The Ministry of Finance promulgates regulations on inspection of IT application activities

The Ministry of Finance promulgates regulations on inspection of IT application activities 13/09/2021 10:29:00 758

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Reviewing 8 years of implementing IT inspection works in accordance with the Decision No. 298/QD-BTC dated February 18, 2013 of the Minister of Finance, promulgating regulations on inspection of IT application activities at administrative agencies and non-business units under the Ministry of Finance (with 58 ministerial-level inspections conducted by the Department of Financial Informatics and Statistics, 138 by units under the Ministry, including 37 by the General Department of Taxation, 38 by the State Treasury, 29 by the General Department of Customs, 20 by the General Department of State Reserve and 14 by the State Securities Commission), all units in finance sector highly appreciated the effectiveness of inspections, which help units to have implementation plans to ensure investment efficiency and comply with regulations of the State and the Finance sector.

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Mr. Hoang Xuan Nam, Deputy Director, Department of Financial Informatics and Statistics (Ministry of Finance) checked the situation of IT application at Saigon Port Area 1 Customs Sub-Department (Cat Lai Port), Ho Chi Minh City Customs Department. Photo: Department of Appraisal and Inspection.

In order to further improve the efficiency of IT inspection, the Minister of Finance has just signed the Decision No. 1639/QD-BTC dated August 27, 2021, promulgating regulations on inspection of IT application activities at administrative agencies and non-business units under the Ministry of Finance. The Decision takes effect from the signing date, replacing the Decision No. 298/QD-BTC dated February 18, 2013 of the Minister of Finance promulgating regulations on inspection of IT application activities at administrative agencies, non-business units under the Ministry of Finance.

The new regulation was introduced to improve the effectiveness of inspections of IT application activities at administrative agencies and non-business units under the Ministry of Finance in accordance with regulations on IT application investment management in compliance with regulations prescribed at the Decree No. 73/2019/ND-CP dated September 5, 2019 and guiding documents for the implementation of the Decree No. 73/2019/ND-CP.

The Department of Financial Informatics and Statistics (Ministry of Finance) has coordinated with other units under the Ministry to review and evaluate the results of the implementation of the inspection regulation promulgated together with Decision No. 298/QD-BTC dated 18/02/2013 in the past time; meanwhile proposing a number of contents that need to be updated, adjusted and revised to suit newly promulgated legal documents and actual inspection of IT application implementation activities in the entire Finance sector, then submitting to the Ministry for promulgation of IT inspection regulations to replace those issued together with Decision No. 298/QD-BTC dated 18/02/2013.

The Decision No. 1639/QD-BTC dated August 27, 2021 includes 04 Chapters, 33 Articles and 05 Appendixes. Compared with Decision No. 298/QD-BTC dated February 18, 2021, there are some new points as follows:

Supplementing new regulations in current legal documents that have not prescribed in the Decision No. 298/QD-BTC: The Government’s Decree No. 73/2019/ND-CP dated September 5, 2019 providing regulations on management of IT application investment using state budget, accordingly specifying procedures, organization of implementation applicable to hiring IT services using the state budget regular expenditures; The Circular No. 12/2020/TT-BTTTT dated May 29, 2020 of the Ministry of Information and Communications providing guidelines on determination of the cost of hiring IT services using state budget capital according to the cost calculation method. Therefore, the new IT inspection regulation supplements the content of hiring IT services inspection.

The Decree No. 73/2019/ND-CP provides details on procedures of IT application projects investment (from Article 9 to Article 36, Section 2, Chapter II), accordingly, depending on the project’s scope and nature, its design will be carried out with 1-step design as detailed design or 2-step design including: basic design and detailed design. The adjustment of the contents of IT project investment management process as mentioned above led to the adjustment on new IT Inspection Regulation to cover inspection of basic design, detailed design in compliance with the newly promulgated document.

