goAML User`s Guide

Transcription

goAML User`s Guide

goAML User Guide
Prepared By:
Information Technology Service (ITS)
Last Edited:
17/10/2013 DM/ITS/QAT
FOREWORD......................................................................................................................................................... 6
1
GETTING STARTED ................................................................................................................................. 7
1.1
1.2
2
THE USER INTERFACE........................................................................................................................... 9
2.1
2.2
2.3
2.4
2.5
2.6
3
KEYBOARD SHORTCUTS ...................................................................................................................... 13
DATA FIELDS ...................................................................................................................................... 14
Text field ........................................................................................................................................ 14
Date field ....................................................................................................................................... 14
Drop-down boxes .......................................................................................................................... 14
Checkbox ....................................................................................................................................... 15
Radio button .................................................................................................................................. 15
ANALYST WORKSPACES ...................................................................................................................... 15
Save new workspace ...................................................................................................................... 15
Overwrite current workspace ........................................................................................................ 16
WORKFLOW ASSIGNMENTS ................................................................................................................. 16
View workflow assignments list ..................................................................................................... 16
RISK SCORE......................................................................................................................................... 18
GENERATE DOCUMENTS ..................................................................................................................... 19
AUDIT TRAIL ....................................................................................................................................... 20
GRID PROPERTIES ................................................................................................................................ 22
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10
4.11
4.12
4.13
4.14
4.15
4.16
4.17
4.18
4.19
5
THE MAIN MENU ................................................................................................................................. 10
THE TOOLBAR ..................................................................................................................................... 10
THE QUICK-ACCESS BAR ..................................................................................................................... 10
THE STATUS BAR................................................................................................................................. 11
THE CONTEXT MENU ........................................................................................................................... 11
THE WORKING AREA ........................................................................................................................... 12
GENERAL FUNCTIONS ......................................................................................................................... 13
3.1
3.2
3.2.1
3.2.2
3.2.3
3.2.4
3.2.5
3.3
3.3.1
3.3.2
3.4
3.4.1
3.5
3.6
3.7
4
LOGIN TO GOAML ................................................................................................................................ 7
CHANGE PASSWORD ............................................................................................................................. 7
THE TOOLBAR ..................................................................................................................................... 22
REPORT SCREENS ................................................................................................................................ 22
NAVIGATION ....................................................................................................................................... 23
SORTING ............................................................................................................................................. 24
GROUPING .......................................................................................................................................... 24
CLEAR FILTER ..................................................................................................................................... 25
REORGANIZING COLUMNS: DRAG-AND-DROP ...................................................................................... 26
BEST FIT ............................................................................................................................................. 26
ANCHORING A COLUMN ...................................................................................................................... 27
DYNAMIC FILTERING .......................................................................................................................... 27
SAVE / LOAD LAYOUT ......................................................................................................................... 29
COPYING ............................................................................................................................................. 29
SET OPERATIONS ................................................................................................................................. 30
PIVOT TABLE....................................................................................................................................... 31
EXPORT TO EXCEL .............................................................................................................................. 33
EXPORT / IMPORT XML ...................................................................................................................... 33
PREVIEW GRID DATA........................................................................................................................... 34
EXPORT TO PDF ................................................................................................................................. 34
PAGING ............................................................................................................................................... 34
REPORTS .................................................................................................................................................. 36
5.1
5.1.1
5.1.2
5.1.3
5.2
5.3
5.4
5.4.1
XML REPORT UPLOAD ........................................................................................................................ 36
Handling reports uploaded via the Web interface ......................................................................... 37
Uploading reports via the XML report upload module ................................................................. 37
Pending approval – report view .................................................................................................... 39
LOOKUP REPORTS ............................................................................................................................... 40
VIEW / EDIT REPORT ........................................................................................................................... 42
ADD NEW REPORT ............................................................................................................................... 42
Report cover fields ........................................................................................................................ 43
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5.4.2
5.4.3
5.4.4
5.4.5
5.4.6
5.4.7
5.4.8
5.4.9
5.4.10
6
Workflow fields.............................................................................................................................. 44
Journal .......................................................................................................................................... 45
Transaction info ............................................................................................................................ 45
Involved Persons, Entities and Accounts (not available for CTR) ................................................ 46
Report attachments: ...................................................................................................................... 47
Rejected transactions .................................................................................................................... 47
Diagrams ....................................................................................................................................... 47
Escalated to ................................................................................................................................... 48
Document requests ........................................................................................................................ 48
ANALYSIS ................................................................................................................................................. 49
6.1
ANALYSIS – PERSON ........................................................................................................................... 49
6.1.1
Person context menu ..................................................................................................................... 51
6.1.2
Person Full Details ....................................................................................................................... 51
6.1.3
Person Transactions...................................................................................................................... 57
6.1.4
Analysis – Person – Private Account Holders .............................................................................. 57
6.1.5
Analysis – Person – Duplicated IDs.............................................................................................. 59
6.1.6
Analysis – Person – Person transactions ...................................................................................... 59
6.1.7
Analysis – Person – Person Volume & Frequency........................................................................ 63
6.1.8
Analysis – Person – Person to Person Transactions ..................................................................... 64
6.1.9
Analysis – Person – Top Account Holders .................................................................................... 65
6.1.10 Analysis – Person – Top Referees – Persons ................................................................................ 65
6.1.11 Analysis – Person – Top Referees – Accounts............................................................................... 66
6.2
ANALYSIS – ENTITY ........................................................................................................................... 67
6.2.1
Entity lookup ................................................................................................................................. 67
6.2.2
Entity context menu ....................................................................................................................... 68
6.2.3
Entity full details ........................................................................................................................... 68
6.2.4
Entity Transactions ....................................................................................................................... 72
6.2.5
Analysis – Entity – Business Account Holders .............................................................................. 72
6.2.6
Analysis – Entity – Entity Transactions......................................................................................... 73
6.2.7
Analysis – Entity – Entity Volume and Frequency ........................................................................ 74
6.3
ANALYSIS – ACCOUNT ....................................................................................................................... 75
6.3.1
Account lookup .............................................................................................................................. 75
6.3.2
Account context menu.................................................................................................................... 77
6.3.3
Copy as Link .................................................................................................................................. 77
6.3.4
Show Private Account(s) Holders ................................................................................................. 77
6.3.5
Show Primary Account Holder Details ......................................................................................... 77
6.3.6
Account Full Details...................................................................................................................... 77
6.3.7
Account Transactions .................................................................................................................... 78
6.3.8
Volume and Frequency over Time................................................................................................. 78
6.3.9
Submitted Reports for Transaction................................................................................................ 79
6.3.10 Escalate Transaction / Escalate Report ........................................................................................ 79
6.3.11 Edit Transaction Details ............................................................................................................... 79
6.3.12 Export Original XMLs ................................................................................................................... 80
6.3.13 Linked Reports .............................................................................................................................. 80
6.3.14 Generate Documents ..................................................................................................................... 80
6.3.15 Diagram Selected Transactions .................................................................................................... 80
6.3.16 Create Diagram ............................................................................................................................ 81
6.3.17 Add to Virtual Object .................................................................................................................... 81
6.3.18 Add all related objects to Virtual Object ....................................................................................... 81
6.3.19 Show Virtual Object(s) .................................................................................................................. 81
6.3.20 Analysis – Account – Same Source & Destination ........................................................................ 82
6.3.21 Analysis – Account – Account Velocity ......................................................................................... 83
6.3.22 Analysis – Account – Account Volume & Frequency .................................................................... 84
6.3.23 Analysis – Account – Account Volume and Frequency by Occupation ......................................... 85
6.3.24 Analysis – Account – Account Volume & Frequency by Business ................................................ 86
6.3.25 Analysis – Account – Single Account Transactions....................................................................... 86
6.3.26 Analysis – Account – Account Transactions (multiple accounts) .................................................. 87
6.4
ANALYSIS – DEMOGRAPHIC ............................................................................................................... 87
6.4.1
Analysis – Demographic – Person/Account by Address................................................................ 87
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6.4.2
Analysis – Demographic – Duplicated Phones ............................................................................. 88
6.4.3
Analysis – Demographic – Duplicated Addresses ......................................................................... 89
6.4.4
Analysis – Demographic –Volume & Frequency by State............................................................. 89
6.4.5
Analysis – Demographic – Volume and Frequency by City .......................................................... 90
6.4.6
Analysis – Demographic – International Transactions ................................................................. 91
6.5
ANALYSIS – VIRTUAL OBJECT ............................................................................................................ 91
6.5.1
Analysis – Virtual Object Transactions ......................................................................................... 92
7
CATALOGUE SEARCH .......................................................................................................................... 94
7.1
7.1.1
7.2
7.2.1
7.3
7.3.1
7.4
7.5
7.6
7.7
7.8
7.9
7.10
7.11
7.12
7.13
8
BUSINESS PROCESSES........................................................................................................................ 116
8.1
8.2
8.2.1
8.2.2
8.2.3
8.2.4
8.2.5
8.2.6
8.3
8.4
8.5
8.5.1
8.5.2
8.5.3
8.6
8.6.1
8.6.2
8.6.3
9
ESCALATE TRANSACTION ................................................................................................................. 116
CASE MANAGEMENT ........................................................................................................................ 121
Find Cases ................................................................................................................................... 121
New / Edit Case ........................................................................................................................... 123
The Case File .............................................................................................................................. 123
Case workflow ............................................................................................................................. 124
Intelligence reports: .................................................................................................................... 132
Diagrams: ................................................................................................................................... 134
CASE PROPOSAL ............................................................................................................................... 134
REQUEST FOR INFORMATION............................................................................................................. 135
MANAGE OPERATIONS...................................................................................................................... 136
Find Operation ............................................................................................................................ 137
Create a new Operation .............................................................................................................. 137
New / Edit Operation................................................................................................................... 138
MANAGE PROJECTS .......................................................................................................................... 139
Find Projects ............................................................................................................................... 139
Create a New Project .................................................................................................................. 140
View / Edit a project .................................................................................................................... 141
NEW SUBJECTS .................................................................................................................................... 143
9.1
9.2
9.3
9.4
10
CATALOGUE SEARCH – ACCOUNT LOOKUP ........................................................................................ 94
Merge Linked Accounts ................................................................................................................. 95
CATALOGUE SEARCH – PERSON LOOKUP............................................................................................ 97
Merge Linked Persons ................................................................................................................... 99
CATALOGUE SEARCH – ENTITY LOOKUP .......................................................................................... 101
Merge Linked Entities ................................................................................................................. 102
CATALOGUE SEARCH – ADDRESS LOOKUP ....................................................................................... 104
CATALOGUE SEARCH – TEXT LOOKUP.............................................................................................. 106
CATALOGUE SEARCH – QUICK FINDER ............................................................................................. 107
CATALOGUE SEARCH – VIRTUAL OBJECT LOOKUP ........................................................................... 107
CATALOGUE SEARCH – TRANSACTION LOOKUP ............................................................................... 109
CATALOGUE SEARCH – REPORT LOOKUP ......................................................................................... 110
CATALOGUE SEARCH – INTELLIGENCE REPORT LOOKUP ................................................................. 112
CATALOGUE SEARCH – TEMPLATES LOOKUP ................................................................................... 113
CATALOGUE SEARCH – JOURNAL LOOKUP ....................................................................................... 114
DISSEMINATED TRANSACTIONS LOOKUP .......................................................................................... 115
NEW SUBJECTS: NEW ACCOUNT ....................................................................................................... 143
NEW SUBJECTS: NEW PERSON .......................................................................................................... 144
NEW SUBJECTS: NEW ENTITY ........................................................................................................... 144
NEW SUBJECTS: NEW VIRTUAL OBJECT ........................................................................................... 145
INTEL....................................................................................................................................................... 148
10.1
PROFILES (QUERIES) ......................................................................................................................... 148
10.1.1 View existing queries ................................................................................................................... 148
10.1.2 Create a new query ..................................................................................................................... 149
10.1.3 Edit query .................................................................................................................................... 150
10.1.4 Create a new query from an existing one .................................................................................... 150
10.1.5 Delete a query ............................................................................................................................. 150
10.1.6 Get transactions or parties .......................................................................................................... 151
10.2
CREATE DIAGRAM ............................................................................................................................ 151
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10.2.1 Create a new diagram for a goAML object ................................................................................. 152
10.2.2 Add existing objects ..................................................................................................................... 152
10.2.3 Add new objects........................................................................................................................... 153
10.2.4 Change object positions .............................................................................................................. 153
10.2.5 Connect objects ........................................................................................................................... 153
10.2.6 Delete objects and connectors ..................................................................................................... 154
10.2.7 The Toolbar functions ................................................................................................................. 154
10.2.8 Data analysis functions ............................................................................................................... 158
10.3
MATCHING (MATCH DEFINITIONS/EXECUTIONS) ............................................................................. 158
10.3.1 Define Data Matcher ................................................................................................................... 159
10.3.2 Create New Matcher ................................................................................................................... 159
10.3.3 Matching an Importer ................................................................................................................. 160
10.3.4 Matching a watch list .................................................................................................................. 161
10.3.5 Edit Matcher................................................................................................................................ 162
10.3.6 Delete Matcher ............................................................................................................................ 162
10.3.7 Schedule and Run Matcher ......................................................................................................... 163
10.3.8 Scheduled match runs.................................................................................................................. 164
10.4
MESSAGE BOARD ............................................................................................................................. 167
10.4.1 Read messages ............................................................................................................................ 168
10.4.2 Reply to messages ....................................................................................................................... 169
10.4.3 Create messages .......................................................................................................................... 171
10.4.4 Delete messages .......................................................................................................................... 172
10.4.5 Context-Menu .............................................................................................................................. 172
10.4.6 Search Functionality ................................................................................................................... 172
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Foreword
Foreword
goAML is an integrated and modular system designed to fit the needs of any Financial
Intelligence Unit. The goAML solution is executed in the following steps – collection,
collation, analysis (rule-based, risk score and profiling), case workflow and intelligence
dissemination. The data sent by the financial institutions goes to a common database and
becomes accessible to the FIU compliance and analysis staff. The goAML system then
permits data for analysis. goAML processes and analyzes high volumes of reports on
suspicious transactions or cash transactions of any kind. The reports are fully populated with
all the information needed for analysis to begin, from full customer details through to
transactional details for multiple time frames. The system also permits electronic data
collection and dissemination from other Sources such as Tax and Law Enforcement
authorities, Property Registrars, Vehicle Registrars etc.
At the click of a button, the investigator can drill down through the information to
build a detailed picture of events. The fully automated profiling creates a base line for
persons, occupation groups, business types, accounts etc. The link analysis functionality aids
in recognizing patterns and identifying common links across cases, customers, accounts,
transactions and various other parameters. The graphic representations of these links are easy
to understand showing relationships across different parameters.
The analysis feature of goAML provides tactical and strategic support to investigative
and analytical teams and utilises highly sophisticated but user-friendly reporting features to
chart high volumes of data. The rule-based analysis of the goAML application enables the
design of rules with dynamic risk-scores; continuous scanning of data ensures that reporting
transactions fit the patterns.
A security model that specifies what kind of access rights each user has (which
implies audit trail and full logging of every transaction done by each user) drives the
system. goAML offers other versatile options such as dynamic user filtering, grouping of
data, export data to Excel, watch list integration, analyst workspace and alert management.
The system supports a wide range of data volume depending on the reporting mandate of
individual jurisdictions. In a nutshell, goAML is an ideal anti-money laundering system that
offers an integration solution and replaces several disparate solutions.
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1.0 Getting Started
1
Getting Started
1.1
Login to goAML
Start the application either via the Windows Start menu (ProgramsgoAML) or by doubleclicking on the goAML icon ( ) on your desktop. The login window appears:
You can select the type of authentication that you want to enable on login for a new user
under System Administration > User Maintenance. You can either use goAML or an
Active Directory user as an authentication method. If you have chosen the Active Directory
authentication, you can select the Auto-login check-box.
Enter your User Name and Password into the respective fields.
When launching goAML for the first time (or if the database server has changed), click
Server Info and enter the server information as provided by your goAML or system
administrator.
Handle Workspace as follows:
Leave the field empty, if you want to start with a clean application window.
Select “Last session” from the drop-down list, if you want goAML to launch the window, as it
was when you last exited the application.
Select any other list item to load a previously saved window layout (see section 3.3: Analyst
workspaces for details).
Confirm with Login. The goAML application window is launched in the selected
configuration.
1.2
Change password
The first thing you may want to do after logging into the application is changing your
password from the default password defined by the goAML administrator.
i.
Select FileChange Password from the main menu.
ii.
The Change Password pop-up window appears:
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1.0 Getting Started
iii. Enter the current password into the field Old Password, the new password into both
fields New Password and Confirm Password.
iv. Confirm the change with OK. The new password is stored in the goAML database and
available for the next login.
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2.0 The User Interface
2
The User Interface
By default, the goAML user interface looks like this:
As in many other desktop applications, the application window contains the following
functional elements:






Main menu: Gives access to all goAML functions (see section 2.1: The main menu).
Toolbar: A collection of icons for activating common functions (see section 2.2: The
toolbar).
Quick-access bar: One-click access to useful goAML tools (see section 2.3: The quickaccess bar).
Status bar: Information about the current working context (see section 2.4: The status
bar).
Context menu: Available processing functions for the selected content (see section 2.5:
The context menu).
Working area: The main area of the user interface. The functional tabs can be opened
here (see section 2.6: The working area).
Note: The functionality of these elements is explained in detail in the next sections.
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2.1
The main menu
The goAML main menu is by default located at the top of the application window and looks
as follows:
Each menu has a number of menu items; some of them trigger functions, others are split into
submenus (indicated by)
Note: The Management and System Admin menus are only available to goAML users with
administrative rights. The above menu can differ based on the permissions the goAML
administrator has granted to you.
You can activate a function in two ways:
i. Mouse-click: Select a menu item by clicking on it or expand a submenu () by
hovering with the mouse pointer over the submenu name and select an item from there
by clicking on it.
ii. Accelerators: The underlined letter of a menu label is the so-called accelerator. Hold the
<Alt> key down and hit the accelerator keys on the keyboard to expand the menu or
trigger the function.
Example:
Hold <Alt> down and hit F, followed by P, to trigger the “change password” function.
Release <Alt> afterwards.
Note: Not all menu items have accelerators.
2.2
The toolbar
In the standard set-up, the toolbar is located right below the main menu (see section 2.1: The
main menu). The toolbar has options that trigger general goAML functions
Coloured icons ( ) mean that you can execute the function right now. Impressed icons ( )
indicate functions which are currently in use. Greyscale icons ( ) are functions which are
deactivated (not usable) in the current working context.
Example:
When some data is displayed in the goAML window, then the Print function is active. If no data is
to be seen (e.g. right after the start-up), then the icon is deactivated. As soon as you click on it and
the printing dialogue appears, the icon becomes impressed.
Note: See section 3: General Functions for details about the different functions.
2.3
The quick-access bar
The quick-access bar is located near the bottom of the application window.
In the default configuration, it looks as follows:
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i. To open one of these tools, click on the respective item in the quick-access bar. The
window of the tool unfolds into the working area.
ii. Click into some other area of the goAML window to fold the tool back into its place.
iii. Click on the pin icon ( ) in the top right corner to fix the tool (hold it open
permanently).
iv. Click again on the pin ( ), to remove the fixation and make the tool foldable again.
Note: See section 3: General Functions for details about the different tools.
2.4
The status bar
The goAML status bar is located at the bottom of the application window and holds useful
information about the current working status:
In the bottom right corner, you see the name of the goAML database you are working on, the
user name with which you are logged in and the culture of the application (i.e. the interface
language and other settings). The bottom left corner shows the most recent status information.
Example:
In the above image, the last reported action was a data retrieval, which took 31.4 seconds. The user
“goaml” is logged into the database “goaml_qat” and uses the (default) English settings.
2.5
The context menu
The context menu is a quick and handy way to see and access context-specific functions. By
default, the context menu is hidden from view.
i. Right-click into the area on the screen, where you want to look for more options.
ii. The context menu appears:
iii. Click on a menu item to trigger the respective function.
Example:
The above example shows the context menu of a simple text field (left) and of the person lookup
window (right).
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Note: The different context menu functions are described in their working context. Refer to
the respective chapters for details.
2.6
The working area
The goAML working area occupies the largest part of the application window. Its main
purpose is to hold input functions and to display all kinds of data. By default, the functional
elements are in Tabs.
Example:
In the above example, four tabs are open in the working area: The default start-up tab, Person
lookup, Person Full Details tabs (all three hidden) and a currently empty Case File tab (visible).
i. Click on a tab header to bring its content to the front.
ii. Use the key combination <Ctrl>+<Tab> to leaf through the open tabs from left to right
and <Ctrl>+<Shift>+<Tab> for the opposite direction.
iii. Click on close tab ( ) of any tab or hit <Ctrl>+F4 for the active tab to close it.
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3.0 General Functions
3
General Functions
goAML comes with a number of common features, which can be applied to most of the forms
and grids. Furthermore, a couple of useful tools are available in the quick-access bar (see
section 2.3: The quick-access bar). This part of the documentation covers their usage and
provides typical examples where necessary.
3.1
Keyboard shortcuts
The following keyboard shortcuts can be used to trigger goAML functions directly:
Keys
Function
F1
Help
F12
Retrieve data
Shift+F1
Account lookup
Shift+F2
Person lookup
Shift+F3
Entity lookup
Shift+F4
Address lookup
Shift+F5
Text lookup
Shift+F6
Virtual objects lookup
Shift+F7
Transaction lookup
Shift+F8
Report lookup
Ctrl+F4
Close active tab
Ctrl+Space
Clear filter
Ctrl+A
Select all
Ctrl+C
Copy selected
Ctrl+D
Export to PDF
Ctrl+F
Quick finder
Ctrl+L
Load grid layout
Ctrl+P
Print
Ctrl+R
Reset grid layout
Ctrl+S
Save
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3.2
Ctrl+V
Paste
Ctrl+X
Export to Excel
Ctrl+Shift+W
Save workspace
Ctrl+Tab
Switch to the next tab to the right
Ctrl+Shift+Tab
Switch to the next tab to the left
Alt+F4
Exit goAML
Data fields
In goAML, different types of data fields are used. They fall into the two main categories input
fields and selection fields.
3.2.1 Text field
Text fields are the most common field type in goAML used to enter arbitrary text, numbers
and special characters. Most text fields have no limitations while others might require certain
type of input (all numbers, not more than 20 characters or the like):
Input Fields are used for entering/saving information into the application as well as entering
filter criteria for reports. In goAML, the following types of fields are used:
3.2.2 Date field
Date fields accept only correct dates (in the form DD/MM/YYYY). They are equipped with
drop-down calendars to limit the possibility of errors.
i. Click on the day, month or year to edit the value manually or
ii. Click on the drop-down icon ( ) beside the field.
i.
ii.
Switch through the months and years using the arrow icons ()
Click on the desired day.
3.2.3 Drop-down boxes
Some fields only accept a very limited scope of input. For instance, “Foreigner” can only be
“Yes” or “No” (and “still undefined” as default). Another typical example is a country
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selection field, as there are only a limited number of countries. In such cases, drop-down boxes
are used.
i. Click on the drop-down icon ( ) beside the field. The available options are shown:
Click on an option to select it.
3.2.4 Checkbox
Checkboxes are decision fields for “Yes” and “No” decisions. What it is to decide determined
the label of the checkbox:
i. Click on the checkbox to activate it ( ) and opt for “Yes” or to deactivate it ( ) and
decide for “No”.
Example:
In the above example, goAML will not wait indefinitely for a database response, but return a
timeout after a certain period.
3.2.5 Radio button
Radio buttons are decision fields with a limited set of options (usually 2–7). The difference to
drop-down fields is that there is no undefined state. The difference to checkboxes is that the
answers need not be “Yes” and “No”, but can be anything:
i. Click on an option to select it.
Note: Associated radio buttons can be arranged beside or below each other, but they are
always grouped.
3.3
Analyst workspaces
A workspace is a template or a kind of layout for the goAML application window. It
determines which elements are loaded and displayed after logging in to goAML. You can
choose which workspace to load in the goAML login window (see section 1.1: Login to
goAML for details). There are three options:



None: Only the default start-up window is loaded, otherwise the application starts empty.
Last Session: The application window is loaded as previously exited (i.e. all functions and
views are restored as they were when leaving goAML the last time).
Custom: While working with goAML, it is always possible to save the current layout into
a custom workspace, which can be loaded in future sessions.
3.3.1 Save new workspace
To save a snapshot of your current working situation as a goAML workspace:
i. Select FileSave Workspace as from the main menu.
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The Save Workspace as dialogue window is displayed:
Enter a (unique) name for the new workspace into the field New workspace name.
Click on
. The application layout is saved under the given name.
The next time you log into goAML, the saved workspace will be available in the Workspace
drop-down list on the login screen.
3.3.2 Overwrite current workspace
To overwrite your active workspace’s settings with the current application window layout:
i. Select FileSave Workspace from the main menu or hit <Ctrl>+<Shift>+W on the
keyboard.
The settings in the database are updated accordingly.
Note: You can only overwrite custom workspaces, not the default or last session. In these
cases use “save workspace as” instead.
3.4
Workflow assignments
The goAML workflow engine is the system component that manages the flow of business
objects (cases, STRs etc.) through the system. The workflow assignments are a list of all
business objects that are currently assigned to you and require your attention.
3.4.1 View workflow assignments list
The workflow assignments are located in the quick-access bar at the bottom of the screen (see
section 2.3: The quick-access bar for details).
i. Click on Workflow Assignments ( ) in the quick-access bar. The workflow
assignments list pops up:
The list shows the following data:
i. Reference Number: auto-generated Report Reference No.
ii. Name : The name of the Case
iii. Type: The type of step to be performed (e.g. a task).
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iv. Date and Time: The instant this entry arrived.
v. From: The goAML user who assigned this step to you.
vi. Due Date: The latest date at which this workflow step has to be processed.
vii. Workflow Message: The automated message, added by goAML.
viii. Message from Sender: A personal message from the sender to you (optional).
Note: Messages in red are new and yet unopened.
Click on “Refresh messages” ( ) to update the list whenever you want to.
Double-click a message to open and process the referred business object.
Note: Once the business object has been processed and forwarded in the workflow, it will no
longer be shown in your workflow assignments window.
Some of the business processes/reports are shielded from some users. Only a few selected
users(analysts/investigators/account managers) are authorized to shield a business
process/report. If you have been shielded from these business process/report, you will get a
message (see below).
You can then request access to these reports and business processes if you need to work on
the business process/report. Only selected users have the permission to shield. This will be
indicated by the shield icon
. If it is enabled , it is yellow, and you have the permission to
shield a user from a business process or report; if not, it is greyed out.
Note: Users, who are unauthorized to the shielded business process/report can see them
displayed but are unable to open it and read the content. It is possibel to shield a business
process/Report for a user defined time period after which it can be made accessible to all
users.
Example:
You are authorized to shield the case INTEL0017 30Aug 13 as indicated by the
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By clicking on this icon , the Business Object Shielding >> Group/User Mapping window appears.
Click on the double-arrows to include/exclude groups/users from a specific case/business process.
A notification to this effect will be sent to the user if the Notification check-box has been selected.
3.5
Risk score
The goAML analysis module utilizes a configurable risk score model, which checks every
person, account and entity and adds risk analysis information. The system prioritizes and rates
risks according to rules set up by the goAML administrator. These rules are based on where
and how often a person, entity or account is connected with a crime, case or STR.
Note: Refer to the goAML Administration Guide for details about configuring the risk score.
The score is represented as a coloured icon in the same row as the business object it belongs
to. The colour codes indicate the different risk scores, ranging from 1 to 10 (and >10):
Score:
1
2
3
4
5
6
7
8
9
10
>10
Icon:
Example:
The accounts in the example below all have a risk score of 3:
Hover over the icon with the mouse pointer to see the score or click on the icon to display the
score details, indicating the cases, crimes and STRs the object is used in:
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3.6
Generate documents
In operations against organized crime it is often necessary to create official documents
containing some information retrieved with goAML (e.g. dossiers about persons and their
circumstances). For this, goAML provides the option to design document templates and to
layout the information in these templates on request.
Note: Document templates are designed by goAML administrators. Refer to the goAML
Administration Guide for details.
i. Open the context menu of one or more selected goAML objects (e.g. persons) in any grid
and choose Generate Document. A dialogue window containing all available
templates for this specific object type appears:
Activate the checkboxes Select of all templates you want to use (at least one).
Note: If you select more than one template, then the same document will be created once for
every template selected.
ii. Enter free text into the field Comments of the template. This text will appear in the
iii.
iv.
v.
vi.
vii.
header of the document.
Select a Due Date.
Click on
. The operating system’s folder chooser window appears. Select
the directory where you want to store the generated documents.
Click on
to get a preview of the documents. They are opened in a
preview window.
Click on
The documents are generated and saved in the defined
location.
Click on
to send the generated documents to the selected
recipients ( Reporting Persons, Reporting Entities or/and Stakeholders)
The following fields are defined in the document template. goAML users without
administration rights do not have influence on them:
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
Multiple: If the checkbox is activated ( ), then this template can aggregate multiple
objects in one file. This means, if you have selected more than one object (a couple of
persons, for instance), then all these objects will be included in one combined document
file. If the checkbox is unchecked ( ), then a separate file will be created for each of them.
Repeat: If the checkbox is activated ( ), then multiple files are generated for each object.
You can select stakeholders and reporting entities and for each of them a separate file,
addressing the recipient directly, is generated.

3.7
Audit trail
An audit trail shows the revision history of all the object attribute changes made in goAML.
i. To see the audit trail for any object (person, entity etc.), set the focus on any field within
the object’s details screen and then click on the Audit trail icon ( ).
The audit trail details of the selected object are shown in a pop-up window:
i. The Audit Trail window displays the following information:
i.
ii.
iii.
The editing metadata overview (Created by, Created on, Last updated by and Last
updated on).
A grid with the revision history, showing the internal revision number (Sr. No.; “1”
being the original one and showing the name of the user creating the object), the name
of the user or goAML workflow applying the change, the type of modification (e.g. an
update) and the time stamp of the modification.
A grid showing the attributes of the object. Changed attributes are highlighted.
To compare two or more revisions, hold the <Ctrl> key down and click on the rows you wish
to compare in the middle grid.
The data is displayed side by side in the bottom grid.
Click on
to show only the changed attributes and hide the unchanged ones.
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Note: The audit trail function is available for all objects in goAML.
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4
4.1
Grid Properties
The toolbar
When working with report grids, toolbar is located below the main menu:
It contains the following functions:
4.2
Clear Filter Criteria
Retrieve data
Print the grid data
Create a chart
Preview Grid Data
Export as PDF
Exports the data in
the grid to Excel
Pivot Table Analysis
Export in XML file
format
Import from XML
Set Operations/Perform
Set Operations e.g.
Intersection, Union
etc./Needs two reports
to perform operations
Clear Column
Save the layout of
the Report
Load Report Layout
Reset the layout to
Default
Create Reports
Show Reports
Close this window
Help icon
Turn paging of the
results on and off.
Filters
Unified transaction
view ( enables
presenting bi-party
and multiparty
transaction details
in one view)
Report screens
Report screens display data from the goAML database, which was filtered against multiple
filter criteria:
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Usually, the report screens are divided into two sections:

Filter criteria section: All possible criteria; the criteria used for creating this report are
displayed, the other fields are empty.
Result section: The results retrieved. If this section is empty while filter criteria are set,
then the results are simply not retrieved yet.

