Circular 34/2012/tt-Nhnn: Regulations On The Development And Maintenance Of Banking Software In The State Bank Of Vietnam

Original Language Title: Thông tư 34/2012/TT-NHNN: Quy định về phát triển và bảo trì phần mềm nghiệp vụ ngân hàng của Ngân hàng Nhà nước Việt Nam

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The CIRCULAR regulates the development and maintenance of banking software in the State Bank of Vietnam _ _ _ _ _ _ _ _ _ _ _ _ the electronic transaction Law base of 51/2005/QH11 on 29/11/2005;
Pursuant to the law of information technology no. 67/2006/QH11 on 29/6/2006;
Pursuant to the law the State Bank of Vietnam the number 46/2010/QH12 on 16/6/2010;
Pursuant to Decree No. 64/2007/ND-CP on 10/4/2007 of the Government on the application of information technology in the activities of State bodies;
Pursuant to Decree No. 96/2008/ND-CP dated 26/8/2008 of the Government functions, tasks, powers and structure of the State Bank of Vietnam;
At the suggestion of Director of Department of information technology;
The Governor of the State Bank of Vietnam issued a circular regulating the development and maintenance of banking software in the State Bank of Vietnam.
Chapter I GENERAL PROVISIONS article 1. Scope 1. This circular stipulates the responsibilities, powers of the units of the State Bank of Vietnam, the third party in the development and maintenance of banking software in the State Bank of Vietnam (hereinafter referred to as the Bank).
2. The banking software for the purpose of research, experiment of the State Bank is not in the scope of this circular.
Article 2. Object applied to this circular is applicable to the units of the State Bank, the third parties involved in development and maintenance of software for the banking industry State Bank.
Article 3. Explanation of terms In this circular the terms below are interpreted as follows: 1. the internal software is software development, upgrade, edit under the Organization's own requirements in order to meet the Organization's specific requirements and is used in the internal organization.
2. Commercial software is software being developed, are registered trademarks of mass cloning and to provide to the market.
3. banking software (hereinafter referred to as the business software) is the internal software or commercial software applications in the professional activity of the State Bank to computerization of part or the whole of the business functioning.
4. Software development is the construction of new or modified, addition of functionality of the software business.
5. software maintenance is the work to be done in order to maintain the stable operation of the business software as functionality was designed.
6. the units specialise in information technology of the State Bank's Department of information technology.
7. The unit is a business unit of presiding in the State Bank was tasked with building the business processes, implementation and managed services apply in the software business.
8. Unit chaired the information technology Bureau's information technology unit in the State Bank was the Governor of the State Bank tasked to organize equipment, development management, software maintenance services according to each specific business software.
9. software development unit is a unit chaired the information technology or third parties directly made to the development of professional software.
10. software maintenance unit is a unit chaired the information technology or third party directly perform the maintenance business software.
11. The unit used is the unit directly using professional software.
12. third-party is held not in the organizational structure of State banks are Bank hired to direct the development or maintenance of software.
13. Business processes is general rules regulating the sequences, procedures, forms and tasks of organizations and individuals involved in business activities of the Bank.
14. the user requirements document is a document describing the requirements for the unit's software business unit and host use.
15. information technology infrastructure is the system equipment, including servers, workstations, network communications, database, security equipment, software and other equipment needed for the production, transmission, processing, collection, storage and exchange of information.
Article 4. General principles 1. Business software was developed based on the requirements of the business unit a business unit and host use. Each software unit must have professional services is responsible for presiding over the issues related to the career service and maintenance of information technology is responsible for issues related to engineering. Business software after expiry of the warranty must be maintained to operate long-term exploitation.
2. Department of information technology, the units of the State Bank and the third party must clearly identify and implement the right accountability, regulatory powers involved in the development process, software maintenance services.
3. In the case of a unit was assigned to take on various roles in the process of developing and maintaining a specific professional software, the unit must have text assigned clear responsibilities of the parts in the unit as the roles are assigned and must ensure the principle of independence between the parts set , control and approval of the development and maintenance of software.
Article 5. Oriented software development 1. Specializes in information technology construction organization plan and the architecture of information technology application in State banks which includes content oriented to the application of information technology.
