Sberbank creates the IT system of control of a conflict of interest at employees and clients

On June 27 Sberbank of the Russian Federation announced an open competition at the choice of software provider, rendering implementation services and standard technical support for an automated system of Conflict Room. Information on it is placed on the portal of public procurements.^[1]

Sberbank is going to create a conflict management system of interests for 81 million rubles

Purchase purpose

Creation of a conflict management system of interests is performed for the purpose of reduction of activity of bank in compliance to requirements of the Russian and international legislation. The conflict of interest is understood as a direct or indirect contradiction between valuable and other interests of bank and/or their employees and/or one and more clients as a result of which actions of one party can have adverse effects for other party. The contradiction of interests arising during negotiations on commercial conditions within normal business activities which conditions of implementation are opened or is not considered a conflict of interest had to be obviously known to the party of negotiations.

The purpose of conflict management of interests is timely identification and settlement of the conflicts, prevention and warning of situations when actions of bank or have adverse effects (losses, short-reception arrived, decrease in market value, and others) for the client and, respectively, inadequate benefits for bank, the employee, other client, or any other third party concerning action of bank.

Purchase subject

Subject of purchase are the rights to the software based on which the Conflict Room system, works on implementation and setup and also services in standard technical support of the licensed software will be implemented.

The license should be provided for 50 users from among the staff of Management compliance (control of unlawful activity) of bank having access to all functions of a system for 150 users from among the investment banking divisions of bank having access to functions of the module IB Deal Management and also for 15,000 users from among the investment banking divisions having access to functions of the module PAD.

Besides, according to technical project conditions, the unlimited number of users should have an access to a system from among all employees of the bank having access to functionality of formation of requests in the field of OBI, Gifts and requests in a free format (such as declaring of gifts, declaring of existence of interest in the third parties, declaring of access to non-public information of the issuer), to viewing personal compliance information, to sending and obtaining private messages, etc.

A system should give an opportunity of creation and modification of cases. Cases is the entities describing the complex activities initiated by different methods, and intended for tracking of accomplishment of specific objectives.

The mechanism of cases is implementation of functionality of tracking of tasks (task tracking). Each case is created for initiation and control of accomplishment of one problem of a certain type (for example, the PAD case will be created in case of the address of the employee for opening of the personal broker account). Depending on type, cases can have a different set of attributes and different to a vorkflo.

A system should allow to set actions of additional types, for example, accomplishment of any business logic written in scripting language.

Project cost

The initial cost of the agreement on project implementation is 81.3 million rubles. Should be included all rights to all software components in the price, the tender which is a subject and also standard technical support within 12 months from the date of assignment of rights on software.

The annual cost of services in technical support (maintenance) of software should not exceed 20% excluding VAT of value of the rights on software.

Submission due dates of requests and date of summing up

Applications for participation in an open competition are accepted till July 18, 2016. Consideration of requests is planned for July 19, summing up – for October 5, 2016.

Notes