc thc y s tin cy gm

khch quan,

nng lc,

trch nhim,

cng khai,

bo mt, v

p ng khiu ni.

4.2 Khch quan

4.2.1 iu cn thit i vi t chc chng nhn l phi khch quan v c nhn bit l khch

quan a ra chng nhn c tin cy.

4.2.2 Phi tha nhn rng, ngun thu nhp ca t chc chng nhn l do khch hng tr cho vic

chng nhn v l nguy c tim n i vi tnh khch quan.

4.2.3 t c v duy tr s tin cy, iu thit yu l cc quyt nh ca t chc chng nhn

phi da trn bng chng khch quan v s ph hp (hay khng ph hp) m t chc chng nhn

thu c v cc quyt nh ca t chc khng b nh hng bi cc li ch hoc cc bn quan tm

khc.

4.2.4 Cc nguy c nh hng n tnh khch quan gm

a) T li: nguy c ny sinh t c nhn hoc t chc hnh ng v li ch ring ca mnh. Trong hot

ng chng nhn, tnh t li v ti chnh l nguy c nh hng n tnh khch quan.

b) T xem xt: nguy c ny sinh t vic chnh c nhn hoc t chc xem xt cng vic mnh thc

hin. Khi nh gi h thng qun l ca khch hng m t chc chng nhn cung cp hot ng

t vn v h thng qun l cng c th l mt nguy c t xem xt.


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c) Thn quen (hoc tin tng): nguy c ny sinh t c nhn hoc t chc qu quen thuc hoc tin

tng vo ngi khc thay cho vic tm kim bng chng nh gi.

d) B e da: nguy c ny sinh t c nhn hoc t chc c nhn thc v vic b p buc cng khai

hoc kn o, nh nguy c b thay th hoc bo co vi ngi gim st.

4.3 Nng lc

Nng lc nhn s do h thng qun l ca t chc chng nhn h tr l iu cn thit a ra

chng nhn tin cy.

4.4 Trch nhim

4.4.1 T chc khch hng, khng phi l t chc chng nhn, c trch nhim tun th cc yu cu

chng nhn.

4.4.2 T chc chng nhn c trch nhim nh gi bng chng khch quan y lm c s cho

quyt nh chng nhn. Da trn cc kt lun nh gi, t chc a ra quyt nh cp chng nhn

nu c bng chng v s ph hp, hoc khng cp chng nhn nu khng c bng chng v

s ph hp.

CH THCH: Mi nh gi u da trn c s ly mu trong phm vi h thng qun l ca t chc v v vy

khng m bo ph hp 100 % vi cc yu cu.

4.5 Cng khai

4.5.1 T chc chng nhn cn to s tip cn cng khai, hoc a ra thng tin thch hp v kp

thi v qu trnh nh gi v qu trnh chng nhn ca mnh, cng nh tnh trng chng nhn (ngha

l cp chng nhn, m rng, duy tr, cp mi, nh ch, thu hp phm vi hoc hy b chng nhn)

ca t chc bt k, t c s tin cy v tnh ton vn v tin cy ca chng nhn. Tnh cng

khai l nguyn tc tip cn, hoc cng khai thng tin thch hp.

4.5.2 t c hoc duy tr s tin cy trong chng nhn, t chc chng nhn cn to s tip

cn thch hp hoc cng khai nhng thng tin khng b mt v kt lun ca cc nh gi c th (v d

nh cc nh gi v vic p ng khiu ni) cho cc bn quan tm c th.

4.6 Bo mt

c quyn truy cp thng tin cn thit nhm nh gi s ph hp vi cc yu cu v chng nhn

thch hp, iu cn thit l t chc chng nhn phi gi b mt mi thng tin thuc s hu ca khch

hng.

4.7 p ng khiu ni

Cc bn tin tng vo chng nhn u mong mun cc khiu ni c iu tra v nu thy nhng


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khiu ni ny l ng n, th cn c s tin tng rng cc khiu ni s c x l mt cch ph

hp cng nh s c n lc hp l gii quyt cc khiu ni. Kh nng p ng c hiu lc cc

khiu ni l phng tin quan trng bo v cho t chc chng nhn, khch hng ca t chc cng

nh nhng ngi s dng chng nhn khc khi cc sai li, thiu st hay hnh vi khng hp l. S

tin cy trong cc hot ng chng nhn c bo m khi cc khiu ni c x l mt cch thch

hp.

CH THCH: Cn c s cn bng thch hp gia cc nguyn tc cng khai v bo mt, bao gm c kh nng

p ng khiu ni, chng t tnh ton vn v tin cy cho tt c mi ngi s dng chng nhn.

5 Yu cu chung

5.1 Cc vn php l v hp ng

5.1.1 Trch nhim php l

T chc chng nhn phi l mt php nhn hoc mt b phn xc nh ca mt php nhn, nh vy

t chc mi c th chu trch nhim php l v mi hot ng chng nhn ca mnh. T chc chng

nhn thuc chnh ph c coi l php nhn trn c s a v chnh ph ca mnh.

5.1.2 Tha thun chng nhn

T chc chng nhn phi c tha thun c rng buc v mt php l i vi vic cung cp hot

ng chng nhn vi khch hng. Ngoi ra, nu t chc chng nhn c nhiu vn phng hoc khch

hng c nhiu a im, th t chc chng nhn phi m bo c tha thun c rng buc v mt

php l gia t chc chng nhn cp chng nhn, ban hnh giy chng nhn v tt c cc a im

thuc phm vi chng nhn.

5.1.3 Trch nhim v quyt nh chng nhn

T chc chng nhn phi c trch nhim v phi duy tr thm quyn i vi nhng quyt nh ca

mnh lin quan n chng nhn, bao gm vic cp, duy tr, cp mi, m rng, thu hp, nh ch v

hy b chng nhn.

5.2 Qun l tnh khch quan

5.2.1 T chc chng nhn phi c cam kt ca lnh o cao nht v tnh khch quan trong cc

hot ng chng nhn h thng qun l. T chc chng nhn phi c mt tuyn b cng khai rng

ri rng t chc hiu c tm quan trng ca tnh khch quan trong vic tin hnh cc hot ng

chng nhn h thng qun l, cng nh qun l c xung t v li ch v m bo tnh khch

quan trong hot ng chng nhn h thng qun l.

5.2.2 T chc chng nhn phi nhn bit, phn tch v lp thnh vn bn cc kh nng ny sinh


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xung t v li ch t vic cung cp chng nhn bao gm mi xung t ny sinh t cc mi quan h

ca t chc. Vic c cc mi quan h khng nht thit th hin l t chc chng nhn c xung t v

li ch. Tuy nhin, khi mi quan h no to ra nguy c cho tnh khch quan, th t chc chng

nhn phi lp thnh vn bn v phi c kh nng chng t cch loi tr hoc gim thiu nguy c .

Thng tin ny phi sn c cho ban quy nh 6.2. Vic chng minh phi bao trm tt c cc ngun

tim n xung t li ch c nhn bit, cho d nhng xung t ny ny sinh trong phm vi ca t

chc chng nhn hay t cc hot ng ca nhng c nhn, t chc hoc c quan khc.

CH THCH: Mi quan h e da tnh khch quan ca t chc chng nhn c th da trn c s quan h s

hu, s iu hnh, qun l, nhn s, chia s ngun lc, ti chnh, hp ng, marketing v chi tr hoa hng bn

hng hay s thuyt phc khc cho s chuyn n ca khch hng mi,

5.2.3 Khi mi quan h c nguy c khng th chp nhn vi tnh khch quan (nh cng ty con

thuc s hu hon ton ca t chc chng nhn yu cu chng nhn t cng ty m), th khng

c cung cp chng nhn.

CH THCH: Xem ch thch 5.2.2.

5.2.4 Mt t chc chng nhn khng c chng nhn cho mt t chc chng nhn khc v hot

ng chng nhn h thng qun l.


5.2.5 T chc chng nhn v b phn bt k ca cng mt php nhn khng c ngh hoc

cung cp t vn h thng qun l. iu ny cng p dng cho b phn cng quyn c vai tr l t

chc chng nhn.

5.2.6 T chc chng nhn v b phn bt k ca cng mt php nhn khng c ngh hoc

cung cp nh gi ni b cho khch hng c chng nhn ca mnh. T chc chng nhn khng

c chng nhn h thng qun l m m mnh cung cp nh gi ni b trong vng hai nm sau

khi kt thc cc ln nh gi ni b . iu ny cng p dng cho b phn cng quyn c vai tr l

t chc chng nhn.


5.2.7 T chc chng nhn khng c chng nhn h thng qun l cho khch hng nhn c

t vn hoc nh gi ni b h thng qun l, trong quan h gia t chc t vn v t chc

chng nhn cha ng nguy c khng th chp nhn vi tnh khch quan ca t chc chng nhn.

CH THCH 1: Cho php khong thi gian ti thiu l hai nm k t khi kt thc vic t vn h thng qun l l

mt cch lm gim nguy c vi tnh khch quan ti mc chp nhn c.

CH THCH 2: Xem ch thch 5.2.2.

5.2.8 T chc chng nhn khng c thu nh gi bn ngoi t t chc t vn h thng qun

l v iu ny cha ng nguy c khng th chp nhn i vi tnh khch quan ca t chc chng


16

nhn (xem 7.5). iu ny khng p dng vi cc c nhn c k hp ng lm chuyn gia nh gi

cp trong 7.3.

5.2.9 T chc chng nhn khng c tip th hoc cho hng cc hot ng ca mnh cng vi

cc hot ng ca t chc t vn h thng qun l. T chc chng nhn phi c hnh ng iu

chnh cc tuyn b khng thch hp ca mi t chc t vn nu hoc m ch rng vic chng nhn c

th n gin, d dng, nhanh chng hn hoc chi ph thp hn khi s dng t chc chng nhn. T

chc chng nhn khng c tuyn b hoc m ch rng vic chng nhn c th n gin, d dng,

nhanh chng hn hoc chi ph thp hn nu s dng t chc t vn xc nh.

5.2.10 m bo khng c xung t v li ch, t chc chng nhn khng c s dng ngi

t vn h thng qun l, bao gm c nhng ngi hot ng trong ban qun l, tham gia vo

nh gi hoc hot ng chng nhn khc nu h c lin quan n vic t vn h thng qun l cho

khch hng trong vng hai nm k t khi kt thc vic t vn.

5.2.11 T chc chng nhn phi thc hin hnh ng ng ph vi mi nguy c i vi tnh khch

quan ny sinh t cc hnh ng ca nhng c nhn, t chc hoc c quan khc.

5.2.12 Tt c nhn s, ni b hay bn ngoi, hoc cc ban ca t chc chng nhn c nh hng

n hot ng chng nhn, phi lm vic mt cch khch quan v khng c cc p lc v

thng mi, ti chnh hoc cc p lc khc lm tn hi n tnh khch quan.

5.2.13 T chc chng nhn phi yu cu nhn s, ni b v bn ngoi, thng bo mi trng hp

c bit c th dn n vic h hoc t chc chng nhn vng phi nhng xung t v li ch. T

chc chng nhn phi s dng thng tin ny lm u vo nhn bit cc nguy c nh hng n

tnh khch quan ny sinh t hot ng ca nhn s ny hoc cc t chc thu h, ng thi khng

c s dng nhn s ni b hoc bn ngoi ny, tr khi h c th chng t rng khng c xung t

v li ch.

