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THE
STATE BANK OF VIETNAM
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SOCIALIST
REPUBLIC OF VIETNAM
Independence- Freedom Happiness
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No.
1630/2003/QD-NHNN
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Hanoi,
December 19, 2003
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DECISION
ON THE ISSUANCE OF THE REGULATION ON TECHNICAL STANDARDS IN
THE PROCESSING, PROCUREMENT OF BANKING OPERATION SOFTWARE
THE GOVERNOR OF THE STATE BANK
- Pursuant to the Law on the
State Bank of Vietnam No. 01/1997/QH10 dated 12 December, 1997 and the Law on Credit
Institutions No. 02/1997/QH10 dated 12 December, 1997;
- Pursuant to the Law on the amendment, supplement of several Articles of the
Law on the State Bank of Vietnam No. 10/2003/QH11 dated 17 June, 2003;
- Pursuant to the Decree No. 86/2002/ND-CP dated 05 November, 2002 of the
Government providing for the function, assignment, authority and organization
structure of Ministries and ministerial-level agencies;
- Upon the proposal of the Director of the Banking Information Technology
Department,
DECIDES:
Article 1.
To issue in conjunction with this Decision "the
Regulation on technical standards in the processing, procurement of banking
operation software".
Article 2.
This Decision shall be effective after 15 days from the
publication in the official gazette.
Article 3.
The Director of the Administrative Department, the
Director of the Banking Information Technology Department, Heads of units of
the State Bank, General Managers (Managers) of Commercial Banks, the Central
People Credit Fund shall be responsible for the implementation of this
Decision.
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FOR
THE GOVERNOR OF THE STATE BANK
DEPUTY GOVERNOR
Vu Thi Lien
REGULATION
ON TECHNICAL STANDARDS IN THE PROCESSING, PROCUREMENT OF
BANKING OPERATION SOFTWARE
(Issued in conjunction with the Decision No. 1630/2003/QD-NHNN dated 19
December, 2003 of the Governor of the State Bank)
Chapter I
GENERAL PROVISIONS
Article 1.
Governing scope
1. This Regulation shall include
basic technical standards, procedural sequences in the processing, procurement,
deployment and operating support for banking operation software of the State
Bank, Credit Institutions (hereinafter referred to as units) in order to
universally manage the application of information technology to banking
activities for great efficiency and asset security.
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3. The hire for processing,
procurement of banking operation software shall also be subject to provisions
of the State on the hire and procurement of goods and services besides this
Regulation.
Article 2.
Interpretation
In this regulation following
terms shall be construed as follows:
1. Program shall be a group of
instructions, commands, which are written in a specific language and directly
or indirectly used on the computer or other devices with information processing
capability to obtain a certain result.
2. Software shall include program,
technical documents and related data, which are used in the program.
3. Banking operation software
shall be the software applicable to operational activities of the bank in order
to informaticalise partial or entire activities of that operation.
4. Packed software shall be
software that is produced in mass and sold in form of completely packed
products.
5. Program module shall be a
part of the program, which is separately written and checked, combined
thereafter with other modules to make a complete program.
6. Open software shall be
software, which complies with national and international industrial standards
in terms of the openness and high compatibility for changes of the system and
operation requirements
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8. Software license shall be a
legal confirmation on the right to exploit the software under interests
provided for by that license.
9. System shall be an
organizational combination of the software, devices and other related factors
under a certain standard in order to enhance the effectiveness of the common
usage.
10. System design shall be a
translation work that requires operations and users to make a detailed
technical model to direct the development of software.
11. Configuration shall be a
collection of programs, materials, data that are adjusted under a certain
technical requirement.
12. Sample shall be a model reflecting
the design, programming ideas or operation settlement process that help the
imagination, assessment and orientation of work before performance.
13. Library of sample programs
shall consist of standard programs that are collected for the purpose of common
use and used for many times.
14. Software adjustment shall be
the amendment, supplement of components of the software to make it more
appropriate with users' requirements.
15. Software testing shall be
the testing, experiment of the software to discover errors in terms of
operation settlement, programming, interface or interaction between program's
modules and determine the satisfaction level for given requirements of the
software that needs testing.
16. Examining situation shall be
a collection of input elements, data, operational conditions and expected
result. Examining situations are prepared to satisfy a certain objective such
as checking a certain function of the program, durability of system, users'
requirements and other requirements (if any).
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18. Examining program shall be a
program used to automate the performance of examining procedures. Examining
program may be prepared by programming or automatically arisen by examining
instruments.
19. Operation and users'
requirement analysis shall be a process of study and description of operation
problems, users' requirements, the relationship between them and the feasibility
analysis of those requirements in the application of informatics to certain
conditions.