Note: See section 7: Catalogue Search for details on retrieving results from the goAML
database.
4.3
Navigation
i. Navigation between screens can be done using the menu-options.
ii. Navigation between records can be done by clicking on the respective buttons attached
to the bottom of that particular screen:
The following user interface elements are available:
go to the next page of the
data report
go to the previous page of the
data report
go to the next record
go to the previous record
go to the last page
go to the first page
scroll left on the data
screen
scroll right on the data screen
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scroll up the screen
4.4
scroll down the screen
Sorting
All columns in the grid can be sorted by both ascending and descending order. Most of the
grids in goAML share a set of common properties. Right-clicking on a column header in any
grid invokes this context menu:
i. Select Sort Ascending to sort the column by ascending values or Sort Descending
respectively or:
ii. Click on a column header. The grid is sorted first ascending and with the second click in
descending order.
4.5
Grouping
i.
Select the option Group by This column from the context to group the data by
the selected column. This works the same as using drag and drop grouping
(refer to section 4.7: Reorganizing columns: drag-and-drop for more info).
ii.
A tree-structure appears that groups the grid data by the selected column.
iii.
For example, in the Volume and Frequency by State grid, data is grouped by
State and Reporting Entity.
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iv.
Click on the icon at the left side of any record in the first column to expand and
view the grouped record. The number in brackets is the number of rows grouped:
Note: The
available.
icon turns into
and the column reappears. The data details are now
Note: It is possible to expand or collapse the hierarchy by right-clicking on the grouped
column header and selecting Full Expand or Full Collapse (see example below).
v.
You can create a grouped hierarchy by dragging column headers into the group
box or by right-clicking in the selected column header and selecting the option
Group by Box
vi.
To remove a grouping column drag it out of the Group by Box
vii.
To change the grouping hierarchy use drag-and-drop operations
4.6
Clear filter
i.
It is possible to remove the unwanted columns from a grid.
ii.
Select the Column Chooser option in the context menu.
iii.
The Customization pop-up window is displayed.
iv.
Select the columns you would like to hide and move them to the Customization
window by dragging and dropping them into the Customization window.
v.
The grid now appears without the columns that have been removed. These
columns will also be removed when exporting the grid to PDF or Excel.
Note: Columns can be dragged back to the grid from the Customization window.
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4.7
Reorganizing columns: drag-and-drop
In the example below, data is displayed in the Account Volume and Frequency grid by the
column header.
i.
Retrieve data on the Account Volume and Frequency grid. In the grid below,
Account No is the first column in the grid.
ii.
The same data can be rearranged by reorganizing the columns. This is done by
clicking on the column header, holding down the mouse button and dragging it to
the new position. Release the mouse button to drop the column at the new place.
Note: In the example above, the Primary Account Holder was moved to be the first
column in the grid.
4.8
Best fit
The column size can be altered to display the full contents of the column without having to
scroll through it.
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i.
Select Best Fit option in the context menu in order to enlarge or shrink the size
of the columns as the case may be.
ii.
Select Best Fit (all columns) option in the context menu to alter the size of all
the columns
Note: This can also be done by clicking on the line between the two columns and
dragging it to the left or right.
4.9
Anchoring a column
i.
Click on the column header and select Fixed Left from the context menu.
ii.
The selected column moves to the left-most position and is fixed while scrolling
horizontally:
i.
Click on the column header and select Fixed Right in the context menu.
ii.
The selected column moves to the right-most position and is fixed while
scrolling horizontally.
Note: It is possible to fix columns both left and right at the same time.
i.
You can reset the fixed columns by right-clicking in the column header and
selecting Not Fixed.
4.10 Dynamic filtering
Dynamic filtering allows you to view filtered data by clicking on the filter
function is explained in the example below.
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i.
On the Account Volume & Frequency grid, click on the filter icon next to the
branch of the bank.
ii.
A drop-down list of bank branches appears:
iii.
Select the branch for which data should be filtered.
iv.
Data is now filtered according to the selected branch.
i.
In order to filter on more than one column, right-click on the column header. A
drop-down list of options appears.
ii.
Select Filter Editor from the list.
iii.
A Filter Builder window is displayed:
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iv.
Fill in the filter rule as per requirement. For additional columns, click on the
icon. After all the filters have been added, click on Apply.
v.
Data is filtered as per the rule applied.
vi.
To apply a new filter rule, clear the previous filter rule by clicking on Clear filters
( ) or by selecting the shortcut keys <Ctrl>+F or by selecting FileClear
Filter from the menu.
4.11 Save / Load layout
After applying modifications to the grid, the changes can be saved and restored later at any
time. Any status of a report layout can be saved as a custom layout.
i. Click on Save Layout ( ) to store the current layout settings.
ii. Click on Load Layout ( ) for loading the previously saved layout for this report.
Note: Only one layout per report can be saved. Saving again overwrites the last saved layout.
4.12 Copying
When right-clicking within a cell containing a value, Copy Column Value, Copy all, Copy
Selected Rows menu items appear at the top of the context menu. Copy Column Value
copies the value in the current cell to your computer’s clipboard. Copy all copies the entire
grid and Copy Selected Rows will copy the currently selected rows (or else the row you are
currently in).
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4.13 Set operations
There are instances when you need to combine the results of one or more grids. A few basic
set-operations performed by the system are Union, Intersection and Subtraction. This is
shown in the example below:
i.
Retrieve data on Account Volume & Frequency as well as Account Velocity.
ii.
Click on Set Operations ( ).
iii.
Select which fields should be linked by selecting the column name from the drop
down list in the right column of the Select fields to link in the reports grid.
iv.
Using the screenshot below as an example Account No. from Account Volume
and Frequency by Occupation is mapped to Account # in Account Lookup, Bank
is mapped to Bank Name and Branch is mapped to Branch.
v.
In Select fields, which should appear in the result of the operations, select which
fields you require in the resulting grid.
vi.
Select the Operation type from the drop-down menu and click on
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vii.
The result grid is displayed with the combined results of the two grids. In this
specific example, the selected columns of the Account Velocity grid matches
with the selected columns of the Account Volume and Frequency grid and the
union of the two grids is displayed:
4.14 Pivot table
The Pivot Table function allows you to reorganize and summarize selected columns and rows
of data to obtain a desired report. It is a multi-dimensional data table that can be rearranged to
allow different views of the data retrieved in the grid.
i.
Retrieve data on the Account Volume & Frequency report.
ii.
Click on Pivot Analysis ( ) in the toolbar.
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iii.
Select the parameters to view a cross-tabular representation of data
iv.
In the example below, select Account No. from the Values for the Field dropdown menu and No. of Deposits for the Data field for top.
v.
Data is displayed in a tabular format. In the example below, Only 5 Account
No(s) showing the five top numbers of deposits are displayed in the table,
because 5 is selected in the Show Top field. Account No. is the row field
whereas No. of Deposits is the column field in this example.
vi.
If Top Values Show Others checkbox is selected, the aggregated No. of
Deposits for the other Account Numbers are also shown (see example below).
vii.
You can also select more fields for the data display by simply dragging and
dropping the column fields where indicated:
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viii.
If the Total no. of Transactions column field is selected, the above data is
displayed accordingly:
4.15 Export to Excel
You can export data from any grid to a Microsoft Excel spreadsheet by clicking on the Excel
icon ( ), by selecting FileExcel Export from the menu or by using the shortcut keys
<Ctrl>+X. Excel starts and a new spreadsheet containing the data is created automatically.
4.16 Export / import XML
goAML provides an option for analysts to save a snapshot of the reports that they are
currently working on either in Excel or as an XML file. If a report is exported as an XML file,
it has the advantage that it can be imported into goAML again and the analyst can continue
working on this snapshot, e.g. export transactions for multiple involved accounts that have
been processed within a specific date range.
Exporting the report data is possible by either clicking on the Export to XML icon ( ) in the
toolbar or by choosing FileXML Export from the menu. Importing the data is possible by
clicking on the Import from XML icon ( ) or by choosing FileXML Import from the
menu.
Please note that XML files need to be imported into the same reports from where they were
originally exported. goAML helps you in identifying the appropriate files by adding a custom
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prefix to the file name (e.g. RPU001_for XML Report Upload) and displays only appropriate
files when importing back into goAML.
Note: Working with exported/imported XML files does not manipulate data in the goAML
database. Any potential changes within the XML files are discarded once the report is
reloaded or closed.
4.17 Preview grid data
If you want to print certain transaction reports for analytical purposes, you can click on the
Preview Grid Data icon ( ) to preview the grid data before printing. For example:
i.
Retrieve data on the Person Transactions Report.
ii.
Click on Preview Grid Data ( ).
iii.
The Print Preview of the selected report appears:
4.18 Export to PDF
Any of the reports generated by goAML can be exported as PDF files:
i.
Click on the PDF export icon ( ) on the toolbar or select FilePDF Export.
from the menu.
ii.
The operating system’s Save As Dialogue window is shown. Enter the file name,
select a location and confirm with Save. The report is converted into PDF and
stored in the indicated place.
4.19 Paging
Paging is used to limit the number of records displayed by the system. It is an important
functionality, which enables working with large amounts of data efficiently: The data is then
shown in pages of records. The paging information is shown in the top right corner of the
application window. To use this functionality, the paging option must be turned on before
retrieving the data for a report. For example:
1.
Turn the paging option on by clicking on the
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2.
After turning the paging option “on”, retrieve data from the Account Lookup. You will
see the page numbers displayed on the upper-right corner of the report.
A maximum of 10.000 records are retrieved from the database; to retrieve the next
10,000 records click on the arrow in the footer bar:
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5
Reports
The main kinds of data reports uploaded into goAML are Cash Transaction Reports (CTR),
Suspicious Transaction Reports (STR), Unusual Transaction Reports (UTR), International
Funds Transfer (IFT) , Cross-Border Report and Additional Information File (AIF).
goAML acts as a central repository to establish and maintain a reports database on the basis of
reports received from reporting entities (banks, casinos, real estate brokers etc.). Banks and
other financial institutions are obliged to furnish information relating to suspicious
transactions of any kind. A transaction is deemed as a suspicious transaction when it:
Gives rise to reasonable ground of suspicion that it may involve the proceeds of crime,
appears to be made in circumstances of unusual or unjustified complexity,
appears to have no economic rationale or bona fide purpose or
gives rise to a reasonable ground of suspicion that it may involve financing of the activities
relating to terrorism.
STRs could either be uploaded into goAML or created manually.
CTR refers to all the Cash Transaction Reports uploaded in the system.
UTR relates to all unusual transactions uploaded in the system. Unusual transactions are cash
transactions, which might be suspicious and thus require some attention. After examination, a
UTR can either be dismissed as unsuspicious or raised to an STR. It is possible for the
reporting institutions to add one or more file attachments and to report a collection of one or
more unusual transactions at the same time. The system treats a file with multiple unusual
transactions as separate reports.
IFT are all transactions where money is sent from one country to a different one (i.e. sending
or receiving money across borders).
AIFs are replies to requests for information (see section 8.4: Request for information), when
the analysts require more details on transactions, involved persons, accounts or entities. AIF
reports are treated like all other report types and can be integrated into goAML using either
the Web front-end or the XML report upload.
The goAML reports component allows users to:




Upload and process reports (see section 5.1: XML report upload)
Search for existing reports (see section 5.2: Lookup report)
Create new reports manually (see section 5.4: Add new report)
View, edit and delete reports
5.1
XML report upload
This module offers a package of functions around uploaded reports in XML structure. It can
be used for uploading XML reports (in addition to the goAML Web interface; see
section 5.1.1: Handling reports uploaded via the Web interface) and to view the status of all
uploaded reports (see section 5.1.2: Uploading reports via the XML report upload module). In
addition, this module is the place where goAML administrators accept or reject uploaded
reports.
i. Select ReportsXML Report Upload from the menu.
ii. The XML Report Upload tab is loaded and displayed:
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Note: By default, the tab is empty.
5.1.1 Handling reports uploaded via the Web interface
A report uploaded via the goAML Web interface is validated against the schema. If valid, it is
loaded into a temporary database and the status is set to Pending Approval. Alternatively, if it
is invalid, it is rejected and a notification is sent to the entity responsible for uploading the
report.
5.1.2 Uploading reports via the XML report upload module
i. Click on
to open the operating system’s file chooser dialogue window.
ii. Navigate to the appropriate directory and select the report you want to upload.
iii. The report is validated and, if it passes the test, uploaded. The result of the validation is
shown in a pop-up window:
i.
If the validation fails, the Error Messages are displayed. Furthermore, a checkbox
Uploaded shows if the file was uploaded at all (activated) or not (deactivated):
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If the validation succeeds, an RE-ID is assigned and the file is shown as uploaded:
The XML Report Upload tab is now populated with the current states of the uploaded
reports:
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ii.
iii.
iv.
v.
Failed (something): The document was uploaded via the goAML Web interface, but
did not pass the test; divided into different failure categories (the number of files in
each category in brackets)
Filtered; pending approval: The file has passed the validation test and now waits for
further processing
Processed: These files are finalized
Scheduled for loading: These files have been uploaded and validated and will be
loaded into the database during the next update cycle
Expand a category ( ) and double-click an entry to see the error messages (for failed reports)
or to open the report view (for reports pending approval).
If you want, open the context menu of a report and select View XML Report to show its
native XML structure in a new goAML tab.
5.1.3 Pending approval – report view
Reports in the category “pending approval” of the XML report upload module need further
processing. Such files have passed the basic validation test and now have to be manually
approved or rejected by a goAML administrator. In the cases mentioned above, the report will
be in status Pending Approval if it has been validated successfully. The administrator needs
to double-click the report name and a new report XML report view is loaded.
i.
Expand ( ) the category Filtered; pending approval and either double-click the
report you want to process or open its context menu and select View XML Report
Transactions.
ii.
The XML Report View is loaded and displayed in a new tab:
iii.
Check if the report data is reflected accurately.
iv.
Click on Re-Apply Active Filters, if you think that the report was not filtered
correctly or not filtered at all due to a system error. This cleans up the data.
v.
Accept or reject the report:
vi.
Click on Reject Whole Report to reject the report. Enter a reason for the rejection
into the appearing pop-up’s text field and confirm with
.
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vii.
5.2
Click on Process to accept the report. The data is made available for future use in the
goAML database.
Lookup reports
Searching for reports is done the same way for all report types (STR, CTR, UTR, AIF,… ).
Example:
The guidelines below refer to handling the STR lookup. The other report types are looked up the
same way.
i. Select ReportsSTRLookup STR from the menu. The STR Lookup function is
loaded and displayed in a new tab:
Enter the desired filtering criteria.
Retrieve the result data: Click on “Retrieve data” ( ) or hit <F12> on the keyboard. The
results are displayed in the grid:
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Filters:














Ref start date / end date: Look for STRs dated at or between the two dates.
Ref. number: The internal reference number of the STR (the most efficient way to find a
certain STR, but you have to know the number beforehand).
Comments: Arbitrary text added to the report by the analyst (full-text search).
Classification: Search for STRs based on a set classification criterion.
Indicators : It is a category that can be assigned to a report, which allows filtering and
grouping e.g. category of report. All STRs matching any of the checked indicators will be
returned.
Reporting Source: The way the STR was reported initially (matching result, email…).
Reporting Entity: The name of the entity, which submitted the STR to the FIU
Report Type: The actual type of report as selected at the beginning of the procedure. It is
also possible to clear the report type in order to return results based on the other lookup
arguments.
Report Status: The current workflow status of the STR. This argument will only provide
options in case a report type has been selected.
Principal Officer : Any person registered in the goAML system that has been set as
Principal Officer in the STR.
Risk score Threshold: Look only for STRs with a risk score as indicated or higher (see
section 3.5: Risk score for details).
Reason for suspicion: Free-text field containing the reason for suspicion (full-text
search).
Analyst: The analyst to whom the STR is currently assigned to in the workflow.
No. of transactions: The minimum number of transactions in the STR.
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
FIU ref. number: The identification number the reporting FIU uses in their internal
procedures. Not to be mixed up with the (unique) goAML identification number.
Collaborative Agency Type : Filter the reports based on the type of information
provider e.g. FIU, Stakeholder, Reporting Entity
Person, Entity, Account: Helper functions for filtering on involved persons, entities or
accounts (see section 7: Catalogue Search for details).


5.3
View / edit report
To view and edit a report in the goAML database. Your permissions for editing reports can
potentially be limited by the goAML Administrator.
i. Double-click the desired report in the Lookup result window (see section 5.2: Lookup
reports for details).
ii. The report is loaded and displayed in a new tab:
iii. Change the available information as necessary.
Save the changes: Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
Note: For details about the contents of the different tabs refer to section 5.4: Add new report.
5.4
Add new report
It is possible to create a new report manually and add it to the goAML database.
Example:
The guidelines below refer to creating an STR. The other report types are created the same way.
iv. Select ReportsSTRAdd/Edit STR from the menu or click on “Add a new record”
( ) in any STR view. A new, empty STR is created and displayed in a new tab:
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v.
vi.
vii.
viii.
Fill in the mandatory fields in the tab Report Cover (bold labels, see below for details).
Fill in the other fields of the cover tab as required.
Enter possible additional information into the other tabs of the STR.
Save the report: Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
5.4.1 Report cover fields
Note: The report cover fields can be different depending on the report type. The below fields
refer to STRs.









Report Reference No.: A unique reference number automatically assigned to the report
for tracking purposes. Can be changed by the user if necessary.
Reference date: Normally the creation date of the report but can be changed by the user.
Entity reference No.: The reference number the (external) reporting entity uses for
identifying their submitted report.
Reporting Entity: Mandatory. Select the reporting entity which submitted this report
originally.
Reporting Entity Branch: If the reporting entity has multiple branches and you know the
specific one responsible for this report, select it.
Classification: To further classify the report, select one of the available classifications.
Principal Officer :Any person registered in goAML can be set as the Principal Officer in
an STR
Report type: Mandatory. The actual type of the report (e.g. STR). Is filled in
automatically upon creation and cannot be changed.
Report source: Mandatory. Select from the drop-down list the report’s source (e.g. a
police authority).
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Risk score: Define a risk score for this report (select a value between 0 and 100; see
section 3.5: Risk score for details).
FIU ref. number: The identification number the FIU uses in their internal procedures.
Can be used as a secondary STR identifier in addition to the Report Reference No.
Reason for suspicion: Enter a free-flow text describing why this report was created.
Action: Add comments on the actions already taken around the report.
Reporting Person: Click on the grey field to open the Person Lookup. Any person
available in the goAML system can be assigned as Reporting Person.
Clicking on ‘Add New’ allows the creation of a new person. Once assigned click on the
person name to view the full details. C<Shift>+click removes the current person. Click on
the now empty field again to assign a new Reporting Person.
Location: Indicates the location where the suspicious activity took place.
Analyst’s remarks: The place for the analysts to store their personal comments and
remarks as free-flow text.
Report indicators: Activate ( ) the checkboxes of the available values which categorize
the report best.
Collaborating Agency Type : Any source that feeds information into the system can be
filtered according to the Type e.g. RE, FIU, stakeholder
Escalate to: The STR report can be escalated to either a Case Proposal or a Case by
selecting the corresponding radio button and clicking on the Escalate to button. Once
clicked the Case / Case Proposal Lookup will open and the report can be either attached to
an existing case or to a new one (click on Add New). After entering an escalation reason
(optional), the report as well as all contained transactions will be added to the selected
case (proposal).
5.4.2 Workflow fields
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Current status: The current state of the report in the defined workflow. The status names
can be different depending on the report type as well as the assigned Business Cycle.
Since: The time stamp indicating when this report has been assigned to the stated analyst.
Due date: The time stamp when the analyst should have completed the workflow step.
The time limit can be different depending on the report type and the workflow state and
can be changed by the goAML Administrator on the report type level. Overrides to the
time limit on the report level are not possible.
To: Select an analyst from the drop-down list as the next person to be working on this
report.
(Action Button): Click on the button to finish your work and forward this report to the set
analyst for the next task in the workflow.
Note: Once the report has been forwarded, the status field is updated and the next user is
notified of the newly assigned report through a message in the “workflow assignments” tool
(see section 3.4: Workflow assignments for details).