5.3 Trch nhim php l v ti chnh

5.3.1 T chc chng nhn phi c kh nng chng t rng nh gi nhng ri ro ny sinh t

cc hot ng chng nhn ca mnh cng nh c nhng tha thun thch hp (v d nh bo him

hoc bin php d phng) thc hin cc trch nhim php l pht sinh t nhng hot ng trong

tng lnh vc v khu vc a l m t chc hot ng.

5.3.2 T chc chng nhn phi nh gi v ti chnh v cc ngun thu nhp v chng t vi ban

quy nh 6.2 rng ngay t u cng nh tip theo , cc p lc v thng mi, ti chnh hay cc

p lc khc khng lm tn hi n tnh khch quan ca t chc.

6 Yu cu v c cu

6.1 C cu t chc v lnh o cao nht


17

6.1.1 T chc chng nhn phi lp thnh vn bn c cu t chc ca mnh, trong ch r nhim

v, trch nhim v quyn hn ca ban lnh o v nhn s chng nhn khc cng nh tt c cc

ban. Khi t chc chng nhn c xc nh l b phn ca mt php nhn th c cu t chc phi

bao gm c phm vi quyn hn v mi quan h vi cc b phn khc trong php nhn .

6.1.2 T chc chng nhn phi xc nh lnh o cao nht (ban, nhm ngi hoc mt ngi) c

quyn hn v trch nhim chung i vi tng cng vic sau y:

a) xy dng cc chnh sch lin quan n hot ng ca t chc;

b) gim st vic p dng cc chnh sch v th tc;

c) gim st ti chnh ca t chc;

d) xy dng cc dch v v chng trnh chng nhn h thng qun l;

e) thc hin cc nh gi, chng nhn v p ng cc khiu ni;

f) quyt nh vic chng nhn;

g) y quyn cho ban hoc c nhn, theo yu cu, thay mt thc hin cc hot ng xc nh;

h) tha thun hp ng;

i) cung cp ngun lc tha ng cho hot ng chng nhn.

6.1.3 T chc chng nhn phi c cc quy nh chnh thc i vi vic b nhim, cc iu l v

hot ng ca tt c cc ban lin quan n hot ng chng nhn.

6.2 Ban m bo tnh khch quan

6.2.1 C cu ca t chc chng nhn phi m bo tnh khch quan trong cc hot ng ca t

chc chng nhn v phi c mt ban

a) h tr xy dng cc chnh sch lin quan n tnh khch quan trong cc hot ng chng nhn

ca t chc,

b) chng mi xu hng trong b phn ca t chc chng nhn cho php cc tnh ton v thng

mi hoc cc tnh ton khc ngn cn vic cung cp cc hot ng chng nhn khch quan,

nht qun,

c) c vn cc vn nh hng n s tin cy trong chng nhn, bao gm c tnh cng khai v

cm nhn ca cng chng, v

d) t nht mi nm mt ln, tin hnh xem xt tnh khch quan ca cc qu trnh nh gi, chng

nhn v ra quyt nh ca t chc chng nhn.

C th giao cc nhim v v trch nhim khc cho ban ny, vi iu kin l cc nhim v v trch

nhim b sung ny khng lm tn hi n vai tr thit yu ca ban l m bo tnh khch quan.


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6.2.2 Thnh phn, iu l, nhim v, quyn hn, nng lc ca cc thnh vin cng nh trch

nhim ca ban ny phi c lp thnh vn bn chnh thc v c ph duyt bi lnh o cao nht

ca t chc chng nhn giao nhm m bo

a) th hin s cn bng v li ch sao cho khng c mt bn no chim u th hn (ngi bn

trong hoc bn ngoi t chc chng nhn c coi l mt bn quan tm v khng c chim

u th hn),

b) tip cn mi thng tin cn thit c th thc hin cc chc nng ca mnh (xem thm 5.2.2 v

5.3.2), v

c) khi lnh o cao nht ca t chc chng nhn khng tn trng kin ca ban ny th ban phi

c quyn hnh ng c lp (v d nh thng bo cho nh chc trch, cc t chc cng nhn,

cc bn lin quan). Khi tin hnh hnh ng c lp, ban phi tun th cc yu cu v tnh bo

mt 8.5 lin quan n khch hng v t chc chng nhn.

6.2.3 Mc d ban ny khng th i din cho tt c cc bn quan tm nhng t chc chng nhn

cn nhn bit v mi cc bn quan tm chnh. Nhng bn quan tm ny c th bao gm: khch hng

ca t chc chng nhn, khch hng ca t chc c h thng qun l c chng nhn, i din

cc hip hi thng mi cng nghip, i din cc c quan nh ch hoc cc t chc dch v khc

ca chnh ph, hoc i din ca cc t chc phi chnh ph, bao gm c cc t chc ngi tiu

dng.

7 Yu cu v ngun lc

7.1 Nng lc ca lnh o v nhn s

7.1.1 Cc xem xt tng th

T chc chng nhn phi c cc qu trnh m bo rng nhn s ca mnh c kin thc ph hp

lin quan n cc loi h thng qun l v khu vc a l m t chc hot ng.

T chc phi xc nh nng lc cn thit i vi tng lnh vc k thut (thch hp cho chng trnh

chng nhn c th) v cho tng chc nng trong hot ng chng nhn.

T chc phi xc nh phng thc chng t nng lc trc khi thc hin cc chc nng c th.

7.1.2 Xc nh tiu ch nng lc

T chc chng nhn phi c qu trnh dng vn bn xc nh tiu ch nng lc nhn s lin quan

n vic qun l v tin hnh nh gi v chng nhn. Phi xc nh cc tiu ch nng lc theo

nhng yu cu ca tng loi tiu chun hay quy nh k thut v h thng qun l, cho tng lnh vc

k thut v tng chc nng trong qu trnh chng nhn. Kt qu ca qu trnh ny phi l tiu ch

dng vn bn v kin thc v k nng cn thit thc hin mt cch hiu lc cc nhim v nh

gi v chng nhn cn hon thnh nhm t c kt qu d kin. Ph lc A quy nh kin thc v


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k nng m t chc chng nhn phi xc nh cho cc chc nng c th. Khi thit lp thm cc tiu

ch nng lc c th cho mt chng trnh chng nhn c th, v d TCVN ISO/TS 22003 (H thng

qun l an ton thc phm), th cng phi p dng cc tiu ch ny.

CH THCH: C th p dng thut ng lnh vc k thut khc nhau ty theo tiu chun v h thng qun l

ang xem xt. Vi mi h thng qun l, thut ng ny lin quan n sn phm v qu trnh trong bi cnh

phm vi ca h thng qun l. Cc lnh vc k thut c th xc nh theo chng trnh chng nhn c th (v d

TCVN ISO/TS 22003); hoc c th do t chc chng nhn xc nh. Di y l nhng v d v vic p dng

thut ng lnh vc k thut cho cc loi h thng qun l khc nhau:

Vi tiu chun v h thng qun l cht lng, thut ng lnh vc k thut lin quan n cc qu trnh

cn thit p ng mong i ca khch hng cng nh cc yu cu lut nh v ch nh thch hp i

vi sn phm v dch v ca t chc.

Vi tiu chun v h thng qun l mi trng, thut ng lnh vc k thut lin quan n cc loi hot

ng, sn phm v dch v lin quan n kha cnh mi trng tc ng ti khng kh, nc, t, ti

nguyn, qun th ng, thc vt v con ngi.

Vi tiu chun v h thng qun l an ninh chui cung ng, thut ng lnh vc k thut lin quan n cc

qu trnh trong bi cnh ri ro v an ninh ca hng ha cung ng, nh vn ti, bo qun v thng tin.

Vi tiu chun v h thng qun l an ninh thng tin, thut ng lnh vc k thut lin quan n cc loi k

thut v thc hnh an ninh thng tin, cng ngh thng tin v truyn thng v hot ng cng vic lin quan

n la chn cc bin php kim sot an ninh thch hp v tha ng bo v ti sn thng tin.

7.1.3 Qu trnh nh gi

T chc chng nhn phi c cc qu trnh c lp thnh vn bn i vi vic nh gi nng lc

ban u v vic gim st lin tc nng lc cng nh vic thc hin ca mi c nhn lin quan n

vic qun l v thc hin nh gi, chng nhn, p dng cc tiu ch nng lc xc nh. T chc

chng nhn phi chng t rng phng php nh gi ca mnh l c hiu lc. Phi s dng u ra

ca cc qu trnh ny nhn bit nhn s chng t c nng lc cn thit i vi cc chc nng

khc nhau ca qu trnh nh gi v chng nhn.

CH THCH: C th dng mt s phng php nh gi m t trong Ph lc B nh gi kin thc v k

nng.

7.1.4 Cc xem xt khc

7.1.4.1 Khi xc nh cc yu cu v nng lc i vi nhn s thc hin vic chng nhn, ngoi

nhng ngi trc tip thc hin hot ng nh gi v chng nhn, t chc chng nhn phi xem

xt c cc chc nng do lnh o v nhn s qun tr m trch.

7.1.4.2 T chc chng nhn phi tip cn vi cc chuyn gia k thut cn thit c t vn v

nhng vn lin quan trc tip n vic chng nhn cho lnh vc k thut, loi h thng qun l v

khu vc a l m t chc chng nhn hot ng. Nhng ch dn ny c th c t nhng ngi bn

ngoi hoc ngi ca t chc chng nhn.


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7.2 Nhn s lin quan n hot ng chng nhn

7.2.1 T chc chng nhn phi c nhn s l mt phn trong t chc ca mnh, c nng lc

qun l loi hnh v phm vi ca cc chng trnh nh gi cng nh cng vic chng nhn khc

c thc hin.

7.2.2 T chc chng nhn phi tuyn dng, hoc tip cn vi cc chuyn gia nh gi, bao gm

c cc trng on nh gi, v cc chuyn gia k thut vi s lng c th bao qut tt c

cc hot ng ca t chc v x l khi lng cng vic nh gi cn thc hin.

7.2.3 T chc chng nhn phi lm cho mi c nhn lin quan bit r nhim v, trch nhim v

quyn hn ca mnh.

7.2.4 T chc chng nhn phi c cc qu trnh xc nh i vi vic la chn, o to, giao

quyn chnh thc cho cc chuyn gia nh gi v la chn cc chuyn gia k thut s dng trong

hot ng chng nhn. Vic nh gi nng lc ban u ca chuyn gia nh gi phi bao gm kh

nng ng dng cc kin thc, k nng yu cu trong qu trnh nh gi, iu ny c xc nh bi

ngi xem xt nh gi c nng lc quan st chuyn gia nh gi tin hnh vic nh gi.

CH THCH: Trong qu trnh la chn v o to m t trn, c th xem xt c hnh vi c nhn mong mun.

y l cc c tnh tc ng ti kh nng thc hin cc chc nng c th ca c nhn. V vy, s am hiu v

hnh vi ca cc c nhn gip t chc chng nhn c th pht huy li th v cc im mnh cng nh hn ch

tc ng t nhng im yu ca h. Cc hnh vi c nhn mong mun quan trng i vi nhn s lin quan n

hot ng chng nhn c m t trong Ph lc D.

7.2.5 T chc chng nhn phi c qu trnh t c v chng t vic nh gi c hiu lc,

bao gm c vic s dng cc chuyn gia nh gi v trng on nh gi c k nng v kin thc

nh gi chung, cng nh k nng v kin thc ph hp nh gi trong lnh vc k thut c th.