2. Unit chaired the information technology, software development unit ensure professional software development in accordance with the correct orientation for the application of information technology in the State Bank.
Article 6. Ensure information technology infrastructure 1. Host unit providing information technology requires the use of the information technology infrastructure for the units specialise in information technology.
2. Specializes in information technology is responsible for providing complete infrastructure of information technology such as servers, database management systems, network communications, security equipment for deployment, software business operations of the Bank.
3. Specializes in the technology of information meet the requirements using information technology infrastructure according to the deadlines as follows: a) within 30 working days of receipt of the request in the case of the information technology infrastructure of shared State Bank were available;
b) During the period of time necessary to equip the information technology infrastructure according to the regulations of the State Bank and the law on the management of investment in information technology applications using State budget funds for information technology infrastructure has not been fitted or equipped enough.
Article 7. Capacity condition of the unit lead information technology unit chaired the information technology must have at least five officers have undergraduate majors in information technology and has completed certification courses, professional investment management information technology application as specified by the Government.
Article 8. The order of business software development 1. The stages of the software development profession: a) planning;
b) user requirements survey;
c) system requirements analysis;
d) design software;
DD) programming software;
e) test, the test software;
g) pilot deployment;
h) training, training;
I) packing, delivery of the software;
k) formal deployment;
l) testing software;
m) supports operators.
2. for professional software made by urgent request was Governor of the State Bank approval, host units in information technology are decided the shortened development sequence, may not include the periods specified in point a, b, g, i stated in paragraph 1 of this article.
Chapter II SPECIFIC PROVISIONS section 1 PRESCRIBED PROFESSIONAL SOFTWARE DEVELOPMENT article 9. Planning professional software developers of State Bank 1. The notice requires a professional software development) divisions using require professional software development requests for units presiding. Require professional software development must stem from the real needs of the work and to ensure professional software after deployment is used regularly;
b) unit chaired the reasonableness of your profession as defined in point a of this paragraph 1 requests received at the latest on 31/3 and annually host unit, general business, submit a request for professional software development (according to the 01/PTBTPM) for the units specialise in information technology to software development planning of the next year.
2. Reception and reviews required a) based software development requirements, specializes in information technology make analysis of the ability to meet the technical and coordination with host units to improve services if the request has content not suitable or not feasible;
b) within a period of 10 working days from the date of the full software development requirement of presiding, specializes in information technology have written answer profession chaired unit about the reception and reviews required for software development.
3. software development planning a) annual plan every year, the base software development requirements of the unit hosted services, specializes in the technology of information in collaboration with the unit chaired the unified professional development plan for each specific business software.
At the latest on October 31 every year, specializes in information technology complete the synthesis Panel software development plan (form 2/PTBTPM) the Governor of the State Bank approval.
b) irregular plan unit case presiding professional software development request unscheduled professional not in approved plans, specializes in the technology of information considering the content of the request and the Governor of the State Bank approved the plan to adjust.
c) announced the plans approved after the Governor of the State Bank approved plans to develop software, specializes in the technology of the information notified to the Unit related to implementation of the provisions of article 10 and article 25 of this circular.
4. The professional software of the project, the project

The event requires professional software in a project, the project of the State Bank has been approved by the competent person, the software that is not established and approved according to the provisions in paragraph 1, paragraph 2 and paragraph 3 of this Article but the host unit , the scheme must send specializes in the technology of the information content of the details of the software (under section II 01/PTBTPM) to the aggregate.
Article 10. Building materials require the use of 1. Host unit responsible business organizations build the content the user requirements document (form 03/PTBTPM).
2. host unit responsible for information technology support unit chaired the building materials profession requires the use of the form, structure and content.
3. Unit heads chaired the business Vice Governor in charge of the approval of the user requirements document and transfer unit chaired the information technology user requirements document has been approved.
4. within 10 working days from the date of the user requirements document has been approved, the unit hosted information technology reporting proposed method of professional software development process of the Vice Governor in charge of information technology.
