Thông tư 24/2020/TT-BTTTT

CIRCULAR

IMPLEMENTATION AND SUPERVISION OF IMPLEMENTATION AND TESTING OF INVESTMENT PROJECTS FOR INFORMATION TECHNOLOGY APPLICATION FUNDED BY STATE BUDGET

Pursuant to the Law on Information Technology dated June 29, 2006;

Pursuant to the Government’s Decree No. 73/2019/ND-CP dated September 5, 2019, regulating the management of projects on investment in application of information technology funded by the state budget capital;

Pursuant to the Government's Decree No. 17/2017/ND-CP dated February 17, 2017, defining the functions, tasks, powers and organizational structure of the Ministry of Information and Communications;

Upon the request of the Director of the Computerization Agency,

The Minister of Information and Communications hereby promulgates the Circular on the implementation and supervision of implementation and testing of investment projects for information technology application funded by state budget.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

This Circular sets out specific regulations on the implementation and supervision of the implementation and testing of investment projects for information technology application funded by the state budget.

Article 2. Subjects of application

1. This Circular applies to organizations and individuals participating or involved in the implementation and supervision of implementation and testing of investment projects for information technology application funded by state budget.

2. Other entities and persons related to the investment in application of information technology funded by other capital sources should apply regulations of this Circular.

Chapter II

SPECIFIC PROVISIONS

Section 1. IMPLEMENTATION AND SUPERVISION OF IMPLEMENTATION ACTIVITIES

Article 3. Basic tasks of the implementation and supervision of implementation activities

1. Performing implementation activities and making an activity log.

2. Performing implementation supervisory activities and making a supervisory log.

3. Author’s supervision.

Article 4. Performing implementation activities

Contractors shall undertake the following activities:

1. Preparing a detailed schedule before implementation according to the regulations on project implementation progress management in Article 33 of Decree No. 73/2019/ND-CP .

2. Establishing the quality management system suitable to the implementation scale (if required by an investor), which clearly states the responsibilities of each department and individual in the implementation process.

3. Arranging manpower and equipment serving implementation purposes under contracts.

4. For the construction and installation of technical infrastructure systems and equipment (including the calibration of supplies and equipment) and commercial software installation:

a) Carrying out the inspection of quality, quantity and types of products and equipment before transfer thereof to investors;

b) Providing investors with certificates, information and documents related to products, equipment and commercial software under contractual terms and conditions, and approved detailed designs;

c) Transporting and transferring products, equipment, and commercial software to investors under contractual terms and conditions; notifying investors of requirements for the transport, storage and preservation of products, equipment, and commercial software (if any);

d) Repairing and replacing products or equipment that fail meet the quality requirements according to warranty commitments and contractual terms and conditions;

dd) Carrying out the construction or installation of technical infrastructure systems, equipment, commercial software and commissioning of technical infrastructure systems, equipment and commercial software.

5. For the construction, development, upgradation and expansion of internal software or databases

a) Defining the request;

b) Analyzing and developing plans for construction, development, upgradation and expansion of internal software or databases;

c) Programming and coding;

d) Performing the test run on the implementing contractor’s internal software;

dd) Carrying out the installation of internal software.

6. Providing training in instructions for use and training classes for administrators; supporting, administering, operating, and performing other implementation-related works in accordance with contracts and detailed designs.

7. Correcting and remedying errors and defects arising in the implementation process (if any).

8. Reporting to investors on the progress, quality and volume prescribed under contracts and upon the investor's spontaneous request.

9. Cooperating with investors and related units in the process of supervising and supervising the implementation, testing or commissioning, acceptance testing and handover activities.

10. Requesting investors to carry out testing and commissioning activities.

11. Performing other tasks agreed upon in contracts in effect.

Article 5. Making implementation activity logs

1. Implementation activity logs shall be developed by contractors, used to describe working status and reflect information exchanged between investors, implementing contractors, detailed design organizations and individuals, and other related parties.