7.2.6 T chc chng nhn phi m bo rng cc chuyn gia nh gi (v, khi cn, cc chuyn

gia k thut) hiu r v cc qu trnh nh gi, cc yu cu chng nhn v cc yu cu lin quan

khc. T chc chng nhn phi chuyn gia nh gi v chuyn gia k thut tip cn b th tc

dng vn bn cp nht a ra cc hng dn nh gi v mi thng tin lin quan n cc hot ng

chng nhn.

7.2.7 T chc chng nhn ch c s dng cc chuyn gia nh gi v chuyn gia k thut cho

nhng hot ng chng nhn m h chng t l c nng lc.

CH THCH: Vic ch nh chuyn gia nh gi v chuyn gia k thut cho cc on nh gi c th c

cp 9.1.3.

7.2.8 T chc chng nhn phi nhn bit nhu cu o to v phi cung cp hoc to s tip cn

vi vic o to c th m bo cc chuyn gia nh gi, chuyn gia k thut v nhn s khc c

lin quan ti hot ng chng nhn c nng lc cho cc chc nng m h thc hin.


21

7.2.9 Nhm ngi hoc c nhn quyt nh cp, duy tr, cp mi, m rng, thu hp phm vi, nh

ch hoc hy b chng nhn phi hiu r tiu chun p dng v cc yu cu chng nhn, ng thi

phi th hin nng lc xem xt nh gi cc qu trnh nh gi v cc khuyn ngh lin quan ca

on nh gi.

7.2.10 T chc chng nhn phi m bo tt c nhn s lin quan n hot ng nh gi v

chng nhn thc hin ng n cng vic ca mnh. Phi c cc th tc v cc tiu ch bng vn bn

cho vic theo di v o lng vic thc hin ca mi c nhn lin quan, da trn tn sut s dng v

mc ri ro lin quan n hot ng ca h. c bit, t chc chng nhn phi xem xt nng lc

nhn s ca mnh trn c s vic thc hin cng vic ca h t xc nh nhu cu o to.

7.2.11 Th tc gim st dng vn bn i vi chuyn gia nh gi phi bao gm c vic theo di ti

hin trng, xem xt bo co nh gi v phn hi ca khch hng hoc th trng v phi c xc

nh trong cc yu cu bng vn bn. Phi thit k vic gim st ny sao cho gim thiu s xo trn

cc qu trnh chng nhn bnh thng, c bit l t gc ca khch hng.

7.2.12 T chc chng nhn phi theo di nh k vic thc hin ti hin trng ca tng chuyn gia

nh gi. Tn sut theo di ti hin trng phi da trn nhu cu xc nh t tt c cc thng tin

gim st sn c.

7.3 S dng chuyn gia nh gi v chuyn gia k thut c lp bn ngoi

T chc chng nhn phi yu cu chuyn gia nh gi v chuyn gia k thut bn ngoi c tha

thun bng vn bn, trong h t cam kt tun th cc chnh sch v th tc thch hp m t chc

chng nhn quy nh. Tha thun ny phi cp ti cc kha cnh lin quan n tnh bo mt v

tnh c lp vi cc li ch v thng mi v cc li ch khc, ng thi phi yu cu chuyn gia nh

gi v chuyn gia k thut bn ngoi thng bo cho t chc chng nhn bit mi lin h hin c hoc

trc y vi t chc bt k m h c phn cng nh gi.

CH THCH: Vic s dng chuyn gia nh gi hoc chuyn gia k thut c lp theo nhng tha thun ny

khng c coi l ngun lc bn ngoi nh m t 7.5.

7.4 H s nhn s

T chc chng nhn phi duy tr h s nhn s c cp nht, bao gm trnh chuyn mn, qu

trnh o to, kinh nghim, tnh trng thnh vin, tnh trng ngh nghip, nng lc v dch v t vn

lin quan c th c cung cp. Ngoi nhng ngi thc hin hot ng chng nhn, h s ny cn

gm c nhn s qun l v qun tr.

7.5 Thu ngoi

7.5.1 T chc chng nhn phi c qu trnh trong m t cc iu kin din ra hot ng thu

ngoi (vic k hp ng thu ph vi t chc khc cung cp mt phn hot ng chng nhn vi


22

t cch ca t chc chng nhn). T chc chng nhn phi c tha thun c rng buc v mt

php l cp n mi s sp xp, bao gm c tnh bo mt v xung t li ch, vi tng t chc

cung cp dch v thu ngoi.

CH THCH 1: iu ny c th bao gm vic thu ngoi t cc t chc chng nhn khc. Vic s dng chuyn

gia nh gi v chuyn gia k thut theo hp ng c cp 7.3.

CH THCH 2: Vi mc ch ca tiu chun ny, hai thut ng "thu ngoi" v "thu ph" c coi l ng

ngha.

7.5.2 Cc quyt nh cp, duy tr, cp mi, m rng, thu hp phm vi, nh ch hoc hy b chng

nhn khng c php thu ngoi.

7.5.3 T chc chng nhn phi

a) c trch nhim vi tt c cc hot ng thu ngoi t t chc khc,

b) m bo rng t chc cung cp dch v thu ph v cc c nhn m t chc s dng tun th

cc yu cu ca t chc chng nhn cng nh cc iu khon thch hp ca tiu chun ny,

gm nng lc, tnh khch quan v tnh bo mt, v

c) m bo rng t chc cung cp dch v thu ph v cc c nhn m t chc s dng khng

lin quan, trc tip hoc thng qua t chc m h phc v, ti t chc c nh gi, sao cho

khng tn hi n tnh khch quan.

7.5.4 T chc chng nhn phi c cc th tc dng vn bn v trnh chuyn mn v gim st

tt c cc t chc cung cp dch v thu ph s dng cho hot ng chng nhn v phi m bo

duy tr h s nng lc ca chuyn gia nh gi v chuyn gia k thut.

8 Yu cu v thng tin

8.1 Thng tin cng khai

8.1.1 T chc chng nhn phi duy tr v to kh nng tip cn cng khai, hoc cung cp theo yu

cu, thng tin m t cc qu trnh nh gi v qu trnh chng nhn cp, duy tr, m rng phm vi,

cp mi, thu hp phm vi, nh ch hoc hy b chng nhn v thng tin v cc hot ng chng

nhn, loi h thng qun l v khu vc a l m t chc hot ng.

8.1.2 Thng tin do t chc chng nhn cung cp cho mi khch hng hoc cho th trng, bao gm

c vic qung co, phi chnh xc v khng dn n hiu lm.

8.1.3 T chc chng nhn phi to kh nng tip cn cng khai thng tin v cc chng nhn c

cp, nh ch hoc hy b.

8.1.4 Theo yu cu ca bn bt k, t chc chng nhn phi cung cp cch thc xc nhn hiu

lc ca chng nhn c cp.


23

CH THCH 1: Nu thng tin tng th b tch gia nhiu ngun (v d bn giy hoc dng in t hoc kt hp

c hai) th c th p dng h thng m bo kh nng truy nguyn v khng c s nhm ln gia cc ngun (v

d nh h thng nh s duy nht hoc ng kt ni trn internet).

CH THCH 2: Trong trng hp ngoi l, theo yu cu ca khch hng c th hn ch vic truy cp cc thng

tin nht nh (v d v l do an ninh).

8.2 Ti liu chng nhn

8.2.1 T chc chng nhn phi cung cp cc ti liu chng nhn cho khch hng c chng nhn

theo cch bt k do t chc la chn.

8.2.2 Thi hn hiu lc trn ti liu chng nhn khng c trc thi gian quyt nh chng

nhn.

8.2.3 (Cc) ti liu chng nhn phi nhn bit thng tin sau y:

a) tn v v tr a l ca tng khch hng c h thng qun l c chng nhn (hoc v tr a l

ca tr s chnh v mi a im trong phm vi chng nhn nhiu a im);

b) ngy cp, m rng phm vi hoc cp mi chng nhn;

c) thi hn hoc ngy n hn chng nhn li theo chu k chng nhn li;

d) m nhn bit duy nht;

e) tiu chun v/hoc ti liu quy nh khc, bao gm c s hiu v/hoc ln sa i ban hnh,

dng nh gi khch hng c chng nhn;

f) phm vi chng nhn lin quan n sn phm (gm c dch v), qu trnh, p dng vi tng

a im;

g) tn, a ch v du chng nhn ca t chc chng nhn; cc du hiu khc (v d nh biu

tng cng nhn) c th s dng vi iu kin l chng khng gy nhm ln hoc khng r

rng;

h) mi thng tin khc theo yu cu ca tiu chun v/hoc ti liu quy nh khc c dng

chng nhn;

i) trong trng hp ban hnh ti liu chng nhn sa i bt k, phi c phng thc phn

bit ti liu c sa i vi mi ti liu li thi trc .

8.3 Danh b khch hng c chng nhn

T chc chng nhn phi duy tr v to kh nng tip cn cng khai, hoc cung cp theo yu cu,

theo cch t chc la chn, danh b cc chng nhn cn hiu lc trong t nht phi ch ra tn, ti

liu quy nh lin quan, phm vi v v tr a l (v d nh thnh ph v nc) ca tng khch hng

c chng nhn (hoc v tr a l ca tr s chnh v a im bt k trong phm vi chng nhn


24

nhiu a im).

CH THCH: Danh b ny thuc s hu c quyn ca t chc chng nhn.

8.4 Vin dn chng nhn v s dng du

8.4.1 T chc chng nhn phi c chnh sch qun l mi du m t chc cho php khch hng

c chng nhn s dng. Trong s nhiu vn khc, vic ny phi m bo kh nng truy

nguyn n t chc chng nhn. Khng c c s khng r rng v du hoc vn bn km theo v

nhng g c chng nhn v t chc chng nhn no cp chng nhn. Khng c s dng

du ny trn sn phm hoc bao b sn phm ngi tiu dng thy hoc theo cch bt k khc c

th c hiu theo ngha l sn phm ph hp.

CH THCH: TCVN ISO/IEC 17030 a ra yu cu i vi vic s dng du ca bn th ba.

8.4.2 T chc chng nhn khng c cho php s dng du ca mnh trong bo co th

nghim, hiu chun ca phng th nghim hoc bo co gim nh, v trong trng hp ny cc bo

co ny c coi l sn phm.

8.4.3 T chc chng nhn phi yu cu t chc khch hng

a) tun th cc yu cu ca t chc chng nhn khi vin dn v tnh trng chng nhn ca mnh

trn phng tin truyn thng nh internet, t gii thiu hoc qung co hoc cc ti liu khc,

b) khng a ra hoc khng cho php cng b sai lc v chng nhn ca mnh,

c) khng s dng hoc cho php s dng ti liu chng nhn hoc bt c phn no trong ti liu

chng nhn theo cch lm sai lc,

d) ngay khi nh ch hoc hy b chng nhn, ngng s dng tt c cc hnh thc qung co c

cp n chng nhn, theo ch dn ca t chc chng nhn (xem 9.6.3 v 9.6.6),

e) sa i tt c cc ni dung qung co khi phm vi chng nhn b thu hp,

f) khng cho php s dng vic vin dn chng nhn h thng qun l theo cch hm l t chc

chng nhn cp chng nhn cho sn phm (bao gm c dch v) hoc qu trnh,

g) khng c hm l chng nhn p dng cho cc hot ng nm ngoi phm vi chng nhn,

v

h) khng c s dng chng nhn theo cch c th lm cho t chc chng nhn v/hoc h

thng chng nhn mang ting xu v mt lng tin vi cng chng.