5. in case there are additional needs, modify the user requirements document has been approved, the unit hosted services additional request, modify the approval of Deputy Governor in charge of the host unit for information technology. Unit chaired the information technology reviews the level of influence for the development of the software of the additional requirements, modified the user requirements document, propose handling the Deputy Governor in charge of information technology.
6. host unit responsible for information technology management, using the user requirements document has been approved according to the requirements of the host professional levels "Suite" of the document.
Article 11. Define unit of professional software development 1. Unit chaired the information technology is developing software for a business software are equipped according to the method of automatic State Bank building.
2. Unit chaired the information technology equipment made according to the regulations of the State Bank and the law on investment management of information technology applications to choose software development unit for the professional software equipped according to the method of shopping.
Article 12. Detailed planning professional software development 1. Within 15 working days after it is defined, the software development unit is responsible for the detailed planning of industrial software development service includes the basic information: the content of the work; start time; the end time; staff and the expected results.
2. Within 10 working days from when it received the detailed plan of professional software development, unit chaired the information technology is responsible for reviewing, approving the plan and send specializes in information technology, a business unit of presiding, to deploy in the next stage of the project.
Article 13. Reporting user requirements survey 1. Software Development Unit conducted the survey reporting requirements the user based on the user requirements document. In case of need, the software development unit can conduct a survey at the host and the units used to collect more information.
2. host unit, the unit used is responsible for coordination, provide adequate, timely information, request documents, survey of software development and unit are responsible for confirming the report user requirements survey within 10 working days from receipt of the report.
3. software development unit is responsible for the management, use the user requirements document and the relevant documents in the course of the survey at the request of the host unit, the unit Chair of information technology and the provisions of the law on information security.
4. In the process of survey, if there arise demands or changing user requirements document has been approved, the unit hosted and chaired the technology unit of information made under the provisions of Paragraph 5 of article 10 of this circular.
Article 14. Analysis of system requirements 1. The base user requirements documents, survey reports and related documents, text, software development unit perform analysis of user requirements and build the documentation requirements analysis system.
2. for business software is commercial software, document analysis of system requirements is a document analyzing the difference between user requirements and the features are already available in the software business.
3. Unit chaired the information technology unit and host services are responsible for the comments, consistent process for content about business and technical requirements analysis process in the system.
4. documentation requirements analysis system must be unit chaired the information technology approved.
Article 15. Professional software design 1. Document base system requirements analysis and the text, relevant documents, developing software to build software design documentation and software design.
2. for business software is commercial software, software design document is the document that describes the system architecture, the functionality of the software, data organization, requires installation, configuration and other related technical documents.
3. software design documents must be unit chaired the information technology approved.
Article 16. Professional software programming 1. The base software design documentation, software development units perform programming and build the associated technical documentation.
2. for business software is commercial software, software programming is the process of editing the available functions, develop more new functions to meet according to the software design documents.
3. In the process of software programming, software development units to implement inspection, internal testing software before delivery to the unit chaired the information technology made checks, testing the software. The results of the screening process, the internal test must be shown by test results reporting, internal testing and test scripts, test.
4. software development unit is responsible for building the installation documentation, the documentation using the software and technical documents related to serve the process of deployment, operation, maintenance, transfer and maintenance.
Article 17. Business processes 1. Every business software must have business processes attached, business processes are consistent with user requirements documents and design documents have been approved.
2. Before the test, test software, the unit hosted services is responsible for the Organization of construction, issued under the authority or the Governor of the State Bank sign issuing business processes for the software.
Article 18. Check, professional software testing 1. The test script, test a software) software development unit is responsible for building test scripts, testing software and transfer unit for chairing the review, information technology approved.
b) test script, test software applications including: script to check, test the function; the test script, test performance; test scripts, testing security; test scripts, testing the ability to recover when there is a problem; and may include some kind of test scripts, test was based on the nature and characteristics of each software.
2. Inspect, test unit system Chair of information technology is responsible for organizing, implementing and reporting test, testing the system under test, test script was approved.
3. Inspect, test acceptance of the unit using a) unit chaired the information technology is responsible for inspecting, testing acceptance of the use according to unit test scripts, testing has been approved.
b) host unit, the unit used is responsible for coordinating with host units in information technology make check, test acceptance of the unit used.
c) results of test process, test acceptance of units used must be shown by test results, reports, test acceptance of the use of the unit, chaired the unit use and maintenance of information technology.
