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Financial Intelligence Unit

Financial Intelligence Unit. Development and the application of technology. Building the FIU Issues impacting development. Responsibilities Laws Regulations Mission/Goals Internal operations and processes (“Business Process”) Present and future size of the unit Human resource needs

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Financial Intelligence Unit

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  1. Financial Intelligence Unit Development and the application of technology Office of Technical Assistance (OTA)

  2. Building the FIUIssues impacting development • Responsibilities • Laws • Regulations • Mission/Goals • Internal operations and processes (“Business Process”) • Present and future size of the unit • Human resource needs • Technology needs • Budget

  3. Building the FIU Source: Adapted from FINTRAC (Canada) 2001 Annual Report, Appendix III. Office of Technical Assistance (OTA)

  4. Building the FIU Office of Technical Assistance (OTA)

  5. Operations and Processes • Workflow • Document storage and management • Case development • Analysis (Operational vs. Strategic) • Investigation • Collaboration • Management Office of Technical Assistance (OTA)

  6. Operations and Processes “Workflow” Office of Technical Assistance (OTA)

  7. Systems Planning • Technical Assistance (TA) • Staffing • Systems Design • Procurement • Proposals & Vendors • Software and Hardware Office of Technical Assistance (OTA)

  8. Office of Technical Assistance (OTA)

  9. Operations & Processes What does the FIU do? • Collect data • Analyze information • Receive transaction reports • Currency Transactions filing (CTRs) • Suspicious Activity filing (SARs), etc. • Paper forms and/or electronic filing by Obligated Entities • What is the expected volume of filing? • Compile additional financial records and intelligence • How will you approach document management and storage • Who are the FIU’s clients? • Law Enforcement • Prosecutors • Other FIU’s Office of Technical Assistance (OTA)

  10. Operations & Processes Documentation • Document the processes and assign responsibility Office of Technical Assistance (OTA)

  11. Analytical ProcessComponents Information Sources Analyst Analytical Functions Analytical Tools Analytical Products Office of Technical Assistance (OTA)

  12. Analytical Process Information Sources Analyst Analytical Functions Data Text Statistics Graphics Analytical Tools Analytical Products Office of Technical Assistance (OTA)

  13. Analytical Process Information Sources Analyst Link Analytical Functions Retrieve Edit Sort Digitize Analytical Tools Calculate Analytical Products Office of Technical Assistance (OTA)

  14. Analytical Process Information Sources Analyst Word Processing Analytical Functions Data Bases Graphics Analysis Software Spread Sheet Analytical Tools Statistics Info Analytical Products Office of Technical Assistance (OTA)

  15. Analytical Process Information Sources Analyst Analytical Functions Intelligence Reports Analytical Reports Targeting Reports Threat Assessments Country Studies Cash Flow Analyses Analytical Tools Analytical Products Office of Technical Assistance (OTA)

  16. Data Analysis Types • Association & Link Analysis • Statistical Analysis • Aggregate Analysis (between data sets) • Trends and patterns • Fraud and ML detection analyses Remember that the analysis techniques used by your FIU must be supported by the technology architecture. Office of Technical Assistance (OTA)

  17. IT Systems Infrastructure LANs, WANs, Intranets, Extranets, Communication links, etc. Office of Technical Assistance (OTA)

  18. Environment • Office facility and structure • Physical Security • Computer room requirements • Network and communication wiring • Air conditioning and humidity controls • Etc. Office of Technical Assistance (OTA)

  19. Network Architecture • Local Area Network (LAN) components • Network Hub(s), switches, routers, firewall • Fast Ethernet (100Mb/sec), Cat.5 cable • Plan for: • network management and control • Power requirements • UPS requirements Office of Technical Assistance (OTA)

  20. LAN Server(s) Hardware Considerations • Based on your size of organization and applications supported • Expandable and easy to support in your local environment • Capacity planning / Scalability / Upgradable • Redundancy • Backup and recovery • Security controls Office of Technical Assistance (OTA)