8.4.4 T chc chng nhn phi thc hin kim sot thch hp quyn s hu v phi thc hin

hnh ng x l vic vin dn khng ng tnh trng chng nhn hoc s dng sai cc ti liu,

du hoc bo co nh gi chng nhn.

CH THCH: Hnh ng ny c th bao gm cc yu cu khc phc v hnh ng khc phc, nh ch, hy b


25

chng nhn, cng b vi phm v hnh ng php l nu cn.

8.5 Bo mt

8.5.1 T chc chng nhn, thng qua cc tha thun c rng buc v mt php l, phi c

chnh sch v cc sp xp m bo bo mt thng tin thu c hoc to ra trong qu trnh thc

hin cc hot ng chng nhn tt c cc cp trong c cu ca t chc, bao gm cc ban v cc

t chc bn ngoi hoc cc c nhn i din cho t chc.

8.5.2 T chc chng nhn phi thng bo trc cho khch hng cc thng tin m t chc d kin

s cng khai. Tt c cc thng tin khc, ngoi tr thng tin c khch hng cho php cng khai,

phi c coi l thng tin bo mt.

8.5.3 Ngoi cc quy nh nu trong tiu chun ny, khng c cung cp cho bn th ba thng tin

v khch hng hoc c nhn c th m khng c s cho php bng vn bn ca khch hng hoc c

nhn lin quan. Trong trng hp lut php yu cu t chc chng nhn cung cp thng tin bo mt

cho bn th ba, nu lut php khng quy nh th khch hng hoc c nhn lin quan phi c

thng bo trc v cc thng tin c cung cp.

8.5.4 Thng tin v khch hng t cc ngun khng phi l khch hng (v d nh bn khiu ni,

nh qun l) phi c x l nh thng tin bo mt, ph hp vi chnh sch ca t chc chng

nhn.

8.5.5 Nhn s, bao gm cc thnh vin ca cc ban, nh thu, ngi ca t chc hoc c nhn

bn ngoi hot ng di danh ngha ca t chc chng nhn, phi bo mt tt c cc thng tin thu

c hoc to ra trong qu trnh thc hin cc hot ng ca t chc chng nhn.

8.5.6 T chc chng nhn phi c sn v s dng thit b v phng tin m bo x l an

ton cc thng tin bo mt (v d nh ti liu, h s).

8.5.7 Khi cung cp thng tin bo mt cho t chc khc (v d nh c quan cng nhn, nhm tha

thun ca chng trnh nh gi ng ng), t chc chng nhn phi thng bo cho khch hng v

hnh ng ny.

8.6 Trao i thng tin gia t chc chng nhn v khch hng

8.6.1 Thng tin v hot ng v cc yu cu chng nhn

T chc chng nhn phi cung cp v cp nht cho khch hng cc thng tin sau:

a) bn m t chi tit v hot ng chng nhn ln u v chng nhn sau , gm c vic p dng,

nh gi ln u, nh gi gim st v qu trnh cp, duy tr, thu hp, m rng, nh ch, hy b

chng nhn v chng nhn li;

b) cc yu cu quy nh v chng nhn;


26

c) thng tin v ph ng k, chng nhn ln u v chng nhn sau ;

d) cc yu cu ca t chc chng nhn i vi khch hng tng lai v

1) tun th cc yu cu chng nhn,

2) thc hin mi sp xp cn thit tin hnh nh gi, bao gm cung cp ti liu kim tra,

tip cn tt c cc qu trnh v khu vc, h s cng nh nhn s phc v cho chng nhn

ln u, gim st, chng nhn li v gii quyt khiu ni, v

3) c quy nh, khi c th, to iu kin cho s tham gia ca cc quan st vin (v d nh

chuyn gia nh gi cng nhn hoc chuyn gia nh gi thc tp);

e) ti liu m t quyn v trch nhim ca khch hng c chng nhn, gm c cc yu cu khi

vin dn chng nhn ca mnh bng loi hnh truyn thng bt k ph hp vi cc yu cu 8.4;

f) thng tin v cc th tc x l khiu ni v yu cu xem xt li.

8.6.2 Thng bo v cc thay i ca t chc chng nhn

T chc chng nhn phi thng bo cho khch hng c chng nhn v mi thay i trong cc yu

cu chng nhn ca mnh. T chc chng nhn phi kim tra xc nhn rng mi khch hng c

chng nhn tun th theo cc yu cu mi ny.

CH THCH: C th cn cc tha thun bng hp ng vi khch hng c chng nhn m bo vic p

dng cc yu cu ny. Mu tha thun cho php s dng chng nhn, gm c cc kha cnh lin quan n

thng bo v cc thay i, trong chng mc thch hp, c nu trong Ph lc E ca TCVN 7776:2008

(ISO/IEC Guide 28:2004).

8.6.3 Thng bo v cc thay i ca khch hng

T chc chng nhn phi c tha thun c rng buc v mt php l m bo rng khch

hng c chng nhn thng bo kp thi cho t chc chng nhn cc vn c th nh hng

n kh nng ca h thng qun l trong vic tip tc p ng cc yu cu ca tiu chun s dng

chng nhn. iu ny bao gm, v d, cc thay i lin quan n

a) tnh trng php l, thng mi, t chc hoc quyn s hu,

b) t chc v qun l (v d nhn vin qun l chnh, ngi ra quyt nh hoc nhn vin k thut),

c) a ch lin h v a im,

d) phm vi hot ng trong h thng qun l c chng nhn, v

e) nhng thay i chnh v h thng qun l v cc qu trnh.

CH THCH: Mu tha thun cho php s dng chng nhn, gm c cc kha cnh lin quan n thng bo v

cc thay i, trong chng mc thch hp, c nu trong Ph lc E ca TCVN 7776:2008 (ISO/IEC Guide

28:2004).


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9 Yu cu v qu trnh

9.1 Yu cu chung

9.1.1 Chng trnh nh gi

9.1.1.1 Phi xy dng chng trnh nh gi cho mt chu k chng nhn y xc nh r

rng nhng hot ng nh gi cn thit chng t h thng qun l ca khch hng p ng cc

yu cu chng nhn theo (nhng) tiu chun hay ti liu quy nh khc c la chn.

CH THCH 1: Ph lc E l lu qu trnh nh gi v chng nhn in hnh ca bn th ba.

CH THCH 2: Ph lc F lit k cc hng mc b sung c th c xem xt khi xy dng v sa i chng

trnh nh gi.

9.1.1.3 T chc chng nhn phi thu thp y thng tin xc nhn c l gii v phi lu h

s v mi iu chnh i vi chng trnh nh gi trong trng hp t chc xem xt cc chng

nhn hoc nh gi khc thc hin cho khch hng.

9.1.2 K hoch nh gi

9.1.2.1 Khi qut

T chc chng nhn phi m bo thit lp k hoch nh gi cho tng ln nh gi c nhn bit

trong chng trnh nh gi to c s cho tha thun lin quan n vic tin hnh v lp chng

trnh cho cc hot ng nh gi. K hoch nh gi ny phi da trn cc yu cu bng vn bn

ca t chc chng nhn.

9.1.2.2 Xc nh mc tiu, phm vi v chun mc nh gi

9.1.2.2.1 T chc chng nhn phi xc nh cc mc tiu nh gi, thit lp phm vi v chun mc

nh gi, gm c mi thay i, sau khi trao i vi khch hng.

9.1.2.2.2 Mc tiu nh gi phi m t nhng vic cn t c trong cuc nh gi v phi gm:

a) xc nh s ph hp ca mt phn hay ton b h thng qun l ca khch hng vi chun mc

nh gi;

b) nh gi kh nng ca h thng qun l nhm m bo t chc khch hng p ng cc yu

cu lut nh, ch nh v hp ng thch hp;

9.1.1.2 Chng trnh nh gi phi bao gm nh gi ln u hai giai on, nh gi gim st trong

nm u v nm th hai, v nh gi chng nhn li trong nm th ba trc khi ht hn chng nhn.

Chu k chng nhn ba nm bt u vi quyt nh chng nhn hoc chng nhn li. Vic xc nh

chng trnh nh gi v mi iu chnh tip theo phi tnh n quy m ca t chc khch hng,

phm vi v mc phc tp ca h thng qun l, cc sn phm v qu trnh cng nh mc

chng t tnh hiu lc ca h thng qun l v kt qu ca mi ln nh gi trc .


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CH THCH: nh gi chng nhn h thng qun l khng phi l nh gi s ph hp mang tnh php l.

c) nh gi hiu lc ca h thng qun l m bo t chc khch hng p ng lin tc cc

mc tiu quy nh;

d) khi thch hp, nhn bit cc khu vc c tim nng ci tin ca h thng qun l.

9.1.2.2.3 Phm vi nh gi phi m t mc v cc ranh gii nh gi, nh l v tr a l, cc n

v ca t chc, cc hot ng v qu trnh c nh gi. Nu qu trnh chng nhn ln u hoc

chng nhn li gm nhiu hn mt cuc nh gi (v d nh gi cc a im khc nhau), th

phm vi ca cc nh gi ring l c th khng bao trm phm vi chng nhn y , tuy nhin ton

b cc nh gi phi nht qun vi phm vi trong ti liu chng nhn.

CH THCH: Ph lc F lit k cc hng mc b sung c th c xem xt khi chun b hoc sa i phm vi

nh gi.

9.1.2.2.4 Chun mc nh gi phi c dng lm chun xc nh s ph hp v phi bao gm:

cc yu cu ca ti liu quy nh xc nh v h thng qun l;

cc qu trnh v ti liu xc nh ca h thng qun l do khch hng xy dng.

9.1.2.3 Chun b k hoch nh gi

K hoch nh gi phi ph hp vi mc tiu v phm vi nh gi. K hoch nh gi t nht phi

bao gm hoc vin dn ti:

a) mc tiu nh gi;

b) chun mc nh gi;

c) phm vi nh gi, gm vic nhn bit cc n v t chc v chc nng hay cc qu trnh c

nh gi;

d) ngy v a im tin hnh hot ng nh gi ti ch, bao gm vic thm quan cc a im

tm thi khi thch hp;

e) thi im v khong thi gian d kin ca hot ng nh gi ti ch;

f) vai tr v trch nhim ca cc thnh vin trong on nh gi cng nh nhng ngi i cng.

CH THCH 1: Thng tin v k hoch nh gi c th c bao gm trong nhiu ti liu.

CH THCH 2: Ph lc F lit k cc hng mc b sung c th c xem xt khi chun b hoc sa i phm vi

nh gi.

9.1.3 La chn v ch nh on nh gi

9.1.3.1 T chc chng nhn phi c mt qu trinh la chn v ch nh on nh gi, bao gm c

trng on nh gi, trong c tnh n nng lc cn thit t c mc tiu nh gi. Trong

trng hp ch c mt chuyn gia nh gi th chuyn gia ny phi c nng lc thc hin cc nhim


29

v ca trng on nh gi ph hp vi cuc nh gi .

9.1.3.2 Khi quyt nh quy m v thnh phn on nh gi, phi a ra xem xt cc vn sau:

a) mc tiu, phm vi, chun mc nh gi v thi lng d kin ca cuc nh gi;

b) nh gi ny l nh gi kt hp, tch hp hay ng nh gi;

c) nng lc tng th cn thit ca on nh gi t c cc mc tiu nh gi;

d) cc yu cu chng nhn (gm mi yu cu lut nh, ch nh hay hp ng);

e) ngn ng v vn ha;

f) cc thnh vin trong on nh gi trc c nh gi h thng qun l ca khch hng hay

khng.