20. Software deployment shall be
the study of technical solutions, procedure establishment, training
organization, installation, operational instruction, initiation, data
conversion and putting the software into operation.
21. Software warranty and
maintenance shall be the management of changes, provision of support to secure
the accurate, smooth and safe operation of the operated and deployed software.
22. Management of software
configuration shall be the establishment, preservation, issuance of software
products and systematic control of their changes.
23. User shall be the person who
is assigned to operate the program to carry out his tasks in accordance with his
assigned authorities and responsibility.
24. System administrator shall
be the person who is assigned to manage and secure the smooth and safe
operation of the system.
25. Processing of operation software
shall be the entire process of operation and users' requirement analysis,
systematic design analysis, program composition, guiding documents, testing,
experiment and package of the software.
Article 3.
Software license
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Article 4.
Software upgrade
Software update shall mean to
timely overcome program's shortcomings, reflect changes in operations and
replace backward algorithm and technology. The duration between upgrade times
should exceed the amortizing time provided for software.
Chapter II
BASIC TECHNICAL
STANDARDS OF BANKING OPERATION SOFTWARE
Article 5.
Selection of technology and software solutions that
1. can settle operation
requirements well, can be deployed and applicable to the fact and have
longevity.
2. secure safe and confidential
standards of operation.
3. comply with the design
standards of open software system.
4. are in line with technology
level, financial status and effectively use investment fund sources of the
unit.
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1. To assess potential risks of
the system in the course of the analysis, system design, to classify the
importance of each component and the entire system.
2. To specifically stipulate and
sufficiently prepare technical conditions, environment for the safe
installation and manipulation of operations.
3. To prepare back-up plans for
breakdowns settlement in line with operational features in terms of permitted
maximum interruption time, importance of data.
4. To control, prevent the illegal
access to the system and to take timely measures for limiting and overcoming
consequences (if any).
5. To control operation acts,
only to permit users to operate in accordance with their assigned function,
tasks. To warn of operation acts that may cause the failure, loss of data or
affect the operation of the system.
6. To take measures in respect
of the source code examination and identification, data protection and
encryption from data of the level "Confidential" upward in banking
area when the exchange on the network is carried out.
7. Software for the data
encryption, electronic signatures must be set up, managed and used in
accordance with the "Top secret" regime in the banking area
Article 7.
Open design and stable operation
1. The design program shall be
relatively independent to components of the hardware, operating system,
databases and communication of the system; input elements, program installation
shall be parameterized and divided into sub-program modules under their
functions, which can be extended and connected to other operation software in
the near future.
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Article 8.
User interface
1. All program must be
consistent in terms of screen layout, color, menu, font and the convention on
the use of icons, function keys in accordance with common standards; the way of
program outgoing and incoming and performance must be consistent.
2. To arrange program functions
under scope, task groups and procedures for operation performance; to provide
online support and eliminate redundant acts in operating process.
3. To warn and prevent
unintentional errors during operating process, not to permit users to carry out
assignments beyond their assigned competence
Article 9.
Interface with other operation software.
1. Connection to related
operation software, except for examination purpose, shall be kept uninterruptedly;
the collection, transmission, processing and preservation of information shall
not be coincident.
2. Issued codes shall be used
consistently for the same operation subject referred to.
3. To secure the safety in the
connection, to avoid the access to or illegal intervention with the data of
others'.
Article 10.
Technical documents
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a. Documents on equipment
configuration of hardware, network, operating system, database and other
equipment that shall be used for s
b. Documents guiding the system
installation and operation.
c. Documents guiding the
preservation and recovery of programs, database.
2. Documents issued for the
first version and update versions should be sufficiently preserved to
facilitate the looking up when necessary.
Chapter
III
PROCESSING, DEPLOYING
AND SUPPORTING THE OPERATION OF BANKING OPERATION SOFTWARE
Article 11.
Making plan, examining and handing over assignment results
1. The plan should be made for
each design, construction, deployment, support and operation of the software
and upon its completion; the result should be considered and approved.
2. The plan and examination
report shall consist of following contents: the scope, objectives, time, human
resource, cost and other implementing conditions; points of time, examination
standards and received results.
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1. Operation investigation
a. To study operation documents:
procedures, process, guiding documents and other documents provided by users.
b. To list issues, questions
that need investigating
c. To investigate practical
operation activities and interview users
d. To consolidate documents and
make investigation report
2. Operation analysis
a. To analyze operation
requirements, organizational features, technical environment, legal environment
and users' characteristics.
b. To prepare documents on
modeling operation settlement process, data flow and information carriers.
