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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

Financial Intelligence Unit

Development and the application of technology

Office of Technical Assistance (OTA)


Building the fiu issues impacting development

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


Building the fiu

Building the FIU

Source: Adapted from FINTRAC (Canada) 2001 Annual Report, Appendix III.

Office of Technical Assistance (OTA)


Building the fiu1

Building the FIU

Office of Technical Assistance (OTA)


Operations and processes

Operations and Processes

  • Workflow

  • Document storage and management

  • Case development

  • Analysis (Operational vs. Strategic)

  • Investigation

  • Collaboration

  • Management

Office of Technical Assistance (OTA)


Operations and processes1

Operations and Processes

“Workflow”

Office of Technical Assistance (OTA)


Systems planning

Systems Planning

  • Technical Assistance (TA)

  • Staffing

  • Systems Design

  • Procurement

  • Proposals & Vendors

  • Software and Hardware

Office of Technical Assistance (OTA)


Financial intelligence unit

Office of Technical Assistance (OTA)


Operations processes

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)


Operations processes1

Operations & Processes

Documentation

  • Document the processes and assign responsibility

Office of Technical Assistance (OTA)


Analytical process components

Analytical ProcessComponents

Information

Sources

Analyst

Analytical

Functions

Analytical

Tools

Analytical

Products

Office of Technical Assistance (OTA)


Analytical process

Analytical Process

Information

Sources

Analyst

Analytical

Functions

Data

Text

Statistics

Graphics

Analytical

Tools

Analytical

Products

Office of Technical Assistance (OTA)


Analytical process1

Analytical Process

Information

Sources

Analyst

Link

Analytical

Functions

Retrieve

Edit

Sort

Digitize

Analytical

Tools

Calculate

Analytical

Products

Office of Technical Assistance (OTA)


Analytical process2

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)


Analytical process3

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)


Data analysis types

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)


It systems infrastructure

IT Systems Infrastructure

LANs, WANs, Intranets, Extranets, Communication links, etc.

Office of Technical Assistance (OTA)


Environment

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)


Network architecture

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)


Lan server s hardware considerations

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)


Lan server functions

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)


Dedicated server s for db

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)


Database architecture

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)


Logical and common data model

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)


Data standards why

Data Standards – why?

Common / Core Data

LargeFIU

Country-specific Data

Small

FIU

Office of Technical Assistance (OTA)


Analytical tools

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)


Workstation pc hardware and software

“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)


Server hardware and software

“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)


Communication considerations

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)


Technical support staff

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)


Maintenance and support of key systems

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)


Training staff

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)


Thank you

Thank You

Joe BognannoEnforcement Advisor

[email protected]

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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