9.1.3.3 Kin thc v k nng cn thit ca trng on nh gi v chuyn gia nh gi c th cn

c b sung nh cc chuyn gia k thut, phin dch v bin dch, nhng ngi ny phi hot ng

di s iu hnh ca chuyn gia nh gi. Khi s dng phin dch hay bin dch, phi la chn sao

cho h khng gy nh hng qu mc ti nh gi.

CH THCH: Tiu ch la chn chuyn gia k thut c xc nh theo tng trng hp trn c s nhu cu ca

on nh gi v phm vi nh gi.

9.1.3.4 on nh gi c th c s tham gia ca chuyn gia nh gi thc tp vi iu kin ch nh

mt chuyn gia nh gi lm ngi xem xt nh gi. Ngi ny phi c nng lc thc hin mi

nhim v v chu trch nhim cui cng vi cc hot ng v pht hin nh gi ca chuyn gia nh

gi thc tp.

9.1.3.5 Trng on nh gi qua trao i vi on nh gi phi phn cng trch nhim cho tng

thnh vin ca on i vi vic nh gi cc qu trnh, chc nng, v tr, lnh vc hay hot ng c

th. Vic phn cng ny phi tnh n nhu cu v nng lc, vic s dng hiu lc v hiu qu on

nh gi cng nh vai tr v trch nhim khc nhau ca tng chuyn gia nh gi, chuyn gia nh

gi thc tp v chuyn gia k thut. C th thay i vic ch nh cng vic trong tin trnh nh gi

m bo t c cc mc tiu nh gi.

9.1.4 Xc nh thi lng nh gi

9.1.4.1 T chc chng nhn phi c cc th tc bng vn bn xc nh thi lng nh gi v

i vi mi khch hng, t chc chng nhn phi xc nh thi lng cn thit hoch nh v

hon thnh nh gi h thng qun l ca khch hng y v hiu lc. Thi lng nh gi do t

chc chng nhn quyt nh v phi lu h s vic xem xt quyt nh ny. Khi xc nh thi lng

nh gi, t chc chng nhn phi xem xt, trong s cc vn khc, cc kha cnh sau y:

a) cc yu cu ca tiu chun h thng qun l lin quan;

b) quy m v mc phc tp;


30

c) iu kin cng ngh v quy nh;

d) vic thu ngoi bt k hot ng no nm trong phm vi ca h thng qun l;

e) kt qu ca mi nh gi trc ;

f) s a im v quy nh xem xt nhiu a im;

g) cc ri ro gn vi sn phm, qu trnh hay hot ng ca t chc;

h) cc nh gi c kt hp, ng nh gi hay tch hp.

Trng hp cc chun mc c th c thit lp cho mt chng trnh chng nhn c th, v d

TCVN ISO/TS 22003 hoc ISO/IEC 27006, th phi p dng cc chun mc ny.

9.1.4.2 Khng c tnh c thi gian s dng ca nhng thnh vin trong on khng c ch

nh lm chuyn gia nh gi (ngha l chuyn gia k thut, ngi bin dch, phin dch, quan st

vin, chuyn gia nh gi thc tp) vo thi gian nh gi c lp trn.

CH THCH: Vic s dng bin dch, phin dch c th cn thm thi gian nh gi.

9.1.5 Ly mu a im

Nu s dng ly mu a im nh gi h thng qun l ca khch hng bao qut cng mt hot

ng cc v tr khc nhau, t chc chng nhn phi xy dng chng trnh ly mu m bo

nh gi ng h thng qun l. C s cho phng n ly mu phi c lp thnh vn bn cho

tng khch hng.

9.1.6 Trao i thng tin v nhim v ca on nh gi

Nhim v ca on nh gi phi c xc nh v phi thng bo cho t chc khch hng, ng

thi phi yu cu on nh gi

a) kim tra v xc nhn c cu, chnh sch, qu trnh, quy trnh, h s v ti liu lin quan ca t

chc khch hng lin quan n h thng qun l,

b) xc nh rng cc kha cnh ny tha mn tt c cc yu cu lin quan n phm vi chng nhn

d kin,

c) xc nh rng cc qu trnh v th tc c thit lp, p dng v duy tr c hiu lc, to c s

cho s tin cy vo h thng qun l ca khch hng, v

d) trao i vi khch hng, v hot ng ca on nh gi, mi s khng nht qun gia chnh

sch, mc tiu v mc ch ca khch hng (nht qun vi nhng mong i trong tiu chun

hoc ti liu quy nh khc v h thng qun l lin quan) vi cc kt qu.

9.1.7 Trao i thng tin lin quan n thnh vin on nh gi

T chc chng nhn phi cung cp tn v, khi c yu cu, to s sn c ca thng tin c bn v

tng thnh vin ca on nh gi, vi thi gian t chc khch hng phn i vic ch nh


31

chuyn gia nh gi hoc chuyn gia k thut c th bt k, cng nh t chc chng nhn c cu

li on p ng mi s phn i hp l.

9.1.8 Trao i thng tin v k hoch nh gi

K hoch nh gi phi c truyn t v ngy nh gi phi c tha thun trc vi t chc

khch hng.

9.1.9 Tin hnh nh gi ti hin trng

9.1.9.1 Khi qut

T chc chng nhn phi c mt qu trnh tin hnh nh gi ti hin trng. Qu trnh ny phi bao

gm mt cuc hp khai mc khi bt u cuc nh gi v mt cuc hp kt thc khi kt lun nh

gi.

CH THCH: Ngoi vic thm (cc) a im c th (v d nh nh my), "ti hin trng" c th bao gm vic

tip cn t xa (cc) a im in t cha thng tin lin quan n vic nh gi h thng qun l.

9.1.9.2 Tin hnh cuc hp khai mc

Phi t chc mt cuc hp khai mc chnh thc vi ban lnh o ca khch hng v khi thch hp vi

nhng ngi chu trch nhim v cc chc nng, hay qu trnh c nh gi ng thi phi lu h

s v vic tham d cuc hp ca mi ngi. Cuc hp khai mc thng phi do trng on nh

gi tin hnh vi mc ch a ra din gii ngn gn v cch thc trin khai cc hot ng nh gi,

cuc hp ny phi bao gm cc yu t di y. Mc chi tit phi nht qun vi mc hiu bit

ca khch hng vi qu trnh nh gi:

a) gii thiu v nhng ngi tham gia, gm c s lc v vai tr ca h;

b) xc nhn phm vi chng nhn;

c) xc nhn k hoch nh gi (gm loi v phm vi nh gi, cc mc tiu v chun mc), mi

thay i v cc sp xp khc lin quan vi khch hng, nh ngy v gi hp kt thc, cc cuc

hp tm thi gia on nh gi v ban lnh o ca khch hng;

d) xc nhn cc knh trao i thng tin chnh thc gia on nh gi v khch hng;

e) xc nhn rng cc ngun lc v c s vt cht cn thit sn c cho on nh gi;

f) xc nhn cc vn lin quan n bo mt;

g) xc nhn cc th tc lin quan n an ton lao ng, tnh trng khn cp v an ninh i vi on

nh gi;

h) xc nhn s sn c, vai tr v danh tnh ca hng dn vin v quan st vin;

i) phng php bo co, bao gm vic phn loi cc pht hin nh gi;


32

j) thng tin v cc iu kin c th kt thc sm cuc nh gi;

k) xc nhn rng trng on nh gi v on nh gi i din cho t chc chng nhn chu

trch nhim v cuc nh gi v phi c kim sot khi thc thi k hoch nh gi gm c cc

hot ng nh gi v cc hng nh gi;

l) xc nhn tnh trng cc pht hin ca nh gi hoc xem xt trc , khi thch hp;

m) phng php v th tc dng tin hnh nh gi trn c s ly mu;

n) xc nhn ngn ng s dng trong qu trnh nh gi;

o) xc nhn rng trong sut qu trnh nh gi khch hng s c thng tin v tin trnh nh gi

cng nh mi vn lin quan;

p) c hi khch hng a ra cu hi.

9.1.9.3 Trao i thng tin trong qu trnh nh gi

9.1.9.3.1 Trong sut qu trnh nh gi, on nh gi phi nh k nh gi tin trnh cuc nh gi

v trao i thng tin. Nu cn, trng on nh gi phi ch nh li cng vic gia cc thnh vin

trong on nh gi v nh k thng tin cho khch hng tin trin ca cuc nh gi cng nh mi

vn lin quan.

9.1.9.3.2 Khi c bng chng nh gi ch ra rng khng th t c cc mc tiu nh gi hoc

gi ra s xut hin ca mt ri ro ln trc mt (v d s an ton), trng on nh gi phi bo

co iu ny cho khch hng v cho t chc chng nhn khi c th xc nh hnh ng thch

hp. Hnh ng ny c th bao gm vic xc nhn li hay iu chnh k hoch nh gi, cc thay i

v mc tiu hay phm vi nh gi hoc kt thc cuc nh gi. Trng on nh gi phi bo co

kt qu ca hnh ng c tin hnh vi t chc chng nhn.

9.1.9.3.3 Trng on nh gi phi xem xt cng khch hng mi nhu cu thay i v phm vi

nh gi khi n tr nn r rng trong tin trnh hot ng nh gi ti ch v phi bo co iu ny

cho t chc chng nhn.

9.1.9.4 Quan st vin v hng dn vin

9.1.9.4.1 Quan st vin

Trc khi tin hnh nh gi, t chc chng nhn v khch hng phi thng nht vi nhau v s c

mt v l gii v cc quan st vin trong hot ng nh gi. on nh gi phi m bo rng cc

quan st vin khng gy nh hng hoc can thip vo qu trnh nh gi hay kt qu nh gi.

CH THCH: Quan st vin c th l thnh vin ca t chc khch hng, t vn, nhn s ca t chc cng

nhn nh gi chng kin, c quan qun l hoc c nhn hp l khc.

9.1.9.4.2 Hng dn vin


33

Mi chuyn gia nh gi phi c mt ngi hng dn i cng, tr khi c tha thun khc gia

trng on nh gi v khch hng. (Cc) hng dn vin c ch nh cho on nh gi gip

to thun li cho cuc nh gi. on nh gi phi m bo rng cc hng dn vin ny khng

gy nh hng hoc can thip vo qu trnh nh gi hay kt qu nh gi.

CH THCH: Trch nhim ca hng dn vin c th bao gm:

a) lp a ch lin h v thi gian phng vn;

b) b tr cc chuyn thm cc b phn c th ca c s hoc t chc;

c) m bo cc nguyn tc lin quan n cc th tc v an ton v an ninh ca a im u c c cc

thnh vin ca on nh gi hiu v tun th;

d) chng kin cuc nh gi vi t cch khch hng;

e) lm r hoc cung cp thng tin theo yu cu ca chuyn gia nh gi.

9.1.9.5 Thu thp v xc minh thng tin

9.1.9.5.1 Trong sut cuc nh gi cc thng tin lin quan n mc tiu, phm vi v chun mc

nh gi (gm c thng tin lin quan n nhng phn chung gia cc chc nng, hot ng v qu

trnh) phi c thu thp bng phng php ly mu thch hp v c xc minh tr thnh bng

chng nh gi.

9.1.9.5.2 Phng php thu thp thng tin phi bao gm, nhng khng gii hn :

a) phng vn;

b) quan st cc qu trnh v hot ng;

c) xem xt h thng ti liu v h s.