3. Analysis of users'
requirements
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b. To analyze the feasibility,
consistence and appropriateness of requirements and determine the priority,
criteria and conditions of requirement satisfaction.
c. To prepare a sample form in
the event of necessity.
d. To consult with the user to
eliminate unreasonable or infeasible requirements; to deal with conflict
requirements, study and supplement new requirements (if any).
4. Description of system
operation and users' requirements
a. To prepare documents to
describe the design, operation of the system at present and expected in the future:
operational process, acts, operational ties, cases and their solutions.
b. To prepare documents that
focus on users' requirements: description of requirements concerning function,
interface, data organization, operation, equipment requirements and other
requirements from the viewpoint of technical officers.
c. To confirm the result with
users.
5. Operation officers shall be
responsible for sufficient, timely provision of operation documents, responses
to investigation requirements and confirmation of the correctness of the report
on operation analysis if required.
Article 13.
Analysis and design of the software system
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a. To classify and describe
requirements; to determine standards, provisions, procedures and guidance on
design; to study similar problems, the capability of re-utilization of
available designs and determine necessary instruments.
b. To consider and ensure the
sufficiency, reasonability of requirements on function and implementing levels,
the legality of legal requirements; to deal with unclear requirements and
conflicts among requirements.
2. Overall design
a. To study documents that focus
on users' requirements and determine basic elements of system design such as:
technical models, operation, database organization and organization of program
system; security issues, secrecy, management and operation and prepare a sample
form, if required.
b. To select measure, standards
and instruments of design
c. To prepare an overall design
document on program and data.
d. To consider the feasibility
of documents prepared for the detailed design period and program under the
design
3. Detailed design
a. To design screen and user
interface, reporting forms, settlement algorithm and interface with other
operations; the level of security and secrecy of data and other design
contents.
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c. To prepare technical document
that specifies requirements to users and operating environment of the operation
software.
d. To consider, assess design
documents, the feasibility and the readiness to program.
Article 14.
Program writing
1. Standards for writing program
codes
a. Program notes: general
description, correction time, corrector, examiner and correction content at the
beginning of the program; notice taking, explanation of complicated code
sections that can easily lead to the mistake or for the explanation of program
processing.
b. To display the structure of
program sources in a consistent manner and certain order.
c. To name objects of the entire
program consistently. The name must create a reminding mean, reflect the entire
or partial scope and be distinguishable between other types of objects. The way
to name and file forms shall be in line with contents and standards of software
instruments.
2. To design, program library
modules for common usage.
3. Program and combination of
functional modules
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b. To set up an environment,
examine each separate module and the entire program in accordance with the
requirements of the design documents.
4. Writing documents that
describe systematic function
a. The overall function of the
software to be set up
b. Main functions of the system:
structure diagram, interfaces of the system and data lines.
c. Requirements of the system:
supporting data, configuration of equipment and operating environment.
d. Software structure: source
code library, implementing program, support program of the software.
5. Writing instrument, documents
of installation and operation guidance
Article 15.
Experimental examination and software correction
1. Making plan for examination
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b. Examination scope: limit of
work, human resource, main periods in the examining schedule, time,
implementation cycle and repeat examining steps.
c. Examining methods
d. Resources and examining:
number of persons and skill, examining environment for hardware, software,
network infrastructure and examining instruments.
2. Setting up examining scenario
a. To prepare examining list
b. To set up examining
situations for regular and irregular cases of the system, environment and
operation of the program.
c. To set up examining
procedures including: conditions for the begin, end of examination,
implementation steps and necessary examination data.
d. Examination criteria: general
assessment, implementing productivity, durability and irregular situations.
3. Carrying out the
uninterrupted examination
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b. To examine under the
scenario, take notice of the result and discovered errors.
c. To deal with arising errors
and reexamine after settlement
4. To consider and assess
results of the examination
a. To analyze errors in
accordance with the level of repeat, seriousness, time for error correction and
to recommend the settlement.
b. To assess the achievement
ratio through examination
c. To make consolidated
examination report, to assess the satisfaction level of software's requirements
and capability of practical deployment and operation.
5. Examining officers shall
operate independently from officers who write program, clearly understand
documents concerning the system design, operational requirements and take full
responsibility for the quality of examined products.
Article 16.
Training
1. Requirements of the training
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b. The training should be
carried out for right subjects.
c. Training environment shall
imitate the practical operation.
d. The operation documents must
be sufficient.
dd. Trainees of software courses
that require high operational skills shall be examined and granted a
certificate of software use.
2. Training performance
a. To prepare training program:
content, forms, requirements and conditions for implementation.
b. To prepare environment,
documents, data and guidance.
c. To carry out the class
training or on the job guidance.
d. To consolidate, assess
results of the training.