In order to strengthen the inspection of IT projects investment efficiency as well as actual implementation of IT application activities at units under the Ministry, promptly detect shortcomings and take measures to improve IT systems, ensure IT systems to operate efficiently and economically, meet requirements on financial and budgetary management profession of the Ministry of Finance, build an electronic Finance Ministry towards digital finance, the new IT inspection regulation adds more in-depth practical inspection contents on IT application deployment activities in Appendix 03 to the Regulation (such as checking LAN and WAN networks; server systems; backup and storage systems; information security system; detailed inspection contents on application software deployment).

For specific inspection contents of IT application activities: current legal documents on IT has promulgated details on processes and procedures for IT application investment management, therefore, the new Regulation on IT inspection provides reference to the process as prescribed by Decree No. 73/2019/ND-CP, without re-stipulating the contents already specified in relevant legal documents.

In order to clarify and unify the contents of inspection regulation, the new IT Inspection Regulation has rearranged a number of articles and clauses on the content of inspection to be included in one article, not separating in various articles to avoid overlapping (such as: gathering contents specified in Articles 35 and 36 of the regulations promulgated in the Decision No. 298/QD-BTC and general provisions into one Article on duties, powers, responsibilities of relevant individuals and heads of units under the Ministry of Finance).

For contents specified in other official documents of the Ministry of Finance: Article 18 of the Regulation on internal inspection and audit towards financial management, accounting, state assets and construction investment and IT applications investment in administrative agencies and non-business units under the Ministry of Finance, promulgated together with the Decision No. 791/QD-BTC dated 30/3/2012 of the Minister of Finance provides specific regulation on inspecting and auditing process applicable to state asset management activities. IT assets are also classified as a type of public property, so inspection of IT assets using and management process shall comply with the Regulation on internal inspection and audit of the Finance Ministry issued together with the Decision No. 791/QD -BTC on 30/3/2012. Therefore, the new IT Inspection Regulation excludes provisions in Clauses 2, 3 of Article 16 and Appendix on inspection of IT assets transfer as prescribed in the Decision No. 298/QD-BTC.

According to the provisions of Clause 8, Article 2 of the Finance Minister’s Decision No. 2166/QD-BTC dated October 24, 2017 providing the functions, tasks, powers and organizational structure of the Department of Planning and Finance as: “Implementing the management of bidding activities within the financial sector”, “Assisting the Minister in unified and comprehensive management of financial activities, assets, development investment, construction and internal audit, inspection in units under the Ministry of Finance”. Therefore, in order to ensure the compliance with regulations on functions and tasks, the new IT Inspection Regulation excludes Clauses 3, 4, 5, Article 11, Appendix 04, 05 on bidding inspection, stipulates comprehensive IT inspection as: "Comprehensive inspection is to consider and evaluate the implementation of IT application activities in the following aspects: constructing and guiding the implementation of mechanisms and policies; managing IT investment and hiring of IT application deployment services; managing, operating and using of technical equipments, network infrastructure, transmission lines; ensuring IT system safety and security; exploiting and using application software, databases, portals or websites; training on IT and other IT-related contents”.

On the basis of updating new regulations in current legal documents, the Decision No. 1639/QD-BTC dated August 27, 2021 updates and supplements a number of contents to strengthen inspection of actual management, operation, exploitation and use of IT products and services, inspection of IT application projects/activities investment efficiency (specifically, inspection of actual operation of IT application software systems; LAN, WAN network systems; server systems; backup and storage systems; information security systems...) so that IT systems shall operate in accordance with the set targets, approved scale, meet requirements of each unit (avoiding the cases where the investment policies or IT projects are set on large scale, wide scope but later be reduced upon actually deploying and using), save the state budget, ensure investment efficiency, meet the professional requirements of financial and budgetary management of the Ministry of Finance, build the e- Finance Ministry electronics towards Digital Finance.

For the purposes of reviewing, detecting and promptly correcting the management of IT application investment and deployment, ensuring compliance with provisions of the laws as well as ensuring efficiency and saving, the Decision No. 1639/QD-BTC dated August 27, 2021 shall create a legal corridor to implement post-inspection and also deepen, widen IT inspection throughout the entire Finance sector.

Ngoc Anh – Expert (Department of Appraisal and Inspection)

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