9.1.9.6 Xc nh v lp h s cc pht hin nh gi

9.1.9.6.1 Phi lp h s v bo co v cc pht hin nh gi nu tm tt s ph hp v chi tit s

khng ph hp, cng bng chng nh gi h tr c th ra quyt nh chng nhn mt cch ng

n hoc duy tr chng nhn.

9.1.9.6.2 C th xc nh v ghi nhn cc c hi ci tin, tr khi cc yu cu ca chng trnh

chng nhn h thng qun l khng cho php. Tuy nhin, cc pht hin nh gi l s khng ph

hp theo 9.1.15 b) v c) khng c c ghi nhn thnh cc c hi ci tin.

9.1.9.6.3 Phi lp h s pht hin v s khng ph hp vi yu cu c th ca chun mc nh

gi, gm tuyn b r rng v s khng ph hp v nhn bit chi tit bng chng khch quan l c s

ca s khng ph hp. Phi trao i vi khch hng v s khng ph hp m bo rng bng

chng l chnh xc v s khng ph hp c hiu r. Tuy nhin, chuyn gia nh gi khng c

gi v nguyn nhn hoc gii php cho s khng ph hp.


34

CH THCH: Nhng s khng ph hp theo cc yu cu ca 9.1.15 b) c th c phn loi l s khng ph

hp nng, trong khi nhng s khng ph hp khc [9.1.15 c)] c th c phn loi l s khng ph hp nh.

9.1.9.6.4 Trng on nh gi phi c gng gii quyt mi kin bt ng gia on nh gi v

khch hng lin quan n bng chng hoc pht hin nh gi v phi lp h s cc im cha gii

quyt c.

9.1.9.7 Chun b cc kt lun nh gi

Trc cuc hp kt thc, on nh gi phi:

a) xem xt cc pht hin nh gi v mi thng tin thch hp khc thu thp c trong qu trnh

nh gi theo cc mc tiu nh gi;

b) thng nht v cc kt lun nh gi, c tnh n s khng chc chn vn c trong qu trnh nh

gi;

c) xc nh mi hnh ng cn thit tip theo;

d) xc nhn s ph hp ca chng trnh nh gi hoc nhn bit mi thay i cn thit (v d v

phm vi, thi gian nh gi, tn sut gim st, nng lc).

9.1.9.8 Tin hnh cuc hp kt thc

9.1.9.8.1 Phi t chc mt cuc hp kt thc chnh thc vi ban lnh o ca khch hng v nhng

ngi chu trch nhim i vi chc nng hay qu trnh c nh gi, khi thch hp, phi lp h s

v s tham gia hp ca mi ngi. Cuc hp kt thc thng phi do trng on nh gi tin

hnh vi mc ch trnh by cc kt lun nh gi, gm c khuyn ngh lin quan n chng nhn.

Phi trnh by mi s khng ph hp sao cho chng c thu hiu v phi thng nht v khun kh

thi gian tr li.

CH THCH: Thu hiu khng nht thit c ngha l s khng ph hp c khch hng chp nhn.

9.1.9.8.2 Cuc hp kt thc cng phi gm cc yu t di y. Mc chi tit phi tng ng vi

s am hiu ca khch hng v qu trnh nh gi:

a) ch dn cho khch hng rng bng chng nh gi thu thp c da trn mt mu thng tin, do

s c yu t khng chc chn;

b) phng php v khun kh thi gian cho vic bo co, gm c phn loi cc pht hin nh gi;

c) qu trnh x l s khng ph hp ca t chc chng nhn, gm c mi h qu lin quan n tnh

trng chng nhn ca khch hng;

d) khun kh thi gian khch hng a ra mt k hoch khc phc v hnh ng khc phc cho

mi s khng ph hp c xc nh trong qu trnh nh gi;

e) hot ng sau nh gi ca t chc chng nhn;


35

f) thng tin v qu trnh x l khiu ni v yu cu xem xt li.

9.1.9.8.3 Phi cho khch hng c hi t cu hi. Phi trao i v gii quyt mi kin bt ng

lin quan n pht hin hay kt lun nh gi gia on nh gi v khch hng khi c th. Phi ghi

li mi kin bt ng cha c gii quyt v chuyn n t chc chng nhn.

9.1.10 Bo co nh gi

9.1.10.1 T chc chng nhn phi a ra bo co bng vn bn cho tng ln nh gi. on nh

gi c th nhn bit c hi ci tin nhng khng c khuyn ngh cc gii php c th. Quyn s

hu bo co nh gi phi thuc v t chc chng nhn.

9.1.10.2 Trng on nh gi phi m bo rng bo co nh gi c chun b v phi chu

trch nhim v ni dung ca bo co. Bo co nh gi phi cung cp s ghi nhn chnh xc, ngn

gn v r rng v cuc nh gi gip a ra quyt nh chng nhn ng n v phi gm hoc vin

dn cc iu sau:

a) vic nhn bit t chc chng nhn;

b) tn v a ch ca khch hng v i din lnh o ca khch hng;

c) loi hnh nh gi (v d ln u, gim st hay nh gi chng nhn li);

d) chun mc nh gi;

e) mc tiu nh gi;

f) phm vi nh gi, c bit l nhn bit v cc n v t chc hay chc nng hoc cc qu trnh

c nh gi v thi gian nh gi;

g) nhn bit trng on nh gi, thnh vin on nh gi v nhng ngi cng i;

h) thi gian v a im tin hnh cc hot ng nh gi (ti hin trng hoc khng ti hin

trng);

i) cc pht hin, bng chng v kt lun nh gi theo cc yu cu ca loi hnh nh gi;

j) mi vn cha c gii quyt nu c.

9.1.11 Phn tch nguyn nhn ca s khng ph hp

T chc chng nhn phi yu cu khch hng phn tch nguyn nhn v m t vic khc phc v

hnh ng khc phc c th c thc hin, hoc c hoch nh thc hin, loi tr s

khng ph hp c pht hin trong mt khong thi gian xc nh.

9.1.12 Hiu lc ca s khc phc v hnh ng khc phc

T chc chng nhn phi xem xt vic khc phc, cc nguyn nhn c nhn bit v hnh ng

khc phc do khch hng xut xc nh xem c chp nhn c hay khng. T chc chng


36

nhn phi kim tra xc nhn hiu lc ca mi s khc phc v hnh ng khc phc c thc hin.

Phi lp h s bng chng c c gip gii quyt s khng ph hp. Phi thng bo cho khch

hng kt qu xem xt v kim tra xc nhn.

CH THCH: Vic kim tra xc nhn hiu lc ca s khc phc v hnh ng khc phc c th c tin hnh

trn c s xem xt ti liu do khch hng cung cp, hoc khi cn, thng qua kim tra xc nhn ti hin trng.

9.1.13 nh gi b sung

Phi thng bo cho t chc c nh gi nu cn nh gi b sung ton b, nh gi b sung c

gii hn hoc bng chng dng vn bn (cn c xc nhn trong qu trnh nh gi gim st sau

ny) kim tra xc nhn hiu lc ca vic khc phc v hnh ng khc phc.

9.1.14 Quyt nh chng nhn

T chc chng nhn phi m bo rng cc c nhn hoc ban a ra quyt nh chng nhn hoc

chng nhn li khng phi l nhng ngi tin hnh nh gi.

9.1.15 Hnh ng trc khi ra quyt nh

Trc khi a ra quyt nh, t chc chng nhn phi xc nhn rng

a) thng tin do on nh gi cung cp l i vi yu cu chng nhn v phm vi chng nhn;

b) t chc xem xt, chp nhn v kim tra xc nhn hiu lc ca vic khc phc v hnh ng

khc phc i vi tt c nhng s khng ph hp th hin

1) khng tha mn mt hoc nhiu yu cu ca tiu chun v h thng qun l, hoc

2) tnh hung gy nghi ng ng k v kh nng t c u ra d kin ca h thng qun l

ca khch hng;

c) t chc xem xt v chp nhn vic khc phc v hnh ng khc phc c hoch nh cho

mi s khng ph hp khc ca khch hng.

9.2 nh gi v chng nhn ln u

9.2.1 ng k

T chc chng nhn phi yu cu i din c thm quyn ca t chc ng k cung cp thng tin

cn thit c th thit lp:

a) phm vi chng nhn mong mun;

b) c trng chung ca t chc ng k, bao gm tn, (cc) a ch ca (cc) a im, cc kha

cnh quan trng ca qu trnh v hot ng cng nh mi ngha v php l lin quan;

c) thng tin chung lin quan n lnh vc ng k chng nhn ca t chc, v d nh cc hot ng

ca t chc, ngun nhn lc v k thut, chc nng, mi quan h trong tp on ln hn, nu


37

c;

d) thng tin lin quan n cc qu trnh s dng ngun bn ngoi ca t chc c th nh hng

n s ph hp vi cc yu cu;

e) cc tiu chun hoc cc yu cu khc m t chc ng k mong mun chng nhn;

f) thng tin v vic s dng t vn lin quan ti h thng qun l.

9.2.2 Xem xt ng k

9.2.2.1 Trc khi bt u nh gi, t chc chng nhn phi tin hnh xem xt vic ng k v

cc thng tin b sung v chng nhn m bo rng

a) thng tin v t chc ng k v h thng qun l ca t chc tin hnh nh gi;

b) yu cu v chng nhn c xc nh r rng, bng vn bn v c cung cp cho t chc

ng k;

c) mi khc bit bit v cch hiu gia t chc chng nhn v t chc ng k c gii quyt;

d) t chc chng nhn c nng lc v kh nng thc hin hot ng chng nhn;

e) phm vi chng nhn mong mun, tnh n (cc) a im hot ng ca t chc ng k, thi

gian cn thit hon thnh cc cuc nh gi v cc im bt k khc nh hng n hot

ng chng nhn (ngn ng, iu kin an ton, nguy c nh hng n tnh khch quan, v.v);

f) duy tr h s l gii cho quyt nh thc hin vic nh gi.

9.2.2.2 Sau khi xem xt ng k, t chc chng nhn phi chp nhn hoc t chi ng k chng

nhn. Nu xem xt ng k ca t chc chng nhn dn n vic t chi ng k chng nhn, th

phi lp thnh vn bn v lm r cho khch hng l do t chi.

CH THCH: T chc chng nhn cn thn trng khng hnh ng mu thun vi cc nguyn tc nu trong

iu 4 trong trng hp t chi ng k chng nhn.

9.2.2.3 Da vo xem xt ny, t chc chng nhn phi xc nh cc nng lc cn thit trong on

nh gi ca mnh v nng lc cn thit quyt nh chng nhn.

9.2.2.4 Phi ch nh on nh gi bao gm cc chuyn gia nh gi (v chuyn gia k thut, nu

cn) l nhng ngi c nng lc c t chc chng nhn xc nh nh nu 9.2.2.3 chng

nhn cho t chc ng k. Phi tin hnh la chn on ny theo cc chc danh v nng lc ca

chuyn gia nh gi v chuyn gia k thut theo 7.2.5 v c th bao gm vic s dng c ngun

nhn lc ni b v bn ngoi.

9.2.2.5 (Cc) c nhn s a ra quyt nh chng nhn phi c ch nh m bo sn c nng

lc ph hp (xem 7.2.9).


38

9.2.3 nh gi chng nhn ln u

Vic nh gi chng nhn ln u h thng qun l phi c tin hnh theo hai giai on: giai on

1 v giai on 2.

