2 UNODC IT SOLUTIONS

3 UNODC SOFTWARE SOLUTIONS Designed as a modular system to fit the needs of any FIU irrespective of size From a single computer with a few thousand processes up to 500 million processes over a 5 year period irrespective of file size Processes and analyzes reports on: - Suspicious transactions - Financial transactions or events – of any type - Threshold, mandated, list or alert-based reports – CFT, IFT, EFT, etc Fully electronic data collection and dissemination from any source such as: tax, law enforcement records, immigration service (passenger movement records), property registrar, vehicle registrar, etc….

4 UNODC SOFTWARE SOLUTIONS COMPONENTS

5 The data collection component provides secure electronic delivery of reports (UTRs, STRs, CTRs and EFTRs from reporting entities using (SSL 512 bit encryption). Reports are either submitted offline ( attachment, CD, HD, etc.), online (through direct upload of XML data messages) or through filling in and submitting online forms on the FIU’s secure website. If reports are submitted to the FIU on paper, these can be manually entered by the FIU.

6 UNODC SOFTWARE SOLUTIONS Basic report information – who submitted it, reference #, etc.

7 UNODC SOFTWARE SOLUTIONS Data evaluation and clean up automatically checks incoming electronic data for completeness and accuracy. Checks for valid XML All required fields are present Data types are correct Ensures reporting entities report in correct format from day one

8 UNODC SOFTWARE SOLUTIONS

9 This allows users to enter requests for matches on a wide variety of criteria: Name Address Country Account number, etc. After the query is submitted the system returns a list of all entities matching the requested criteria and links them, where links exist.

10 UNODC SOFTWARE SOLUTIONS Statistical reports can be automatically generated or ad hoc statistics can be obtained from the system to prepare reports on all activities carried out within the goAML application. Many different types of reports can be produced. Reports produced can contain either general or very specific statistics of the FIU’s performance overall or in specific areas of activity.

11 UNODC SOFTWARE SOLUTIONS A wide variety of analytical tools and views that allow analysts to look at data from numerous different angles is provided. Sorting, filtering, and pivoting are integrated allowing analysts to reveal patterns, anomalies, key variables, relationships, etc., Very feature-rich covering the contents of all reports and any other data held within the FIU’s database.

12 UNODC SOFTWARE SOLUTIONS Stores profiling data that is established by the system monitoring and recording typical transactional behaviors of persons, entities, accounts, occupational or business classes or groups, geographical areas, etc.

13 UNODC SOFTWARE SOLUTIONS Rules-based analysis is structured into three parts. The rules engine continuously scans the data in the goAML database looking for data that matches certain circumstances (rules) that have been deemed by the FIU as worthy of specific attention. The rules editor is a user interface that allows rules to be written and submitted to the rules engine by anyone in the FIU authorized to do so. The alert manager is the process by which alerts triggered by the rules engine are managed and prioritized

14 UNODC SOFTWARE SOLUTIONS The workflow management system provides the ability for FIU management to set and maintain system-driven sequenced steps in the process of information management based on the FIU’s standard operating procedures. This component effectively drives the work of the FIU as it relates to receipt and management of information and the development and dissemination of intelligence. The Workflow System is fully configurable so that the workflow process can be set precisely to the needs and processes of the user FIU. The Task assignment and tracking component is a management tool that allows managers and supervisors to allocate tasks with or without pre-set time limits and to then monitor and track the progress of that task or tasks as they progress through the workflow cycle. This component also provides management with valuable statistical information that measures the performance of the workflow process itself and of the various FIU personnel working within it.

15 UNODC SOFTWARE SOLUTIONS The document management component allows the capture of documents through electronic transfer and/or scanning and optical character recognition (OCR). Documents can be recorded and filed according to a wide variety of document characteristics. The practical implication of this is that the entire content of any document is searchable and retrievable. This is the first step in the escalation process applied in the course of the internal intelligence cycle of the FIU. Once an analyst has compiled all initial information, analyzed it and a decision has been made that the matter under enquiry, whether originating from mandated reports or other sources, is worthy of further and closer attention he/she can create an intelligence file within the goAML system.

16 UNODC SOFTWARE SOLUTIONS Data acquisition/integration from external sources: goAML provides a variety of options whereby the FIU can request and collect data from any external source. The range of options can vary from a very high tech such as a fully online data acquisition and matching system to a letter delivered by post or by hand. Intelligence report writer tool: The intelligence report writer tool is a fully integrated component that usually forms the final stage in the analytical process and provides a template and process for preparing the final intelligence package for dissemination to the FIU’s end user agencies.

