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Guidelines on the Management of Outsourcing Risks of Banking Financial Institutions
(General Office of China Banking Regulatory Commission, No. 44 [2010] of China Banking Regulatory Commission, June 7, 2010)
| | 銀行業金融機構外包風險管理指引
（中國銀行業監督管理委員會辦公廳 銀監發[2010]44號 二0一0年六月七日）
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Chapter I General Provisions
| | 第一章 總則
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Article 1 These Guidelines are formulated according to the Banking Supervision Law of the People's Republic of China,the Law of the People's Republic of China on Commercial Banks and other relevant laws and regulations in order to regulate the outsourcing activities of banking financial institutions and guarantee the continuous operation of the business of banking financial institutions.
| | 第一條 為了規範銀行業金融機構的外包活動，保障銀行業金融機構業務持續經營，依據《中華人民共和國銀行業監督管理法》、《中華人民共和國商業銀行法》等有關法律法規，制定本指引。
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Article 2 These Guidelines shall be applicable to the banking financial institutions established within the territory of the People's Republic of China.
| | 第二條 在中華人民共和國境內設立的銀行業金融機構適用本指引。
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Article 3 The term “outsourcing” as mentioned in these Guidelines refers to the banking financial institutions' entrustment of service providers with some of their own business for continuous handling. Service providers shall include independent third parties and the subsidiary companies, affiliated companies or related companies established inside and outside China by the parent companies of banking financial institutions or the groups to which they are subordinate.
| | 第三條 本指引中的外包是指銀行業金融機構將原來由自身負責處理的某些業務活動委托給服務提供商進行持續處理的行為。服務提供商包括獨立第三方，銀行業金融機構母公司或其所屬集團設立在中國境內、外的子公司、關聯公司或附屬機構。
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Article 4 The board of directors and the senior management of a banking financial institution shall assume the final responsibility for the outsourcing activities.
| | 第四條 銀行業金融機構的董事會和高級管理層應當承擔外包活動的最終責任。
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Article 5 When conducting outsourcing activities, a banking financial institution shall formulate an outsourcing risk management framework and the relevant rules and include them in the comprehensive risk management system.
| | 第五條 銀行業金融機構開展外包活動應當制定外包的風險管理框架以及相關制度，並將其納入全面風險管理體系。
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Article 6 A banking financial institution shall, under the principle of prudent business operation, formulate its outsourcing strategic development plan, and determine the scope of outsourcing activities compatible to its risk management level.
| | 第六條 銀行業金融機構應當根據審慎經營原則制定其外包戰略發展規劃，確定與其風險管理水平相適宜的外包活動範圍。
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Article 7 Such functions of banking financial institutions as strategic management, core management and internal audit shall not be suitable for outsourcing.
| | 第七條 銀行業金融機構的戰略管理、核心管理以及內部審計等職能不宜外包。
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Chapter II Organizational Structure
| | 第二章 組織結構
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Article 8 The organizational structure of outsourcing management of a banking financial institution shall include its board of directors, senior management and an outsourcing management team.
| | 第八條 銀行業金融機構外包管理的組織架構應當包括董事會、高級管理層及外包管理團隊。
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Article 9 The functions of the board of directors shall mainly include the following:
| | 第九條 董事會的職責主要包括以下方面：
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(1) deliberating and approving the outsourcing strategic development plans;
| | （一）審議批准外包的戰略發展規劃；
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(2) deliberating and approving the outsourcing risk management rules;
| | （二）審議批准外包的風險管理制度；
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(3) deliberating and approving its outsourcing scope and the relevant arrangements;
| | （三）審議批准本機構的外包範圍及相關安排；
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(4) regularly reviewing the relevant reports of its outsourcing activities; and
| | （四）定期審閱本機構外包活動相關報告；
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(5) regularly arranging internal audit so as to ensure that the scope of audit covers all outsourcing arrangements.
| | （五）定期安排內部審計，確保審計範圍涵蓋所有的外包安排。
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Article 10 The functions of the senior management shall mainly include the following:
| | 第十條 高級管理層的職責主要包括以下方面：
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(1) formulating outsourcing strategic development plans;
| | （一）制定外包戰略發展規劃；
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(2) formulating outsourcing risk management policies, operational processes and internal control system;
| | （二）制定外包風險管理的政策、操作流程和內控制度；
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(3) determining the scope of the outsourcing business and the relevant arrangements; and
| | （三）確定外包業務的範圍及相關安排；
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(4) determining the functions of the outsourcing management team and conducting effective supervision on the acts thereof.
| | （四）確定外包管理團隊職責，並對其行為進行有效監督。
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Article 11 The functions of the outsourcing management team shall mainly include the following:
．．．．．． | | 第十一條 外包管理團隊的職責主要包括以下方面：
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