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1. Preparation of the deployment
program
a. To determine requirements for
the deployment: scope, technical environment, operating environment, operating
features, number of users.
b. To determine resources,
deployment time limit, plan for the organization and implementation and the way
of inspection test.
c. For software that is deployed
for several places, experimental deployment shall be carried out, summed up
partially for deriving lessons from experience before the large-scale
deployment.
2. Preparation of solutions and
process for the deployment
a. To study deployment
solutions: general solutions, solution applicable to each matter, each
requirement.
b. To prepare standards for
taking over the work and the sample minutes on taking over.
c. To set up deployment process:
steps, implementing instruments, procedures need to be completed, examining
modes.
3. System installation
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b. System software, instrumental
software, application software shall be installed in accordance with
installation guidance.
c. First data: parameters,
system data, and conversion of old data
4. Test run
a. The operation and examination
of program shall be carried out in practical environments. To reconcile the
result with reconciliation system or expected result, to correct errors (if
any) and perfect the program.
b. To carry out the official
operation when satisfying users' requirements. Time for test run shall be
determined based on the scale, the completeness of program and users' skills.
5. Official operation
a. To determine time, method and
steps of implementation
b. Ready to support users and
deal with breakdowns
c. To make diary following up
the operation of program and the entire system.
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1. Preparing the file for
managing configuration of software products
a. To study information of software:
list of products, implementation schedules, main points of time and
requirements for the configuration management
b. To determine changed stages
and time points
c. To determine the list and
codes of configuration units of each stage.
d. To prepare a table following
up the combination of products
dd. To organize a directory for
preservation and delegate access priority to each software that needs managing.
e. To make backup copy under
applicable regulations.
2. Controlling the change of
product configuration
a. To receive, analyze, assess
the content, cost and time for requirements for change implementation.
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c. To make changes to relevant
configurations.
d. To determine the number signs
of new versions for changed configurations
dd. To update documents
recording the changes of configuration and follow up the combination of
products.
3. Preserving configuration of
products
a. To prepare safe location,
environment and conditions for preservation
b. To carry out periodical
examination to environment and conditions for preservation.
c. Each version of software
shall be preserved at least at 2 different locations for backup
4. Numbering software versions
a. To number main versions or
their respective upgraded versions of each issued products.
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Article 19.
Operation support after deployment
1. Preparing support plan
a. To study the support demand
of users
b. To determine support
conditions, resources, equipment ort and support project
c. To stipulate support
objectives, scope, result, time, location and support diary.
2. Carrying out the support.
a. To prepare equipment
conditions, documents, location and environment for support
b. To acknowledge requirements,
analyze, prepare and try settlement solutions.
c. To support, guide the users,
follow up and acknowledge settlement results.
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3. Consolidating, reporting
support results
a. To consolidate files,
requirements for support in the reporting period.
b. To analyze arising issues
relating to products.
c. To make periodical support
report: statistic data, arising issues and proposals relating to products.
Chapter IV
PROCUMENT OF BANKING
OPERATION SOFTWARE
Article 20.
Procurement of banking operation software
1. To make report
"description of system operation and users' requirements" in
accordance with provisions at Article 12 paragraph 4 of this Regulation to use
as a technical document for auction invitation.
2. To compare with technical
documents for auction invitation, consider the capability of satisfaction,
estimate the volume required to supplement, adjust the software being offered.
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4. To check and take over
products and carry out the operation in accordance with standards provided for in
Chapter II and Articles from 15 to 19, Chapter III of this Regulation.
5. Procured software must be
supported by the license in line with written agreement on the procurement.
Article 21.
Requirements of warranty, maintenance of software
1. Software shall be given a
warranty under standards of suppliers
2. In case where units have
other demand, Articles on maintenance stages should be agreed upon with
supplier in the document on the purchase of, processing hiring of software.
Article 22.
Issuance of software
1. Software hired to process,
procured must be considered by the information technology specialist body of
the unit and comply with technical standards provided for Chapter II of this
Regulation; updated with information and preserved in the software stock of the
unit.
2. The new issuance or update of
operation software versions shall be approved by the Head of unit.
3. To issue in conjunction with
the notice: the list and the state of components of issued software and their
changes in case of upgraded versions.
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IMPLEMENTING PROVISIONS
Article 23.
Dealing with violation
Any act of violation of Articles
of this Regulation shall be, depending on the seriousness of violation, subject
to administrative punishment, compensation for material damages, prosecuted for
criminal liability under provisions of applicable laws
Article 24.
Implementing responsibilities
The Banking Information
Technology Department shall be responsible for guiding, following up and
examining the implementation of this Regulation
Article 25.
Any amendment, supplement of this Regulation shall
be decided upon by the Governor of the State Bank.
FOR
THE GOVERNOR OF THE STATE BANK
DEPUTY GOVERNOR
Vu Thi Lien
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