Article 19. Pilot deployment 1. Business software apply to multiple units use the pilot deployment to be done before widespread deployment.
2. Unit chaired the information technology organization set up and perform a pilot deployment plan. Pilot deployment plan must specify content deploy pilot, pilot deployment time and the specific responsibilities of each unit involved in the pilot deployment include: a) unit chaired the information technology;
b) host unit services;
c) software development unit;
d) units used to join the pilot deployment.
3. Unit chaired the information technology is responsible for the Organization of training for the units used to join the pilot.
4. Conclusion: a pilot deployment) uses join pilot implementations report results and pilot deployment requirements (if any) submit host information technology;
a) unit chaired the information technology reporting results the pilot deployment attached to the document requested (if any) sent host and software development unit to coordinate. The case concerns arise about the profession, professional host unit and unit chaired the information technology coordination process consistency.
b) software development unit proceed editing software after the end of the pilot deployment and proceed to update the related editing documents (if any) submit host information technology test and calibration results acceptance of the software and related documentation (if any) before training , training.
Article 20. Training, training

1. Unit chaired the information technology organization and implementation of training plans, training for the units used before the official deployment software. Training plans, training must state clearly the responsibilities of each unit involved in training, training: a) unit chaired the information technology;
b) host unit services;
c) software development unit;
d) unit to use.
2. The unit is responsible for services hosted in collaboration with the relevant unit training organizations, training ensures the unit used has sufficient professional knowledge in the course of operating the official software.
3. use the unit is responsible for acquiring expertise to deploy, operate the software.
4. Unit chaired the information technology reporting the results of training, training accompanied general content comments of participating training units, training unit sent presided and development unit to coordinate editing software, document (if necessary).
Article 21. Packing, delivery of business software 1. Software development unit packaged software, and Console Software Console, record-setting unit chaired the information technology.
2. The packaging of software must be held in each version, easy to reference and include the basic content is as follows: a) the technical documentation, including: business-user requirement document;
-Survey report;
-Documentation system requirements analysis;
-Software design document;
-The installation and configuration of the system;
-Manual;
-Operating procedures;
-Business processes;
-Fix documentation.
b) The software installation;
c) The source code of software in case of software development or the State Bank has asked to provide source code in contracts with third parties;
d) software maintenance process;
DD) the tools used to develop, deploy software (if any).
3. software development unit is responsible for supplementing packaged version if there are changes in the process of technical support, maintenance and warranty of the software since the time of delivery.
4. Unit chaired the information technology is responsible for hosting the software product packaging to a minimum in two different places, to ensure safety.
Article 22. The official deployment 1. Host unit and information technology implementation plan to deploy. The official deployment plan must specify the official deployment time and the specific responsibilities of each unit in relation to official deployment including: a) unit chaired the information technology;
b) host unit services;
c) software development unit;
d) unit to use.
2. The responsibilities of the unit when the official deployment: a) units used to announce the official deployment results in the unit for unit chaired the information technology General and follow-up.
b) unit chaired General information technology deployment report officially submitted software development unit in order to improve the software and notify the unit hosted services to coordinate.
Article 23. Professional software testing 1. Nest software a test) for the software is furnished according to the method of automatic State Bank building, unit chaired the information technology establishing software testing;
b) with respect to the software furnished under the method of procurement, investor or unit is the owner authorization establishing software testing;
c) component in hosted software experience includes the unit's officers chaired the information technology unit, hosted services and other related units (if required).
2. software development unit is responsible for preparing the conditions and support for the inspection.
3. Nest building software test and perform the test according to the test script.
4. Finish the inspection process, the testing software with reporting thereon submitted software unit testing chaired the information technology. The case of the software do not meet business requirements, technical unit co-chaired the information technology continue to edit, improve the software.
Article 24. Operational support 1. Unit chaired the information technology is responsible for organizing Guide, support the unit using handles incidents and problems.
2. host unit responsible profession Guide, support the unit using the handles to career service.