9.2.3.1 nh gi giai on 1

9.2.3.1.1 Phi thc hin nh gi giai on 1

a) nh gi ti liu v h thng qun l ca khch hng;

b) nh gi a im ca khch hng v cc iu kin c th ng thi tin hnh trao i vi cn b

ca khch hng xc nh s sn sng cho nh gi giai on 2;

c) xem xt tnh trng v s hiu bit ca khch hng v cc yu cu ca tiu chun, c bit l

nhn bit vic thc hin chnh hoc cc kha cnh, qu trnh, mc tiu v hot ng quan trng

ca h thng qun l;

d) thu thp cc thng tin cn thit lin quan n phm vi ca h thng qun l, cc qu trnh v

(cc) a im ca khch hng, cng nh cc kha cnh v lut nh v ch nh lin quan v s

tun th (v d kha cnh cht lng, mi trng, kha cnh php l ca hot ng ca khch

hng, cc ri ro km theo, v.v);

e) xem xt vic phn b ngun lc nh gi giai on 2 v tha thun vi khch hng v chi tit

nh gi giai on 2;

f) a ra trng tm hoch nh nh gi giai on 2 bng vic thu nhn hiu bit y v h

thng qun l ca khch hng v cc hot ng tc nghip ti hin trng trong bi cnh cc

kha cnh quan trng c th c;

g) nh gi xem cc cuc nh gi ni b v xem xt ca lnh o c c hoch nh v thc

hin hay khng v mc p dng ca h thng qun l c chng t rng khch hng sn sng

nh gi giai on 2.

i vi hu ht cc h thng qun l, khuyn co rng t nht c th tin hnh mt phn ca nh gi

giai on 1 ti c s ca khch hng t c mc tiu nu trn.

9.2.3.1.2 Phi lp thnh vn bn v thng bo cho khch hng cc pht hin nh gi giai on

1, bao gm vic nhn bit mi khu vc cn quan tm c th phn loi l khng ph hp trong qu

trnh nh gi giai on 2.

9.2.3.1.3 Khi xc nh khong thi gian gia nh gi giai on 1 v nh gi giai on 2, phi cn

nhc n nhu cu ca khch hng gii quyt cc khu vc cn quan tm c nhn bit trong qu

trnh nh gi giai on 1. T chc chng nhn cng c th cn sa i vic sp xp cho giai on

2.


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9.2.3.2 nh gi giai on 2

Mc ch ca nh gi giai on 2 l nh gi vic p dng, bao gm c tnh hiu lc, ca h thng

qun l ca khch hng. nh gi giai on 2 phi thc hin ti (cc) a im ca khch hng. nh

gi t nht phi bao gm:

a) thng tin v bng chng v s ph hp vi cc yu cu ca tiu chun hoc ti liu quy nh

khc v h thng qun l thch hp;

b) theo di, o lng, bo co v xem xt vic thc hin theo cc mc tiu v ch tiu thc hin

chnh (ph hp vi mong i trong cc tiu chun hoc ti liu quy nh thch hp khc v h

thng qun l);

c) h thng qun l ca khch hng v vic thc hin v mt tun th lut php;

d) kim sot hot ng cc qu trnh ca khch hng;

e) nh gi ni b v xem xt ca lnh o;

f) trch nhim ca lnh o i vi cc chnh sch ca khch hng;

g) kt ni gia cc yu cu quy nh, chnh sch, mc tiu v ch tiu thc hin (ph hp vi mong

i trong cc tiu chun hoc ti liu quy nh thch hp khc v h thng qun l), mi yu cu

php l thch hp, trch nhim, nng lc nhn s, hot ng, th tc, d liu v vic thc hin v

cc pht hin v kt lun nh gi ni b.

9.2.4 Kt lun nh gi chng nhn ln u

on nh gi phi phn tch tt c cc thng tin v bng chng nh gi thu c trong qu trnh

nh gi giai on 1 v giai on 2 xem xt cc pht hin nh gi v thng nht v cc kt lun

nh gi.

9.2.5 Thng tin cp chng nhn ln u

9.2.5.1 Thng tin on nh gi cung cp cho t chc chng nhn quyt nh chng nhn ti

thiu phi bao gm

a) bo co nh gi,

b) gii thch v s khng ph hp v, khi thch hp, vic khc phc v hnh ng khc phc do

khch hng thc hin,

c) xc nhn thng tin cung cp cho t chc chng nhn c dng xem xt ng k (xem

9.2.2), v

d) khuyn co vic c cp chng nhn hay khng, cng vi cc iu kin hoc cc nhn xt.

9.2.5.2 T chc chng nhn phi ra quyt nh chng nhn trn c s xem xt cc pht hin v


40

kt lun nh gi cng nh mi thng tin lin quan khc (v d thng tin cng khai, kin ca khch

hng v bo co nh gi).

9.3 Hot ng gim st

9.3.1 Khi qut

9.3.1.1 T chc chng nhn phi trin khai hot ng gim st sao cho cc khu vc v chc nng

i din nm trong phm vi ca h thng qun l c theo di thng xuyn v c tnh n cc thay

i ca khch hng v h thng qun l c chng nhn.

9.3.1.2 Hot ng gim st phi bao gm nh gi ti hin trng nh gi s tha mn cc yu

cu quy nh ca h thng qun l ca khch hng c chng nhn so vi tiu chun chng nhn.

Cc hot ng gim st khc c th bao gm

a) yu cu ca t chc chng nhn i vi khch hng c chng nhn v cc kha cnh chng

nhn,

b) xem xt mi tuyn b ca khch hng v cc hot ng ca mnh (v d ti liu qung co, trang

tin in t),

c) yu cu khch hng cung cp ti liu v h s (bn giy hoc phng tin in t), v

d) cc bin php khc theo di vic thc hin ca khch hng chng nhn.

9.3.2 nh gi gim st

9.3.2.1 nh gi gim st l nh gi ti hin trng nhng khng nht thit l nh gi ton b h

thng v phi c hoch nh cng vi cc hot ng gim st khc sao cho t chc chng nhn

c th duy tr s tin cy rng h thng qun l c chng nhn duy tr tha mn cc yu cu gia

cc ln nh gi chng nhn li. Chng trnh nh gi gim st t nht phi bao gm

a) nh gi ni b v xem xt ca lnh o,

b) xem xt cc hnh ng i vi s khng ph hp c xc nh trong ln nh gi trc ,

c) x l khiu ni,

d) hiu lc ca h thng qun l trong vic t c cc mc tiu ca khch hng chng nhn,

e) s tin trin ca cc hot ng c hoch nh ci tin lin tc,

f) kim sot lin tc hot ng,

g) xem xt cc thay i bt k, v

h) s dng du v/hoc mi vin dn khc ti chng nhn.

9.3.2.2 Phi tin hnh nh gi gim st t nht mi nm mt ln. Thi gian cuc nh gi gim st


41

u tin sau chng nhn ln u khng c qu 12 thng tnh t ngy cui cng ca nh gi giai

on 2.

9.3.3 Duy tr chng nhn

T chc chng nhn phi duy tr chng nhn trn c s chng t rng khch hng lin tc tha mn

cc yu cu ca tiu chun v h thng qun l. T chc c th duy tr chng nhn cho khch hng

da trn kt lun chc chn ca trng on nh gi m khng cn thm mt xem xt c lp no,

vi iu kin l

a) i vi mi s khng ph hp hoc tnh hung khc c th dn n nh ch hoc hy b chng

nhn, t chc chng nhn c h thng yu cu trng on nh gi phi bo co cho t chc

chng nhn nhu cu t chc cuc xem xt bi nhn s c nng lc thch hp (xem 7.2.9),

khng phi l nhng ngi tin hnh nh gi, xc nh xem c th duy tr chng nhn hay

khng, v

b) nhn s c nng lc ca t chc chng nhn theo di cc hot ng gim st ca t chc, bao

gm theo di vic lp bo co ca cc chuyn gia nh gi, xc nhn hot ng chng nhn

ang c vn hnh mt cch hiu lc.

9.4 Chng nhn li

9.4.1 Hoch nh nh gi chng nhn li

9.4.1.1 Vic nh gi chng nhn li phi c hoch nh v tin hnh nhm nh gi s p ng

lin tc tt c cc yu cu ca tiu chun hoc ti liu quy nh khc c lin quan v h thng qun

l. Mc ch ca vic nh gi chng nhn li l xc nhn s ph hp lin tc v tnh hiu lc ca

ton b h thng qun l cng nh tnh thch hp lin tc v kh nng p dng i vi phm vi chng

nhn.

9.4.1.2 nh gi chng nhn li phi xem xt vic thc hin ca h thng qun l trong ton b thi

gian chng nhn v bao gm c vic xem xt cc bo co nh gi gim st trc .

9.4.1.3 Hot ng nh gi chng nhn li c th cn c nh gi giai on 1 trong cc trng hp

c thay i ng k i vi h thng qun l, khch hng hoc bi cnh vn hnh ca h thng qun

l (v d nh nhng thay i v lut).

9.4.1.4 Trong trng hp c nhiu a im hoc t chc chng nhn a ra chng nhn theo

nhiu tiu chun v h thng qun l, hoch nh nh gi phi m bo bao trm tha ng vic

nh gi ti hin trng a ra s tin cy ca chng nhn.

9.4.2 nh gi chng nhn li


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9.4.2.1 nh gi chng nhn li phi bao gm nh gi ti hin trng cp ti cc yu t sau:

a) tnh hiu lc ca h thng qun l trong tng th khi c cc thay i bn trong v bn ngoi cng

nh tnh thch hp lin tc v kh nng p dng i vi phm vi chng nhn;

b) th hin r cam kt duy tr hiu lc v ci tin ca h thng qun l nhm nng cao vic thc

hin tng th;

c) vic vn hnh h thng qun l c chng nhn c gp phn t c chnh sch v mc tiu

ca t chc hay khng.

9.4.2.2 Trong qu trnh nh gi chng nhn li, khi nhn bit c s khng ph hp hoc thiu

bng chng v s ph hp, t chc chng nhn phi xc nh gii hn thi gian thc hin khc

phc v hnh ng khc phc trc khi ht hn chng nhn.

9.4.3 Thng tin cp chng nhn li

T chc chng nhn phi ra quyt nh v vic cp mi chng nhn da trn cc kt qu nh gi

chng nhn li, cng nh cc kt qu xem xt h thng trong ton b thi gian chng nhn v

nhng khiu ni nhn c t ngi s dng chng nhn.

9.5 nh gi c bit

9.5.1 M rng phm vi

tr li mt ng k m rng phm vi ca mt chng nhn c cp, t chc chng nhn phi

thc hin vic xem xt ng k v xc nh mi hot ng nh gi cn thit quyt nh c th cp

m rng chng nhn hay khng. C th tin hnh vic ny kt hp vi mt cuc nh gi gim st.

9.5.2 nh gi t xut

T chc chng nhn c th cn tin hnh nh gi t xut khch hng c chng nhn iu

tra v cc khiu ni (xem 9.8), hay p ng vi cc thay i (xem 8.6.3), hoc gim st khch hng b

nh ch (xem 9.6). Trong nhng trng hp ny

a) t chc chng nhn phi m t v lm r trc cho khch hng c chng nhn (v d trong ti

liu nh m t 8.6.1) cc iu kin tin hnh cc cuc n thm t xut, v

b) t chc chng nhn phi ch hn trong vic ch nh on nh gi v khch hng khng c c

hi phn i thnh vin on nh gi.

