SOW Sources Sought - Software development services.pdf

STATEMENT OF WORK

Software development services for Peru’s Financial Intelligence Unit

LIST OF ACRONYMS AND ABBREVIATIONS

Abbreviation Description Official/law denomination in Spanish

AML/CFT

Anti-Money Laundering and Combating the Financing of Terrorism

Anti-lavado de Activos y Combate al Financiamiento del Terrorismo

CC Corporate Coordinator Coordinador Corporativo CE Immigration card Carnet de Extranjería CO Official Contact Contacto Oficial

COOPAC Credit and Savings Cooperatives Not Authorized to Collect Public Funds

Cooperativas de Ahorro y Crédito No Autorizadas a Captar Recursos del Público

CPP Temporary Residence Permit Card Carnet de Permiso Temporal de Permanencia

CS Secret Code Código Secreto

DEI Department of Evaluation and Integrity

Departamento de Evaluación e Integridad

DNI National Identity Document Documenta Nacional de Identidad EC Collaborating Entity Entidad Colaboradora

EIRL Individual Limited Liability Company Empresa Individual de Responsabilidad Limitada

FIU Financial Intelligence Unit Unidad de Inteligencia Financiera GE Economic Group Grupo Económico

GTI Information Technology Management Unit

Gerencia de Tecnología de la Información

OC Compliance Officer Oficial de Cumplimiento OCA Alternate Compliance Officer Oficial de Cumplimiento Alterno

OCC Corporate Compliance Officer Oficial de Cumplimiento Corporativo

OCCA Alternate Corporate Compliance Officer

Oficial de Cumplimiento Corporativo Alterno

OE Liaison Officer Oficial de Enlace OS Supervisory Body Organismo Supervisor OSFL Non-Profit Organizations Organizaciones Sin Fines de Lucro Pas Passport Pasaporte PBI Product Backlog Items Product Backlog Items PJ Legal Entity Persona Jurídica

PLAFT Prevention of Money Laundering and Financing of Terrorism

Prevención del Lavado de Activos y del Financiamiento del Terrorismo

PN Natural Person Persona Natural PO Product Owner Product Owner

SOW - Software development service of SIGSO and SISDEL

PRICOS Main Taxpayers Principales Contribuyentes

PTP Temporary Residence Permit Permiso Temporal de Permanencia

RL Legal Representative Representante Legal RPA Robotic Process Automation Robotic Process Automation RUC Unique Taxpayer Registry Registro Único de Contribuyente

SBS

Superintendence of Banking, Insurance and Private Pensions Funds

Superintendencia de Banca, Seguros y Administradoras Privadas de Fondos de Pensiones

SIGSO The Comprehensive Management System for Reporting Entities

Sistema Integral de Gestión de Sujetos Obligados

SISDEL The Online Compliance Officer Appointment System

Sistema de Designación en Línea de Oficial de Cumplimiento

SISGED Document Management System Sistema de Gestión Documental

SISNE Electronic Notification System Sistema de Notificación Electrónica

SO Reporting Entity Sujeto Obligado STD Documentary Processing System Sistema de Trámite Documentario

SUNARP National Superintendency of Public Registries

Superintendencia Nacional de los Registros Públicos

SUNAT

Superintendencia Nacional de Aduanas y de Administración Tributaria

National Superintendence of Customs and Tax Administration

TSO Type of Obligated Subject Tipo de Sujeto Obligado

1. REQUIRED SERVICE

Software development services for two (2) systems of the Peru Superintendency of Banking, Insurance and Private Pension Funds’ (SBS) Financial Intelligence Unit (FIU):

• Comprehensive Management System for Reporting Entities (SIGSO); and

• Online Compliance Officer Appointment System (SISDEL) systems.

2. BACKGROUND

The Peru FIU is a specialized unit in anti-money laundering and combating the financing of terrorism (AML/CFT). The FIU receives, analyzes, processes, evaluates, and disseminates information pertaining to potential money laundering, terrorist financing, and other illicit financial activity. It provides guidance to reporting entities to assist in the implementation of their prevention systems to detect and report suspicious transactions.