2. An implementation activity log must comprise the date of commencement, milestones and must be bound in a book which is paginated and stamped on all of its page edges by the implementing contractor.

3. An implementation activity log shall contain the following basic information:

a) List of participating officers of parties directly involved in implementation activities (e.g. their titles and assignments), including implementation and author’s supervision (if any);

b) Daily developments of such implementation activities as construction, installation of technical infrastructure systems, equipment, commercial software; developments of implementation over periods of time for the building, development, upgradation and expansion of internal software, databases;

c) Detailed description of incidents, failures, violations, discrepancies, other problems and corrective measures or responses during the implementation process (if any);

d) Recommendations of the implementing contractor or the consultant on the detailed design (if any), the implementation supervisory unit (if any);

dd) Comments or opinions on solving and addressing problems arising from the implementation received from related parties (if any).

4. The sample log shall be given in the Appendix I hereto.

Article 6. Supervision of implementation activities

1. Projects entering at the stage of construction and installation of technical infrastructure systems, equipment (including the calibration of supplies and equipment) and the installation of software must follow the mode of implementation supervision specified in Article 32 of Decree No. 73/2019/ND-CP. Investors can hire organizations and individuals to supervise the implementation or supervise the implementation of their own accord (hereinafter collectively referred to as implementation supervisory unit). Main implementation supervision activities shall be subject to regulations laid down in this Article.

2. Examining conditions necessary for implementation

a) Checking whether grounds or sites and relevant technical infrastructure elements are available for implementation of projects;

b) Checking whether project implementation contracts have been signed;

c) Checking whether detailed design documents have already been approved;

d) Checking whether detailed implementation schedules have been set by contractors;

dd) Checking whether operational safety, fire prevention and control measures are in place;

e) Making review reports on conditions necessary for implementation activities.

3. Examining the conformity of the contractor’s competence with contracts.

a) Checking whether the contractor's field implementation personnel are the same as those agreed upon in contracts and each staff member undertakes assigned tasks;

b) Checking quality management systems specified in Clause 2, Article 4 of this Circular (if any);

c) Checking the advance payment of funds requested by implementing contractors to fulfill their contractual commitments (if stated in the contract);

d) Checking other competency requirements mentioned in project implementation contracts;

dd) Making a review report on the conformity of the contractor’s competence with contracts.

4. Examining supplies, information technology equipment and software before the construction and installation stage.

a) Checking the quantity and physical or organoleptic properties of information technology equipment; checking grounds for proving copyright (if any) of commercial software (e.g. legality, quantity);

b) Checking the certificate of origin (CO), the certificate of quality of the manufacturer (CQ) and documents related to the information technology equipment and supplies stated in the implementation contract before implementation;

c) Checking the technical specifications of the information technology supplies and equipment in comparison with the information stated in the contract and detailed design files before they are put into operation;

d) When there is any doubt about information technology supplies and equipment, or software, the implementation supervisory unit must cooperate with the investor to carry out the physical testing on information technology supplies, equipment and software built or installed during the execution of projects. In case where information technology equipment, supplies and software are not fit to the approved detailed designs, the implementation supervisory unit shall cooperate with the investor in requesting the contractor to move them out of the project site;

dd) Making review reports on information technology supplies, equipment and software before the construction and installation stage.

5. In-process supervision

a) Checking and supervising the contractor's implementation activities performed at project sites. Inspection results must be recorded into the implementation activity supervisory log;

b) Examining the protection of technical infrastructure, equipment built and installed within the regions or sites where projects are implemented (if any). In case of any damage, breakdown, or any impact on these regions or sites, the implementation supervisory unit shall report to the investor and request the contractor to make a field record using the form in Appendix I to this Circular;

c) Cooperating with concerned parties on solving and addressing problems arising from the implementation activities (if any);

d) Requesting the investor to adjust the detailed design when detecting any errors and irrationalities in the detailed design.

dd) Participating in the acceptance testing and handover of products or items obtained from projects.