Send Back: The currently assigned analyst as well as all authorized users can send the
report back to the previous analyst. A comment has to be provided. The previous analyst
will be notified of the workflow action.
Note: Sending a report back is only possible in intermediate workflow states and not
supported for start and end states. Also sending back a report always returns the report to
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the analyst who took the last workflow action. In case of a second ‘send back’ action this
means that the report will be moved forward in the workflow.
5.4.3 Journal
The Journal tab allows you to add “ stories” or “incidents” or “notes” related to the case. You
can either view all journals associated with the case or just the journals that have been added
by you.
i.
Add a journal manually by clicking on the “Append” icon in the footer of the grid.
ii.
It opens up an Edit Journal window. Fill in the data fields as required. Subject and
Type are mandatory fields.
iii.
You can show/hide Preview of the Journals by clicking on
5.4.4 Transaction info
The Transaction Info tab allows you to manipulate the transaction details related to a
specific report.
i. Add transactions manually by clicking on “Append” ( ) in the footer of the grid and fill
in the data fields as required. Fields labelled in bold are mandatory.
ii. The Involved Parties are set automatically for reports integrated from XML files.
Instead of specifying a source and destination party it is also possible to specify only
the mandatory transaction attributes (e.g. number, amount) and then specify the
involved parties (persons, accounts, entities).
iii. Add ( ) any Items associated with the transaction, e.g. real estate or vehicles.
Note : A transaction can be linked to any number of distinct reports. For e.g. a transaction is
reported now from RE1 as STR, then FIU requests an AIF, the mentioned transaction will be
re-linked to the AIF since it comes from the same RE.
The data fields are:

Transaction No.: A unique number assigned to the transaction for identification
purposes.
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Transaction Date: The date on which the transaction took place.
Transaction Mode: The mode of transaction (electronic transmission, mail deposit etc.).
Source Funds Code: Shows whether the transaction originated as a deposit, currency
exchange, bank draft, money order, electronic funds transfer or else.
Source Party Type: Person or Account
Source Party: Link to the person or account from where the transaction originated.
Amount (local): The amount involved in the transaction, in local currency.
Source Currency: The currency in which the transaction took place.
Source Amount Foreign: The amount involved in the transaction in foreign currency.
Destination Funds Code: Defines if the destination was a deposit, currency exchange,
bank draft, money order, electronic funds transfer or else.
Destination Party Type: Person or account
Destination Party: Link to the person or account receiving the transferred funds.
Conductor: Link to the person conducting the transaction.
Transaction Description: Free-flow text describing the transaction.
Location: Indicates the location where the transaction happened (e.g. the bank branch).
Transaction Mode Comment: Any remark you may want to add regarding the
transaction mode.
Source Funds Comment: Any remarks you may want to add regarding the source funds.
Destination Funds Comment: Any comments you may want to add regarding the
destination funds.
Source Country: The country where the transaction originated.
Destination Country: The country into which the funds were transferred.
Destination Currency: If the transaction involves more than one currency, then this is the
currency in which the transaction ended.
Destination Amount Foreign: The amount of money in the destination currency.
Ref. Number: The internal reference number for the transaction at the transferring
institute (some use more than one number).
5.4.5 Involved Persons, Entities and Accounts (not available for CTR)
The Involved Persons tab allows you to view all details around persons involved in a specific
report. The Involved Entities tab has the same function for entities, Involved Accounts for
accounts.
i. Add persons/entities/accounts manually by clicking on “Append” ( ) in the footer of the
grid. A new row is appended. Select the person name and fill in the other data fields as
required.
ii. Edit the selected person/entity/account by clicking on “Edit” ( ) in the footer of the grid
and adjust the data fields as required.
iii. Delete a person/entity/account from the list by selecting it and clicking on “Delete” ( )
in the footer.
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Person / Entity / Account name: Link to the details of the involved person, entity or
account (mandatory).
Significance: Select a value between 0 and 9 for the significance of the person, entity or
account (optional; your personal estimation; there are no rules for that).
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
Reason: The reason, why the specific item was added. Is set to “Suspicious transaction
(automated)” in case of a transaction reported via XML file (optional).
Comments: Any remarks you think are relevant here (optional).