9.6 nh ch, hy b hoc thu hp phm vi chng nhn

9.6.1 T chc chng nhn phi c chnh sch v (cc) th tc bng vn bn i vi vic nh ch,

hy b hoc thu hp phm vi chng nhn, v phi quy nh cc hnh ng tip theo ca t chc

chng nhn.


43

9.6.2 T chc chng nhn phi nh ch chng nhn trong trng hp, v d

h thng qun l c chng nhn ca khch hng khng tha mn mt cch lin tc hoc

nghim trng cc yu cu chng nhn, bao gm c cc yu cu v hiu lc ca h thng qun

l,

khch hng c chng nhn khng tun th vic tin hnh nh gi gim st hoc nh gi

chng nhn li theo tn sut yu cu, hoc

khch hng c chng nhn t nguyn yu cu nh ch.

9.6.3 Trong thi gian nh ch, vic chng nhn h thng qun l ca khch hng tm thi khng

cn hiu lc. T chc chng nhn phi c tha thun bt buc vi khch hng m bo rng

trong trng hp nh ch khch hng khng qung co g v chng nhn ca mnh. T chc chng

nhn phi cng khai tnh trng nh ch chng nhn (xem 8.1.3) v phi thc hin mi bin php thch

hp khc.

9.6.4 Khi khng gii quyt c nhng vn dn n nh ch trong thi gian m t chc chng

nhn thit lp, th phi hy b hoc thu hp phm vi chng nhn.

CH THCH: Trong hu ht cc trng hp, vic nh ch khng c vt qu 6 thng.

9.6.5 T chc chng nhn phi thu hp phm vi chng nhn ca khch hng loi tr cc phn

khng p ng yu cu, khi khch hng khng tha mn mt cch lin tc hoc nghim trng cc

yu cu chng nhn i vi cc phn thuc phm vi chng nhn ny. Vic thu hp ny phi ph hp

vi cc yu cu ca tiu chun dng chng nhn.

9.6.6 T chc chng nhn phi c tha thun bt buc vi khch hng c chng nhn lin quan

n cc iu kin hy b [xem 8.4.3.d)] m bo rng sau thng bo hy b chng nhn, khch

hng ngng s dng tt c cc qung co c cp n mi tnh trng chng nhn.

9.6.7 Theo yu cu ca bn bt k, t chc chng nhn phi tuyn b chnh xc v tnh trng

chng nhn h thng qun l ca khch hng l ang b nh ch, hy b hoc thu hp phm vi.

9.7 Yu cu xem xt li

9.7.1 T chc chng nhn phi c qu trnh bng vn bn v vic tip nhn, nh gi v ra quyt

nh i vi yu cu xem xt li.

9.7.2 Phi to kh nng tip cn cng khai bn m t v qu trnh x l yu cu xem xt li.

9.7.3 T chc chng nhn phi chu trch nhim v tt c cc quyt nh mi cp ca qu trnh x

l yu cu xem xt li. T chc chng nhn phi m bo rng nhng ngi tham gia vo qu trnh

x l yu cu xem xt li khng phi l nhng ngi tin hnh nh gi v a ra quyt nh chng

nhn.


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9.7.4 Vic trnh, iu tra v quyt nh v yu cu xem xt li khng c dn n bt k s

phn bit i x no i vi bn yu cu xem xt li.

9.7.5 Qu trnh x l yu cu xem xt li t nht phi bao gm cc yu t v phng php sau:

a) phc tho qu trnh tip nhn, xc nh hiu lc v iu tra yu cu xem xt li, cng nh quyt

nh cc hnh ng cn thc hin p ng yu cu xem xt li, c tnh n kt qu ca cc

yu cu xem xt li tng t trc ;

b) theo di v lp h s cc yu cu xem xt li, gm c cc hnh ng c thc hin gii

quyt yu cu ny;

c) m bo thc hin mi s khc phc v hnh ng khc phc thch hp.

9.7.6 T chc chng nhn phi bo l nhn c yu cu xem xt li v phi cung cp bo co

tin v kt qu cho bn yu cu xem xt li.

9.7.7 Quyt nh c truyn t ti bn yu cu xem xt li phi do (nhng) ngi trc khng

lin quan n vn yu cu xem xt li a ra hoc xem xt v ph chun.

9.7.8 T chc chng nhn phi thng bo chnh thc cho bn yu cu xem xt li vic kt thc qu

trnh x l yu cu xem xt li.

9.8 Khiu ni

9.8.1 Phi to kh nng tip cn cng khai bn m t v qu trnh x l khiu ni.

9.8.2 Khi nhn c khiu ni, t chc chng nhn phi xc nhn xem khiu ni c lin quan

n hot ng chng nhn m mnh chu trch nhim hay khng v nu c th phi x l khiu ni.

Nu khiu ni lin quan n khch hng c chng nhn, th vic kim tra khiu ni phi xt n

hiu lc ca h thng qun l c chng nhn.

9.8.3 Mi khiu ni v khch hng c chng nhn cng u phi c t chc chng nhn

chuyn cho khch hng c chng nhn c lin quan thi im thch hp.

9.8.4 T chc chng nhn phi c qu trnh bng vn bn i vi vic nhn, nh gi v ra quyt

nh v cc khiu ni. Qu trnh ny phi tun th cc yu cu v bo mt, v n lin quan n ngi

khiu ni v vn khiu ni.

9.8.5 Qu trnh x l khiu ni t nht phi bao gm cc yu t v phng php sau:

a) phc tho qu trnh tip nhn, xc nh hiu lc v iu tra khiu ni, cng nh quyt nh cc

hnh ng cn thc hin p ng khiu ni;

b) theo di v lp h s cc khiu ni, gm c cc hnh ng c thc hin gii quyt khiu

ni;

c) m bo thc hin mi s khc phc v hnh ng khc phc thch hp.


45

CH THCH: TCVN ISO 10002 a ra hng dn v vic x l khiu ni.

9.8.6 T chc chng nhn tip nhn khiu ni phi c trch nhim thu thp v thm tra tt c cc

thng tin cn thit xc nh hiu lc khiu ni.

9.8.7 Bt c khi no c th, t chc chng nhn phi thng bo l nhn c khiu ni v phi

cung cp cho bn khiu ni bo co tin v kt qu.

9.8.8 Quyt nh c truyn t cho bn khiu ni phi do (nhng) ngi trc khng lin

quan n vn khiu ni a ra hoc xem xt v ph chun.

9.8.9 Bt c khi no c th, t chc chng nhn phi thng bo chnh thc cho bn khiu ni vic

kt thc qu trnh x l khiu ni.

9.8.10 T chc chng nhn phi xc nh cng vi khch hng v bn khiu ni, xem c cng khai

vn khiu ni v vic gii quyt khiu ni hay khng v nu c th mc no.

9.9 H s ngi ng k chng nhn v khch hng

9.9.1 T chc chng nhn phi duy tr h s v cc hot ng nh gi v chng nhn khc ca tt

c cc khch hng, bao gm c cc t chc np ng k cng nh cc t chc c nh gi,

chng nhn hoc b nh ch hoc hy b chng nhn.

9.9.2 H s v khch hng c chng nhn phi bao gm:

a) thng tin ng k v cc bo co nh gi ln u, nh gi gim st v nh gi chng nhn

li;

b) tha thun chng nhn;

c) thuyt minh v phng php dng ly mu;

d) thuyt minh v vic xc nh thi gian cho chuyn gia nh gi (xem 9.1.4);

e) kim tra xc nhn vic khc phc v hnh ng khc phc;

f) h s cc khiu ni v yu cu xem xt li, cng nh mi s khc phc hoc hnh ng khc

phc tip theo;

g) cc xem xt v quyt nh ca ban, nu thch hp;

h) h thng ti liu v cc quyt nh chng nhn;

i) cc ti liu chng nhn, gm c phm vi chng nhn lin quan n sn phm, qu trnh hoc

dch v, khi thch hp;

j) cc h s lin quan cn thit thit lp s tin cy ca chng nhn, nh bng chng v nng

lc ca chuyn gia nh gi v chuyn gia k thut.

CH THCH: Phng php ly mu bao gm vic ly mu s dng nh gi h thng qun l c th v/hoc


46

chn a im trong trng hp nh gi nhiu a im.

9.9.3 T chc chng nhn phi bo v h s v cc bn ng k v khch hng bo m bo

mt thng tin. H s phi c vn chuyn, chuyn hoc truyn sao cho m bo duy tr tnh bo

mt.

9.9.4 T chc chng nhn phi c chnh sch v th tc dng vn bn v vic lu gi h s. H s

phi c lu trong khong thi gian chu k hin ti cng vi mt chu k chng nhn y .

CH THCH: Trong mt s vn bn php l, lut quy nh rng cn duy tr h s trong khong thi gian di hn.

10 Yu cu v h thng qun l i vi t chc chng nhn

10.1 Cc la chn

T chc chng nhn phi thit lp v duy tr h thng qun l c kh nng h tr v chng t vic

t c nht qun cc yu cu ca tiu chun ny. Ngoi vic p ng cc yu cu t iu 5 n

iu 9, t chc chng nhn phi p dng h thng qun l ph hp vi

a) cc yu cu v h thng qun l theo TCVN ISO 9001 (xem 10.2), hoc

b) cc yu cu chung v h thng qun l (xem 10.3).

10.2 La chn 1: Yu cu v h thng qun l theo TCVN ISO 9001

10.2.1 Khi qut

T chc chng nhn phi thit lp v duy tr h thng qun l, ph hp vi cc yu cu ca TCVN

ISO 9001, c kh nng h tr v chng t vic t c nht qun cc yu cu ca tiu chun ny

c m rng thm 10.2.2 n 10.2.4.

10.2.2 Phm vi

p dng cc yu cu ca TCVN ISO 9001, phm vi ca h thng qun l phi bao gm vic thit

k v xy dng cc yu cu i vi cc dch v chng nhn ca t chc.

10.2.3 Hng vo khch hng

p dng cc yu cu ca TCVN ISO 9001, khi xy dng h thng qun l ca mnh, t chc

chng nhn phi xem xt tnh tin cy ca chng nhn v phi ch ti nhng nhu cu ca tt c cc

bn (nh nu 4.1.2) tin tng vo dch v nh gi v chng nhn ca t chc, ch khng ch l

khch hng.

10.2.4 Xem xt ca lnh o

p dng cc yu cu ca TCVN ISO 9001, t chc chng nhn phi a vo u vo xem xt

ca lnh o thng tin v cc yu cu xem xt li v khiu ni lin quan ca ngi s dng hot


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ng ng chng nhn.

10.3 La chn 2: Yu cu chung v h thng qun l

10.3.1 Khi qut

T chc chng nhn phi thit lp, lp thnh vn bn, p dng v duy tr h thng qun l c kh

nng h tr v chng t vic t c nht qun cc yu cu ca tiu chun ny.

Lnh o cao nht ca t chc chng nhn phi thit lp v lp thnh vn bn cc chnh sch v

mc tiu cho cc hot ng ca t chc. Lnh o cao nht phi a ra bng chng v s cam kt

xy dng v p dng h thng qun l theo cc yu cu ca tiu chun ny. Lnh o cao nht phi

m bo cc chnh sch c thu hiu, p dng v duy tr tt c cc cp t chc ca t chc

chng nhn.

Lnh o cao nht ca t chc chng nhn phi b nhim mt thnh vin trong ban lnh o, ngoi

cc trch nhim khc,

tcvn 17021-2011

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