6. Supervising the volume or quantity of implementation activities

a) Quantitative or volume supervision shall be subject to terms and conditions on implementation activities and approved detailed designs;

b) Confirming the completed volume carried out by the contractor and comparing it with the approved detailed design. If there is any change in the quantity or volume compared to the contract, the investor must be reported for its review and approval. The results of the approval of the changed volume shall serve as the basis for the acceptance testing of work volume or quantity, contract payment and settlement.

7. Supervising the implementation progress

a) Monitoring and supervising the implementation progress;

b) Giving the investor, the implementation contractor and related parties recommendations about adjustment of the implementation progress in case the period of implementation at some stages is lengthened;

c) Recommending the investor to impose sanctions and requesting the contractor to pay compensation for any damage when the period of implementation is prolonged, causing any damage to the investor under terms and conditions of the contract between the investor and the implementation contractor.

8. Supervising in-process changes

In the course of implementation, due to unreasonable factors that are detected or new elements that appear, if the investment quality of the project, implementation progress, measures and investment efficiency of the project are impacted because of failure to change the detailed design, the implementation supervisory unit must report to the investor and, at the same time, request the contractor to prepare a field record using the form in Appendix I hereto.

9. Other tasks related to implementation supervisory activities shall be subject to regulations laid down in implementation supervision contracts.

10. Making reports on results of supervision of implementation activities.

Implementation supervisory units shall be responsible for making reports on results of supervision of implementation activities for submission to investors.  A report of this kind contains information prescribed in Appendix I hereto.

Article 7. Making implementation supervisory logs

1. The implementation supervisory log is made by the implementation supervisory unit, used to describe the work in the process of supervising implementation activities and show exchanged and confirmatory information between the investor, the implementation supervisory unit and other stakeholders.

2. An implementation supervisory log must comprise the date of commencement and must be bound in a book which is paginated and stamped on all of its page edges by the implementation supervisory unit.

3. An implementation supervisory log shall contain the following basic information:

a) List of participating officers of parties directly supervising implementation activities (e.g. their titles and assignments), including: implementation supervisory units and author supervision units (if any);

b) Contents, developments and results of supervision of implementation activities corresponding to each implementation content of the implementing contractor;

c) Reports on deviations in the implementation process compared to detailed design documents, clearly stating the causes and corrective measures (if any); proposals and recommendations (if any);

d) Records or reports made during the implementation supervision process which constitute an integral part of the implementation supervisory log book.

4. The sample log of this kind shall be given in the Appendix I hereto.

Article 8. Author’s supervision

1. The unit formulating the detailed design for the 2-step design, the unit making the economic - technical report for the 01-step design shall be responsible for the author supervision.

2. Tasks involved in the author’s supervision.

a) Explaining and clarifying detailed design documents at the request of the investor, the implementation contractor, the implementation supervisory unit;

b) Cooperating with the investor upon request in solving design problems and issues during implementation, adjusting the design in accordance with the actual implementation, handling irrationalities in the design upon the request of the investor, and recording comments in the implementation log;

c) Cooperating with the implementation supervision contractor on sending the timely notification to the investor and recommending solutions when discovering that the implementing contractor's implementation is not conforming to the approved design;

d) Participating in the acceptance testing at the request of the investor. In case of detecting that products or items obtained from projects fail to meet acceptance testing requirements, they must promptly raise their written opinions to the investor.

Section 2. ACCEPTANCE TESTING AND TRANSFER

Article 9. Basic activities involved in acceptance testing and transfer tasks

1. Conducting the testing or commissioning before the acceptance testing and transfer of the project's products and items.

2. Performing steps in acceptance testing and transfer of project’s products and items as legally prescribed.

Article 10. Testing or commissioning

1. Project’s products or items must be tested or commissioned at the minimum of one beneficiary unit before being accepted, transferred and put to use.

2. For technical infrastructure systems, equipment and commercial software, the contractor shall take charge of, and cooperate with the investor in, conducting the commissioning.

a) Contents and sequence of the commissioning activity shall follow the instructions given in Sub-Appendix 2a of Appendix II to this Circular;

b) Commissioning results shall be documented in a report by the implementing contractor.