Individuals and legal entities engaged in any of the activities listed in Article 3 of Law No.

29038, modified by Article 3 of Legislative Decree No. 1249, have the status of obliged entities (SO). Article 3 of Law No. 27693 describes all functions and faculties the FIU performs, to include requesting information and documents from any governmental entity and SOs.

The FIU’s Department of Evaluation and Integrity (DEI) evaluates requests from SOs, compliance officers (OC), and liaison officers (OE) and updates its registry based on the requirements and provisions established in AML/CFT laws and sectoral regulations.

The FIU’s Information Technology Management unit (GTI), through its Systems Development Department, implements and maintains the SBS’ information systems to ensure the functionality and continuity of its units’ projects and requirements. Currently, the FIU is supported by two information systems:

• The Comprehensive Management System for Reporting Entities (SIGSO): This system was developed in 2012 and requires updates in accordance with current PLAFT regulations.

The main function of the system is the registration of SOs, supervisory bodies (OS), and OCs who play a key role in reporting suspected money laundering. This database also contains information on economic groups (GE), corporate compliance officers (OCC), collaborating entities (EC), OEs, and official contacts (CO) who interact with the FIU. The ECs are the supervisory bodies or other bodies with which the FIU exchanges information on ML.

• The Online Compliance Officer Appointment System (SISDEL): This system was developed in 2017 and requires updates in accordance with current PLAFT regulations. The system allows SOs to request new designations, changes, and/or removals and de-registrations of OCCs, COs, and OS, and create GEs in the FIU’s electronic records.

3. OBJECTIVES OF THE SERVICE

The objective is to contract software development services which will allow the FIU to develop and maintain the SIGSO and the SISDEL systems to meet current PLAFT requirements as described in Annex A (“SIGSO – Software Development Requirements”) and Annex B “(SISDEL

– Software Development Requirements”).

3.1. SCOPE AND DESCRIPTION OF THE SERVICE

The requested software development services use an Agile development approach to implementing projects and system requirements.

There is no established minimum number of hours to be executed, however, there is sufficient work requirements for the Scrum teams assigned to the service to be permanently busy throughout the period of performance.

The Contractor must meet the requirements in Annex A (“SIGSO – Software Development Requirements”) and in Annex B (“SISDEL – Software Development Requirements”).

3.2. CONFIDENTIALITY AND ASSIGNMENT OF RIGHTS

3.2.1. CONFIDENTIALITY

The Contractor will receive access to SBS information of a strictly confidential nature that must be used only for the purposes of executing the service. Therefore, the

Contractor is obliged to maintain total secrecy and confidentiality regarding the data and information of any type that the SBS provides or to which it has access due to the provision and development of the service.

Additionally, the Contractor is obliged to instruct its officials or personnel will execute the service regarding the obligation to maintain total secrecy and confidentiality.

3.2.2. INTELECTUAL PROPERTY

The Contractor, due to the provision of the service, will generate deliverables (such as the source code), inventions and/or creations, among others, which will originate as part of the service and which in some cases will be derived from procedures, methods, installations, experiments, investigation, or the use of means provided by the SBS.

In this context, all tangible and intangible assets produced as a result of the execution of this contract will be transferred to the SBS exclusively and at no additional cost, and the SBS may benefit from their use in other activities due to the nature of their functions, the same as in the event of completion or termination of this contract, must remain in the possession of the SBS, whether in printed or magnetic media.

3.3. PERIOD OF PERFORMANCE

Estimated total duration: 300 calendar days.

SIGSO software development service:

• Estimated start date: 2 calendar days after contract is signed.

• Estimated duration: 210 calendar days after start date.

SISDEL software development service

• Estimated start date: 98 days after SIGSO start date (*).

• Estimated duration: 210 days after SISDEL start date.

(*) Once the Contractor begins the SIGSO development service, the GTI requires an estimated 98 calendar days to work on other dependent internal support systems before the Contractor can start the SISDEL development service.