3. use the unit is responsible for timely reflect the obstacles, the proposal related to technical, business unit a business unit and chairing chaired the information technology to synthesize, research and processing.
Article 25. Report the results of professional software development 1. Unit chaired the information technology is responsible for reporting the results of software deployment and send units specialise in information technology within 30 days from the time of the formal deployment of the software.
2. Report the results of deploying the software including the content: a) the results achieved in comparison with the objectives;
b) range, the actual deployment time;
c) the main functions of the software;
d) script and test reports, test;
DD) reported the pilot deployment, reported the official deployment;
e) minutes of testing, report delivery software.
Section 2 RULES MAINTENANCE BUSINESS SOFTWARE Article 26. Organization of professional software maintenance unit chaired the information technology is responsible for implementation of maintenance software maintenance process by developing software that provides; responsible before the law about software quality degradation due to malfunction or maintenance not performed according to the regulations.
Article 27. Determine the unit maintenance business software 1. Host unit is the unit information technology maintenance for the software business software in case the unit chaired the information technology capable of self-maintenance.
2. in the case of non-qualified, capable of self-maintenance, unit chaired the information technology State Bank Maintenance rental part or the whole of a business software. The selection of software maintenance unit must be done simultaneously with the selection of the software development unit as defined in paragraph 2 article 11.
Article 28. Periodic maintenance business software 1. Host unit responsible for information technology planning software maintenance. Periodic maintenance plan contains the following information: a) content maintenance;
b) duration;
c) officers made, stakeholders coordinate;
d) other necessary content.
2. Planned maintenance software to be sent to the parties concerned to coordinate implementation.
3. software maintenance unit is responsible for building the script periodically sent software maintenance unit chaired the information technology review and approval. The periodic maintenance of the software included the following activities: a) check the operation of the software;
b) test backup and restore data;
c) test, the security of the software;
d) edit the errors arise, improving the performance of software;
DD) check the operating environment and given the warning may be encountered and ways to overcome.
4. after the unit maintenance perform periodic maintenance, unit chaired the information technology is responsible for coordinating the checks and confirm the results of periodic maintenance by the minutes.
Article 29. Unscheduled maintenance business software 1. Unit chaired the information technology is responsible for receiving requests unscheduled maintenance software and send the unit maintenance software implementation.
2. If additional related maintenance, software upgrades, the unit hosted information technology made software development according to the provisions in section 1 of chapter II of this circular.
3. With regard to the maintenance requirement is outside the capabilities of the software maintenance unit or the problem cannot fix the unit, chaired the information technology implementation: a) the coordinating unit of the proposed software maintenance process;
b) built the approach the Governor State Bank to review the decision.
Article 30. Records maintenance business software 1. Unit chaired the information technology has the responsibility to organize maintenance records followed the rules of the storage time of accounting in case of maintenance records was accounting or is a part of the accounting. For other cases, maintenance records be stored a minimum of 5 years.
2. maintenance records including: a) to plan, script and routine maintenance thereon;
b) technical solutions, report error handler;
c) software and documentation related to the content of maintenance was done;
d) material other related maintenance.
Article 31. End of maintenance business software 1. Maintaining the software ends when no professional software used in practice.
2. in case the software is not used in practice but maintenance contracts with third parties remains in force, the unit chaired the information technology must report to State Bank Governor option to terminate the contract of maintenance.
3. When finished, software maintenance unit chaired the information technology make archive software. An archive software includes: a) technical documents, like art. 2 article 21 of this circular;
b) The software installation;
c) The source code of software in case of software developed by the method of self development or software copyright belonging to State Bank;
d) data of the software;
DD) the tools used to develop, deploy software (if any);
e) maintenance records.
Chapter III Article 32 ENFORCEMENT TERMS. Effective enforcement of this circular effect since October 2 2013 Article 33. Implementation 1. The Department of information technology has the responsibility to organize the implementation of this circular.
2. the internal audit Service has the responsibility to examine the implementation of this circular for the units of the State Bank.
3. The Heads of the units of the State Bank, Bank branch, central cities, the third party within the scope of his duties, function is responsible for the implementation of this circular.