17 UNODC SOFTWARE SOLUTIONS Fully integrated Runs continuously and charts all analysis processes undertaken by the analyst Designed specifically for FIU use to chart transactional flows Shows the connections of the parties to the transactions (persons, entities, accounts, etc.)

18 UNODC SOFTWARE SOLUTIONS goAML - Security Username and password required to access applications. Access can be granted and revoked per: - User - Screen - Certain actions like copy, export, etc. Access to screens and data is logged Any modification to data by a user is logged Data partially encrypted in the database - Encryption level and extent at the discretion of the user

19 UNODC SOFTWARE SOLUTIONS goAML - Security Access to the system generally or to any part of it by UNODC is at the discretion of the user – the user must “open the gate” and can supervise all activity UNODC does not hold private keys – cannot decipher encrypted data Database and system tools installed on the user’s premises UNODC has no independent access

20 UNODC I SOFTWARE SOLUTIONS goAML WEB – Customisable Web Application

21 UNODC SOFTWARE SOLUTIONS Searching for an existing CTR/STR

22 UNODC SOFTWARE SOLUTIONS Data Entry: Basic report information – who submitted it, reference # etc.

23 UNODC SOFTWARE SOLUTIONS Viewing transactions linked to the report

24 UNODC SOFTWARE SOLUTIONS Viewing transaction details

25 UNODC SOFTWARE SOLUTIONS UNITED NATIONS OFFICE ON DRUGS AND CRIME INFORMATION TECHNOLOGY SERVICE

26 UNODC SOFTWARE SOLUTIONS Antonio Maria Costa Executive Director, UNODC “New ITS software products being utilised by Member States are contributing significantly to drug control, statistical reporting and monitoring, criminal justice reform and countering money laundering. ITS is committed to extending the productivity gains achieved in UNODC internal work processes to the implementation of the drugs and crime conventions and mandates.”

27 UNODC SOFTWARE SOLUTIONS The Information Technology Service Specialises in providing software solutions to the UN and Member States Currently ITS-developed applications are operational in: -55 UNODC locations worldwide -Many other UN locations, e.g., 7 Office of Internal Oversight (OIOS) sites -47 Member States

28 UNODC Software In Use

29 UNODC SOFTWARE SOLUTIONS Applications Development All applications are designed, developed and supported in-house Of 138 ITS personnel, 45 are full-time application developers A full-time Quality Assurance Team (QAT) ensures software quality In the last 7 years, over 300 applications have been developed and deployed with no failures

30 UNODC SOFTWARE SOLUTIONS Projects ITS is project oriented Largest project US$16 million funded by the European Commission in Nigeria -49 personnel (38 in Nigeria) -Green-field sub-projects in 17 sites including electricity, VSAT communications, data centres, PC’s, etc. -Administrative support applications -Substantive applications (e.g., goAML and goCASE)

31 UNODC SOFTWARE SOLUTIONS, MEMBER STATES National Drug Control System (NDS) -Designed, developed and supported by ITS -Assists Member States in complying with all UN drug control conventions -Facilitates the control of 212 substances, more than 800 chemical forms of these substances, and thousands of medical products -For example, facilitates monitoring of 88% of worldwide licit production of opium

32 UNODC SOFTWARE SOLUTIONS, MEMBER STATES National Drug Control System (NDS) -In operation for 10 years -Version 6 deployed, version 7 under development -Operational in 42 countries -Multilingual (5 languages)

33 UNODC SOFTWARE SOLUTIONS, MEMBER STATES The Pre-Export Notification System (PEN Online) - Designed, developed and supported by ITS - Enables on-line exchange of information between Member States on shipments of chemicals used in the manufacture of illegal addictive drugs, e.g., heroin, cocaine - Hosted by ITS in Vienna - In use by 83 Member States (800 individual sites) - Handles 87% of global shipment notifications

34 UNODC SOFTWARE SOLUTIONS, MEMBER STATES The Government Office (“go”) Applications Suite - Designed, developed and supported by ITS - Available now: goAML: a comprehensive integrated solution to specifically address the spectrum of requirements of a Financial Intelligence Unit (FIU) goCASE: a case-development system that addresses requirements of authorities in the intelligence and criminal justice arenas - In planning: goATR (assets tracking and recovery) and goINTEL (intelligence sharing)

UNODC IT SOLUTIONS THANK YOU