3. For internal software, depending on the level of quality requirements and actual conditions, the investor shall consider issuing the decision to apply the testing or commissioning approach, and shall be responsible for their decision.

a) Contents and sequence of the commissioning activity shall follow the instructions given in Sub-Appendix 2b of Appendix II to this Circular. During the internal software commissioning process, the investor should take control of the quality of software to ensure their conformance to non-functional requirements on the basis of a report on results of the test conducted by the contractor as prescribed at point d Clause 5 Article 4 of this Circular. Results of commissioning of internal software shall be reported by the investor;

b) Contents and sequence of the commissioning steps shall follow the instructions given in Sub-Appendix 2c of Appendix II to this Circular. Test results shall be reported in writing by the investor (in case of conducting the test of their own accord), or by the independent testing unit (in case of hiring an independent testing unit to conduct the test).

Article 11. Acceptance testing and transfer of project's products or completed project items

1. Project’s products or items shall be accepted and handed over for use in accordance with Article 35 of Decree No. 73/2019/ND-CP .

2. Conditions for the acceptance testing of project's products or items

a) These products or items must be fully complete in terms of the volume, quality, progress, contractual requirements and approved detailed designs;

b) In order to be eligible for testing or commissioning, products or items must meet the quality requirements specified in Article 34 of Decree No. 73/2019/ND-CP and Article 10 of this Circular.

3. Investors and related units shall agree on the contents of the acceptance testing, time and place of acceptance testing and transfer after all of the conditions specified in Clause 2 of this Article are satisfied. Acceptance testing and transfer results shall be recorded in writing by using the form provided in Appendix I to this Circular.

4. Products or items obtained from the projects may only be handed over to the investor after they are accepted to meet the quality requirements.

5. The implementing contractor shall be responsible for handing over products or items to the investor, and enclosing the following documents:

a) Documents on completion of project’s products or items provided in the list given in Appendix IV to this Circular;

b) Software installation program kits and source codes (if any);

c) User, administration and operation manuals; materials for user training, administration and operation; maintenance procedure documents (if any); guidance on techniques, standards and regulations (if any). Main contents of administration, operation and maintenance of project’s products or items shall follow guidelines given in Sub-Appendixes 3a and 3b to Appendix III to this Circular;

d) Technical documents used for connection purposes as legally prescribed (with respect to projects with data connection and sharing between ministries, central agencies and localities);

dd) Documents created in each stage in the process of building, development, upgradation and expansion of the software which are subject to contractual terms and conditions.

Transfer documents specified in this clause must be clearly defined in the contract and constitute a part of the product of the whole project.

Chapter III

IMPLEMENTATION PROVISIONS

Article 12. Entry into force and transitional provisions

1. This Circular shall enter into force on October 25, 2020.

2. Circular No. 28/2010/TT-BTTTT dated December 13, 2010 of the Minister of Information and Communications, regulating the contents of supervision of implementation of information technology application projects funded by state budget shall be repealed from the effective date of this Circular.

3. Investment projects on information technology application that have been approved before the effective date of Decree 73/2019/ND-CP and under development shall comply with regulations on implementation and supervision of implementation and acceptance testing of information technology application investment projects at the time of grant of approval Where it is necessary to apply this Circular, the competent person shall consider making decisions without interruption to the implementation of investment projects.

Article 13. Implementation responsibilities

1. Investors, organizations and individuals involved in the implementation and supervision of implementation and acceptance testing of investment projects for information technology application funded by state budget shall be responsible for implementing this Circular.

2. Computerization Agency subordinate to the Ministry of Information and Communications shall be responsible for communicating, providing guidance on and keeping track of the enforcement of this Circular.

3. In the course of implementing this Circular, if there is any difficulty that arises, persons and entities may send timely feedbacks to the Ministry of Information and Communications (Computerization Agency) to seek its approval of proper actions./.