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

Office of Technical Assistance (OTA)2 Building the FIU Issues impacting technical requirements Laws Regulations Mission/Goals Internal operations and processes (Business Process) Present and future size of the unit Human resource needs Technology budget

Office of Technical Assistance (OTA)3 Operations & Processes 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 What does the FIU do?

Office of Technical Assistance (OTA)4 Analytical Process Components Analyst Analytical Tools Analytical Tools Analytical Functions Analytical Functions Analytical Products Analytical Products Information Sources Information Sources

Office of Technical Assistance (OTA)5 Analytical Process Data Text Statistics Graphics Analyst Analytical Tools Analytical Tools Analytical Functions Analytical Functions Analytical Products Analytical Products Information Sources Information Sources

Office of Technical Assistance (OTA)6 Retrieve Link SortEdit Calculate Digitize Analytical Process Analyst Analytical Tools Analytical Tools Analytical Functions Analytical Functions Analytical Products Analytical Products Information Sources Information Sources

Office of Technical Assistance (OTA)7 Word Processing Spread Sheet Graphics Data Bases Analysis Software Statistics Info Analytical Process Analyst Analytical Tools Analytical Tools Analytical Functions Analytical Functions Analytical Products Analytical Products Information Sources Information Sources

Office of Technical Assistance (OTA)8 Analytical Process Analytical Tools Analytical Tools Analytical Functions Analytical Functions Analytical Products Analytical Products Information Sources Information Sources Analyst Intelligence Reports Analytical Reports Targeting Reports Threat Assessments Country Studies Cash Flow Analyses

Office of Technical Assistance (OTA)9 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)10 IT Systems Infrastructure LANs, WANs, Intranets, Extranets, Communication links, etc.

Office of Technical Assistance (OTA)11 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)12 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)13 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)14 LAN Server Functions Centralized storage –Small databases, documents, spreadsheets, etc. server –MSExchange, Unix Sendmail, etc. Other needed functions –LAN printing, calendar –Redundancy, backup and recovery What do servers provide?

Office of Technical Assistance (OTA)15 Dedicated Server(s) 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)16 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 CMIR SAR Other CTR Choose a database software package that best satisfies your requirements and fits your environment.

Office of Technical Assistance (OTA)17 Logical and Common Data Model Report Transaction Participant Address Request Subject Identification Intelligence Transaction Entity Model Request Entity Model Intelligence Entity Model

Office of Technical Assistance (OTA)18 Small FIU Data Standards – why? Country-specific Data Common / Core Data Large FIU

Office of Technical Assistance (OTA)19 Analytical Tools Tools for data presentation, visualization, link/association, statistical analysis, data mining, pattern discovery, etc. –Visual Analytics (VisuaLinks) –SAS –SPSS (Clementine) –Xanalys (Watson) –i2 (Analyst Notebook, etc.) –NetMap Which tools best meet your FIU needs and environment?

Office of Technical Assistance (OTA)20 Workstations 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) (MSOutlook, Netscape, …) Analysis tools Database application (Access, etc.) Internet browser (MS Explorer, Netscape, …) Database client (Sybase, Oracle, MS SQL, …)

Office of Technical Assistance (OTA)21 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 Data and communication security controls –Authentication, encryption & access audit

Office of Technical Assistance (OTA)22 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)23 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)24 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)25 Thank You Joe Bognanno Enforcement Advisor T: F: Office of Technical Assistance (OTA) US Department of the Treasury