5.4.6 Report attachments:
i.
The Report Attachments tab allows you to handle relevant attachments to a specific
report.
ii.
Add reports by clicking on Append ( ) in the footer of the grid and fill in the fields in
the appearing pop-up window:
iii.
for the file to attach using the file chooser from your operating system.
iv.
Enter the Document Name and Document Description.
v.
Click on Save to append the document to the report.
vi.
Fill in the other data fields as required.
vii.
Edit the selected attachment by clicking on Edit ( ) in the footer of the grid and adjust
the data fields as required.
viii.
Delete an attachment from the list by selecting it and clicking on Delete ( ) in the
footer.
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Document name: A meaningful name given to the uploaded document
File Name: The name of the uploaded file as in the file system
Reason: The reason, why the specific item was added.
Source of Information: Source of the uploaded attachment (police authority, open
source…).
Comments: Any remarks you think are relevant here (optional).
5.4.7 Rejected transactions
Analysts evaluate the reported transactions and either approve or reject them. The rejected
transactions are not integrated into the system but saved in the Rejected Transactions tab
instead. The reason for rejection and all the transaction details are specified in this form.
Note: Restoring and integrating once rejected transactions is not supported in the current
version of goAML.
5.4.8 Diagrams
In the Diagrams tab it is possible to create custom diagrams, starting with the objects
contained in the current report. Any modifications and expansions to the diagram can be
saved directly within the report. Stopping and resuming work on the diagram is possible at
any time. See section 10.2: Create diagram for details.
Note: It is possible to create as many diagrams as required for a report.
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5.4.9 Escalated to
In this tab, you see all the information that is related to the escalation of the Report (STR,
CTR). Whenever a report is escalated to a case or added to any business process, you will see
in this tab a record linking to that business process ( Case, Case Proposal, Operation and
Project)
The idea is to let the user know where the report was escalated from.
They are represented in the grid as Business Process Type ( Case Proposal, Case), Business
Process, Reference Number, Reference Date, Source, Status, Analyst, Init Score and
Accumulated Score.
5.4.10 Document requests
The Document Requests tab allows you to add documents to the report.
Delete a report:
To delete an obsolete report:
i. Search for the report (see section 5.2: Lookup reports) and open it (see section 5.3:
View / edit report).
Click on “Delete current record” ( ).After confirming a security check, the report is deleted
from the goAML database.
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6
Analysis
Anti-money laundering investigations are complex processes. The process involves sharing
and analyzing large quantities of financial transactions, related business transactions, related
documents, watch lists, profile reports as well as a wide array of other structured and
unstructured data. The objective is to broaden the scope of the types of data sources available
for intelligence analysis and integrate different types of link support information (LSI) from
one or more sources in order that they can be effectively used for analysis of moneylaundering networks.
With the help of goAML, reports on financial transactions from numerous entities can be
rigorously analysed. These reports contain information on suspicious or large cash financial
transactions, international electronic funds transfers, as well as cross-border movements of
currency and monetary instruments. When goAML determines, on the basis of its analysis of
the trends/patterns of financial transactions of persons and their account activities as well as
money movements of Entity, Account and Person details, that there are reasonable grounds to
suspect its information, it escalates the key information to law enforcement.
6.1
Analysis – Person
In order to maintain a KYC (Know your Customer) Profile, it is essential to maintain and
analyse background information on customers. The categorization of individual customers is
rule-based and takes into account the financial relationships and transaction performance of
the customer in addition to the customer master data.
All relevant data on Person transactions can be retrieved and displayed under this menu.
Person submenu has many options such as Private Account Holders, Duplicated IDs,
Person Transactions, Person Volume & Frequency, Person to Person Transactions, Top
Account Holders, Top Referees- Persons, Top Referees- Accounts
Person lookup
The Person Lookup report is used for filtering data in many of the goAML reports.
1.
i. Click on the icon
Lookup
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ii.
You can search for Persons by Name, Address, Citizenship, D.O.B From/To
and more.
iii.
Enter the relevant filter criteria and click on
i.
.
To select a person to use in the originating form, double-click on the person in
the data grid, or select it and click the OK button.
Note: You can reset the search criteria on the Person Lookup by clicking the
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button or hitting <F11> on the keyboard.
2.
i.
You can add a new Person to the system by clicking on the
button.
ii.
The Person Details screen appears.
iii.
You can add information in all the relevant tabs in the Person Full Details
screen.(for more info refer to section 6.1.2: Person Full Details).
iv.
The Person’s details will appear in the Person Details screen.
6.1.1 Person context menu
Right-clicking on any person within a result grid of a report invokes a context menu as shown
below. In some cases the context menu will show only a part of these images, depending on
the working context:
6.1.2 Person Full Details
To view the full data of a person:
i. Select Person Full Details from the context menu of the person entry. The Person Full
Details screen is displayed:
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ii.
Add Person information on the screen under the respective tabs: Main Details,
Journals, Person Identifications, Person Phones, Person Addresses, Person
Accounts, Entities, Generated Documents, Assets, Liabilities, Tax Profile,
Judicial Profile, Immigration Details, Attached Documents, Diagrams, Business
Processes and Linked Persons. When finished, save the changes by clicking on
“Save pending changes” ( ) or hitting <Ctrl>+S.
The Main Details tab has the following parts: Person Details, Misc. Details,
Employment Details, Facts Score and Updates Time-stamp. There are 2 checkboxes on the Main Details form : Is Manual or Is Verified. If the Person Details
have been corroborated/confirmed, the Is Verified checkbox is checked.
Person Image provides the option to upload the Profile Picture of the Person, if
available. To add a new image in the Person Details form, click on (….). The
operating system’s File Chooser appears. Select the image file and confirm
selection. You can delete the picture by clicking on the
icon.
Updates Time-Stamp shows the username of the person who created the
person entry in the system as well as when it was created.
Updated By shows the last person who updated the person details as well as the
last updated date.
The Phone Field shows the number that has been set as the default phone
number in the Person Phones tab. Double-Click on the Phone field to see the
details of the phone number. Make changes in the Phone pop-up window and
save the changes. These changes will also be displayed under the Person
Phones tab:
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The Journal tab allows you to add “ stories” or “incidents” or “notes” related to the
case. You can either view all journals associated with the case or just the journals that
have been added by you.
i.
Add a journal manually by clicking on the “Append” icon in the footer of the
grid.
ii.
It opens up an Edit Journal window. Fill in the data fields as required. Subject
and Type are mandatory fields.
You can show/hide Preview of the Journals by clicking on
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Person Identifications tab shows the ID Number, ID Type, Date of Issue, Issue
Authority, Issue State, Issue Country, Date of Expiry, Known Since, Source of
Info. , Comments and Attachment etc. of the selected Person.
i.
To add a new entry click on the icon in the footer of the grid. A new row is
added to the grid. Enter the Identification details.
ii.
Note that column headers displayed in bold indicate required fields. The entry
will not be saved until all required fields have been entered.
iii.
To remove an entry, select the row and click on the
icon in the footer.
Person Phones tab displays all the Phone Types and Phone no(s) of the selected
Person.
i.
To add a number click on the
Details pop-up is displayed.
ii.
Enter the required information and click Save.
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icon in the footer of the grid. The Phone
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iii.
The grid will automatically be updated with the new information.
iv.
To edit a phone number click on the underline number in the Full Phone No.
column; The Phone Details pop-up is displayed.
v.
Edit the details and Save.
vi.
Note that there can only be one default phone number; to delete a phone number
select the row and click on the icon in the footer.
Person Addresses shows the Address Type and Addresses of the selected Person. Edit
or add to the Address details in the same way as editing and adding the Person Phones.
Entities tab shows all the Entities the person is attached to.
Assets tab shows the Properties and Vehicles owned by the Person. Add or edit this
data in the same way as Person Identifications.
Person Accounts tab shows the Person’s Account Number, Bank in which the Account
is opened, the Bank Branch, the Primary Person, who holds the Account, the Currency
in which the Account operates and the Account Opening Date.
Liabilities tab shows the Mortgages and Loans of the selected Person. Add or edit this
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data in the same way as Person Identifications.
Tax Profile and Judicial Profile display the tax details and Judicial Criminal History
of the Person. Add or edit this data in the same way as Person Identifications.
Note: It is possible to attach a document to the Judicial / Criminal Case History by
clicking on the (+) in the column to the right.
i.
The Attach Document window appears:
ii.
Enter the Document Name and Document Description and click
iii.
The attachment has now been saved and appears in the Attached Documents
tab.
Immigration Details tab displays the immigration movements of the selected Person.
i.
Add or edit this data in the same way as the Person Identifications.
ii.
Clicking on the (+) in the column on the right will attach a document. (see above
for details on attachment)
Attached Documents displays a list of documents attached to this person.
i.
The documents are attached in the Judicial Profile and Immigration Detail tabs.
ii.
Click on the underlined File Name to display the document.
Diagrams tab displays all the diagrams that are attached to the Person .
i. To add a new entry click on the
added to the grid.
icon in the footer of the grid. A new row is
ii. The Diagramming pane appears with the name of the Person. All the
transactions and relations are visualized and displayed and can be saved as a
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diagram. The subject node retrieves all linked subjects when it is a parent node
and the parent subject if it is a child. The subjects, which are shielded from
certain users, do not appear in the diagram for those users.
iii. Enter the details in the Attach Diagram window.
Business Processes tab displays all the Business Processes ( Case, Case
Proposal) related to the Person.
Linked Persons tab displays all the linked persons associated with the unique
person.
All the records related to the linked persons are maintained separately in the
database. However, there is also an option to merge all the data that is linked to
any of the children records to the parent record. However, this action once done,
cannot be reversed. This can be done by clicking on the
subjects) icon on the Person Full Details form.
(merge linked
6.1.3 Person Transactions
All financial transactions are displayed in these reports. The person is either involved in the
transaction directly or through an account where he/she is an account holder. When this report
is opened from within the Person Lookup form, the Person Transactions filter criteria will be
set to the current as well as the start and end dates (used on the Person Lookup form) by
default.
6.1.4 Analysis – Person – Private Account Holders
The Private Account Holders report returns a list of accounts with the account holders. Details
for both the account and the person are shown in the report.
i. Select AnalysisPersonPrivate Account Holders from the main menu. The Private
Account Holders screen is displayed:
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iii. The header section has two sub-sections: one for the Account details and the other for
the Account Holder details.
Filter criteria:
Acc Opened Start
Date
Acc Opened End
Date
The date when the account was opened
The date until when the account is valid
Account
The account number. More than one number may be entered
with a comma “,” separating the account numbers
Branch
All branches starting with the word typed in the branch input
will be returned.
Identifier No
Details will be matched against any Person Identifications that
have been registered in the Persons details
Phone
The country prefix, city prefix, phone number and extension
need to be enclosed in brackets. (+414) (5554678) (0) or
(_414)
Foreigner
Only foreign account holders are returned
Account Holder
Select a specific person to see all the accounts they are linked
to (refer to section 6.3.1: Account lookup for details on how
to select an account holder).
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Note: Primary account holders are denoted by the ”Primary holder” icon ( ).
6.1.5 Analysis – Person – Duplicated IDs
There are instances, when more than one person has the same ID. For analytical purposes, all
data relevant to such duplicated IDs can be retrieved from within the system. The IDs of
Person(s) which are registered in the system are in the form of Driver’s license, National
Identity Card, Passport etc.
i. Select AnalysisPersonDuplicated IDs in the menu. The Duplicated IDs screen is
displayed:
iv. By default, the grid is grouped by ID Name and ID Number.
v. Expand the details to see more information. The details of all persons with duplicated
IDs are shown in the grid.
6.1.6 Analysis – Person – Person transactions
The Person Transactions report shows all transactions where a specific person was/is
involved. This is all personal transactions or transactions made to and from accounts where
the person is a registered account holder, not necessarily the primary account holder. These
transactions are indicated by the following icons:
Account to Person
Person to Person
Person to Account
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Account to Account
i.
Select AnalysisPersonPerson Transactions from the menu.
ii.
The Person Transactions screen is displayed:
iii.
Select the report type for which you want to see the transactions by clicking on
the relevant checkboxes as shown below:
iv.
On a Person Transactions Report, select a specific Transaction No. record and
right-click to invoke a context menu.
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Note: The context menu will differ according to the columns clicked. A Person record
will invoke a Person context menu. Similarly, an Account record will invoke an Account
context menu and an Entity record will invoke an Entity context menu.
v.
Select Submitted Reports for Transaction to display all the Submitted Reports
for a specific transaction.
vi.
These are the suspicious reports that were submitted and loaded into goAML by
the financial institutions.
vii.
There will usually be one or two reports as this transaction will be submitted by
both the source and destination financial institutions.
Select the Escalate Transaction option, if you want to escalate a suspicious transaction
to a case (see section 8.1: Escalate transaction for details).
i.
Select Edit Transaction Details to open the Main Transaction Details window.
ii.