  21. LAN Server Functions What do servers provide? • Centralized storage • Small databases, documents, spreadsheets, etc. • Email server • MSExchange, Unix Sendmail, etc. • Other needed functions • LAN printing, calendar • Redundancy, backup and recovery Office of Technical Assistance (OTA)

  22. Dedicated Server(s)for DB • Server(s) for Database(s) • CTR Database • SAR Database • MIS Database • Others • Considerations • Scalability, compatibility, ease of use • Redundancy, backup and recovery • Systems security and access controls • Power requirements • UPS requirements Office of Technical Assistance (OTA)

  23. Database Architecture • Relational database • SQL based database • Logical Data Model(s) • Strive for standardization & interoperability • Client-side Database access tools • modification, queries, manipulation, etc. (Sybase MS SQL, Oracle, Informix…, etc.) Database Examples Internal DB Server CTR CMIR SAR Other Choose a database software package that best satisfies your requirements and fits your environment. Office of Technical Assistance (OTA)

  24. Logical and Common Data Model Transaction Entity Model Report Request Entity Model Transaction Request Intelligence Entity Model Participant Subject Intelligence Address Identification Office of Technical Assistance (OTA)

  25. Data Standards – why? Common / Core Data LargeFIU Country-specific Data Small FIU Office of Technical Assistance (OTA)

  26. Analytical Tools • Tools for data presentation, visualization, link/association, statistical analysis, data mining, pattern discovery, etc. • Visual Analytics (VisuaLinks, DIG) • SAS (AML Suite) • SPSS (Clementine) • Xanalys (Watson) • i2 (Analyst Notebook, etc.) • NetMap Which tools best meet your FIU needs and environment? Office of Technical Assistance (OTA)

  27. “Workstation/PC” Hardware and Software Example: • Hardware (Compaq, Dell, etc.) • 256 MB Ram • 40 GB hard drive • CD-ROM/DVD • Operating environment • Windows NT, 2000, XP • Internet Connectivity • Network card, modem, WiFi, etc. • Software • Word processor (MSWord) • Email (Outlook, Netscape, …) • Analysis tools • Database application (Access, etc.) • Internet browser (MS Explorer, Netscape, …) • Database client (Sybase, Oracle, MS SQL, …) Office of Technical Assistance (OTA)

  28. “Server” Hardware and Software Example: • Hardware (Sun/etc.) • Sun, DELL, HP, … • Operating environment • Solaris, Unix, Linux, etc. • Network Connectivity • Network card, modem, WiFi, Ethernet, … • Configuration • RAID5, load balancing, … • Software/Server • AntiVirus • Proxy & Domain • Firewall • Email • Web • File • DB • ISA • VPN Office of Technical Assistance (OTA)

  29. Communication Considerations • Access to external systems (Gov’t or Commercial DBs) • Providing access to in-house systems • Dial-up or dedicated access • File transfers to/from FIU • secure email • Data and communication security controls • Authentication, encryption & access audit Office of Technical Assistance (OTA)

  30. Technical Support Staff • Network installation, configuration and support • Systems and communication administration • Database / software development and support • Desktop support Consider current and future technical support staff needs. Office of Technical Assistance (OTA)

  31. Maintenance and Support of Key Systems • Maintenance and service level agreements to support mission critical systems for hardware and software • Type of service(s) required • 24/7 • telephone help line • Upgrades and patches • Vendors on-site or phone support Office of Technical Assistance (OTA)

  32. Training Staff • Technology training • Use of computers & Software • Databases • Internet • other tools • Functional / Analytical training • Financial / Intelligence analyses • Reporting, etc. Office of Technical Assistance (OTA)

  33. Thank You Joe BognannoEnforcement Advisor joe.bognanno@ota-it.us T: +1 571.275.7480F: +1 703.573.6660 Office of Technical Assistance (OTA) US Department of the Treasury Office of Technical Assistance (OTA)

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