This form displays all the details of the source and destination of a specific
transaction.
iii.
Click on the blue underline values (Account Number, Person Name, and Entity
Name) to display the details of the specific account, person, and entity.
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6.1.7 Analysis – Person – Person Volume & Frequency
This report returns a list of Persons with totals of their deposits and withdrawals, number of
accounts, number of deposits and number of withdrawals depending on the filter criteria.
Expanding the data on a specific person will return all the transactions where the expanded
person is either personally involved or one of his/her accounts is involved.
ii. Select AnalysisPersonPerson Volume & Frequency from the menu. The Person
Volume & Frequency screen is displayed:
iii. Enter the filtering criteria.
Filter criteria
Reporting Entity
The financial institution responsible for reporting the
transaction
Threshold Amount
Entering the amount of 500 in the Threshold will return all
transactions where the amount is equal to 500 or above 500
Person
Return results for the specified person
iv. There are two checkboxes in this report. Data is retrieved based on the selected option:
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6.1.8 Analysis – Person – Person to Person Transactions
All data pertaining to transactions from the source person to the destination person can be
retrieved in this data report. If the source and destination persons are selected, only those
transactions, which are relevant to these persons, are retrieved.
i.
Select AnalysisPersonPerson to Person Transactions from the menu.
ii.
The Person-to-Person Transactions screen is displayed:
Note: Both the source person and destination person have certain risk scores, according
to their past suspicious/criminal activities (refer to section 3.5: Risk score for more
information about risk scores).
Filters:
Reporting Entity
transaction
Threshold Amount
Transaction #
Entering a transaction number will return only those specific
transactions, which are person to person transactions
Source Person
All person to person transactions originating with this person
Destination Person
All person to person transactions where this person is the
destination
i.
Check one of the boxes in Select a Report Type or all of them for filtering
reports in Person to Person Transactions:
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Note: All the transactions uploaded in the system are categorized as either CTR
Transactions, STR Transactions ( ) or Manually Entered Transactions (Case) ( ).
6.1.9 Analysis – Person – Top Account Holders
Under this submenu, you can retrieve data on persons, who have more than one account. By
default the results are grouped by number of accounts. Expanding a No. of Accounts grouping
will list the number of people with that amount of accounts.
i.
Select AnalysisPersonTop Account Holders from the menu.
ii.
The Top Account Holders screen is displayed.
iii.
Fill in the minimum number of accounts a person should have to retrieve relevant
data
iv.
In the example below, 5 is the minimum number for which data is retrieved.
v.
Data is retrieved on persons who have 5 or more accounts.
vi.
Data can be expanded on any desired data field by clicking on the +sign on that
field.
Note: The number in the parentheses indicates that there are two account holders who
have 8 accounts each. In the next group there are 26 account holders who have 6
accounts each.
6.1.10 Analysis – Person – Top Referees – Persons
Referees are those who authorize other people to open an account. Top Count refers to the
number of results you would like returned. The results are sorted with the maximum number
of referees at the top. You can set the Top Count as per requirement.
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i.
Select AnalysisPersonsTop Referees - Persons from the menu.
i.
Fill in any number in the Top Count field, depending on the number of referees
you would like to retrieve data for.
ii.
Data is retrieved as per the Top Count criteria selected:
6.1.11 Analysis – Person – Top Referees – Accounts
Top Referees Accounts refers to the number or accounts a person has indirectly authorized.
For instance, if person A is referee for person B and person B is an Accountholder in 5
accounts, person A is a referee for 5 accounts. The top count can be set as per requirement.
i.
Select AnalysisPersonTop Referees - Accounts from the menu.
ii.
The Top Referees - Accounts screen is displayed.
iii.
Select the name of the financial institute and/or branch as well as specify how
many results you would like returned in the Top Count. As in the Top Referees –
Person, setting the Top Count to 5 will return the 5 referees who have indirectly
referred the most accounts.
iv.
Data is retrieved with the selected criteria:
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6.2
Analysis – Entity
All reports pertaining to transactions to and from an entity can be retrieved and displayed
under this menu. Entity submenu has the following options: Businesses Account Holders,
Entity Transactions and Entity Volume and Frequency.
6.2.1 Entity lookup
The Entity Lookup is used for filtering data in many of the goAML reports.
i.
Click on the icon
screen.
to open the Entity Lookup
ii.
You can search for Entities by Entity Name, Business, Entity Incorporation
Number, City, State, Contact Person, Country etc.
iii.
Enter the relevant filter criteria and click on
iv.
In the example below, all entities registered in goAML with names beginning with
“A” have been retrieved.
v.
To select an entity to filter on in the originating form, double click on the entity in
the data grid.
.
Note: You can clear the search criteria on the Entity Lookup by clicking on the
button on the Entity Lookup screen or hitting <F11> on the keyboard.
i.
You can add a new Entity by clicking on the
ii.
The Entity Full Details screen appears.
iii.
Add information in all the relevant tabs in the screen (refer to section 6.2.3: Entity
full details for more information).
iv.
The entity information appears in the screen.
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6.2.2 Entity context menu
Right-Clicking on any Entity within the result grid of a report invokes the context menu as
shown below. In some case the context menu will be limited depending on the relevance of
the menu items.
6.2.3 Entity full details
i.
Select Entity Full Details from the context menu to open up the Entity Full Details
screen.
Note: You can add/edit entity information on this screen, which will be displayed on the
Entity Details screen.
Add Entity information on the screen under the respective tabs: Basic Entity Details,
Journal, Entity Phones, Entity Addresses, Entity Accounts, Generated Documents,
Assets, Liabilities, Tax Profile, Judicial Profile, Locations/Branches, Attached
Documents, Diagrams and Business Processes. Any changes made here will be reflected in
the Entity Details screen. Once the information has been updated click on the Save icon.
The Basic Entity Details tab has the following parts: Entity, Incorporation Details, Phone
&Address, Contact Person/Director and Updates Timestamp:
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i.
The Updates Time-Stamp shows you the username of the person, who created the
person in the system and when it was created. Updated By shows the last person who
updated the person as well as the last updated date.
ii.
The Phone field shows the number that has been set as the default phone number in
the Entity Phones tab.
iii.
Double-Click on the Phone field to see the details of the phone number.
iv.
You can make changes in the Phone pop-up window and save the changes.
v.
These saved changes will also be displayed under the Person Phones tab.
vi.
The phone field shows the number that has been set as the default phone number in the
Person Phones tab.
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vii.
To add a number, click on the (+) at the bottom of the grid.
viii.
The Phone Details pop-up is displayed.
ix.
Enter the required information and click Save.
x.
The grid will automatically be updated with the new information.
xi.
To edit a phone number click on the underlined number in the Full Phone No column;
The Phone Details pop-up is displayed.
xii.
Edit the details and save.
Note: There can only be one default phone number.
xiii.
To delete a phone number, select the row and click on the (-) symbol at the bottom of
the grid.
The Entity Addresses tab shows the Type, Full Address, Street/House No., Zip, City,
State, Country, Active, Default and Known Since.
i.
Any changes/updates made to the Entity Addresses details can be added/edited by
clicking on the respective icons on the grid.
ii.
Edit or add to the Address details in the same way as editing and adding the Entity
Phones.
The Assets tab shows all the Properties and Vehicles owned by the selected entity.
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i.
To add a new entry click on the (+) icon.
ii.
A new row is added to the grid. Enter the Property or Vehicle details.
iii.
Note that column headers displayed in bold indicate required fields.
iv.
The entry will not be saved until all required fields have been entered.
v.
To remove an entry, select the row and click on the (-) sign.
The Liabilities tab shows the Mortgages and Loans of the selected entity.
i.
Add or edit this data in the same way as assets.
i.
The Tax Profile displays the tax details of the selected entity.
ii.
Add or edit this data in the same way as Assets.
i.
The Judicial Profile displays the Judicial/Criminal Profile history of the Person
respectively.
ii.
Add or edit this data in the same way as Assets.
iii.
Note that it is possible to attach a document to the Judicial / Criminal Case History by
clicking on the (+) in the column to the right.
Locations/Branches tab displays the locations/branches of the selected entity.
i.
To add an entry click on the (+) sign at the bottom of the grid.
ii.
A new row is added. When clicking in either the address, phone or fax columns the
address or phones pop-up will be displayed.
iii.
Enter the information and save.
iv.
The Locations/Branches grid is updated automatically. When clicking into the Person
In charge column, the Person Lookup form is displayed (refer to section
Person lookup for details on using this form).
v.
Click in the attachment column to add an attachment. (refer to section 8.2.2: New /
Edit Case for more information on how to attach a document).
Attached Documents displays a list of documents attached to this entity.
i.
The documents are attached in the Judicial Profile and Locations and Branches tabs.
ii.
Click on the underlined File Name to display the document.
Diagrams tab displays custom diagrams related to the specific Entity. Any modifications and
expansions to the diagram can be saved directly within the report. Stopping and resuming
work on the diagram is possible at any time. See section 10.2: Create diagram for details.
Note: It is possible to create as many diagrams as required for a report.
Business Processes tab displays associated Cases/Projects/Case Proposals associated with the
Entity.
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6.2.4 Entity Transactions
All transactions or transfers of money made b/w Person to Account, Account to Person or
Account to Account where the entity is involved in the transaction are displayed in this
report. When the report is opened from within the Entity Lookup form, the Entity
Transactions filter criteria will by default be set to the current entity as well as the start and
end dates used on the Entity Lookup form (refer to section 6.2.6: Entity Transactions for more
information on the entity transactions report).
6.2.5 Analysis – Entity – Business Account Holders
There are instances when a person holds an account on behalf of an entity. In such cases, all
transactions made by persons on behalf of the entity are registered and monitored by the
system. All reports related to such transactions can be retrieved and displayed under this menu
item.
i.
Select AnalysisEntityBusiness Account Holders from the main menu.
ii.
Retrieve data on the Business Account Holders either by selecting certain criteria on
the header-section of the screen or retrieve all data without selecting any criteria.
Note: The header section of the screen also has the Account Holder Entity Details of the
authorized Person to carry out transactions on behalf of the Entity.
Filter criteria:
Acc Opened Start
and End Date
The date when the account was opened will be between the
start and end date
Account
separated by a comma “,”.
Branch
All branches starting with the letters typed in the branch input
will be returned.
Entity Name
The Registered Name of the Entity
Authorized Person
This is an account holder on any accounts belonging to the
business entity
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6.2.6 Analysis – Entity – Entity Transactions
All reports relating to entity transactions that have been uploaded in the system can be
retrieved and displayed under this menu.
i.
Select AnalysisEntityEntity Transactions from the main menu.
ii.
Select an Entity for which you want to view transactions by clicking on the
Entity Lookup icon to open the Entity Lookup screen. (refer to section 6.2.1:
Entity lookup for details on how to use the Entity Lookup screen).
iii.
All relevant transactions pertaining to the selected entity are displayed in the
grid:
Note: The transaction type (CTR, STR and Manually entered) is selected for the
retrieval of entity transactions by selecting the Report Type checkboxes.
There are three different kinds of transactions associated with Entity Transactions.
Account to Account
Person to Account
Account to Person
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i.
On an Entity Transactions Report, select any specific Transaction ID and rightclick to invoke a context menu. (refer to section 6.2.2: Entity context menu for
details).
ii.
Select Escalate Transaction option, if you want to escalate a suspicious
transaction to a case. (For more info refer to section 8.1: Escalate transaction).
iii.
Select Submitted Reports for Transaction to display all the Submitted
Reports of any specific transaction. These reports are uploaded into goAML by
the financial institutions.
6.2.7 Analysis – Entity – Entity Volume and Frequency
This report returns a list of Entities with totals of their transactions (deposit & withdrawal
amounts) as well as frequency of transactions (number of deposits and withdrawals).
Expanding the data on a specific entity will return all the transactions of the selected entity.
i.
Select AnalysisEntityEntity Volume and Frequency from the Entity submenu
to open the Entity Volume and Frequency report.
ii.
You can retrieve data by Reporting Entity, Threshold Amount and within a
specific Time Period of transactions.
iii.
Set the desired filtering conditions and retrieve the data by clicking on
<F12>.
or hitting
Filter criteria:
Reporting Entity
transaction
Threshold
Amount
Entity
Return results for the specified Entity
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iv.
6.3
The results are grouped by the Entity Name. You can expand the transaction details
of the selected entity by clicking on the icon on the leftmost column.
Analysis – Account
All transactions related to Accounts can be retrieved and analyzed in goAML. The Account
submenu has the following options available to the analyst for data retrieval and analytical
purposes. They are Same Source & Destination, Account Velocity, Account Volume and
Frequency, Account Volume and Frequency by Occupation, Account Volume and
Frequency by Business, Single Account Transactions, Account Transactions (Multiple
Accounts)
6.3.1 Account lookup
The Account Lookup is used for filtering data in many of the goAML reports.
i.
Click on the Account Lookup icon
Account Lookup Form.
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ii.
You can filter Accounts on this form either by Account, Account Type, Currency,
Institute, Branch by entering the relevant criteria as per your requirement
Note: You can clear the search criteria on the Entity Lookup by clicking on the
on the Entity Lookup screen or by pressing <F11> on the keyboard.
button
iii.
Account Details appear on the upper half of the screen whereas Account Holder
Details appear on the lower half of the screen.
iv.
If you are looking for a specific Account Holder, you click on the Account Holder
Detail icon
(refer to section
v.
. It opens up the Person Lookup form.
Person lookup for more information).
You can add a new Account in the system by clicking on the
button.
i.
The Account Full Details form appears.
ii.
You can add information in all the relevant tabs in the Account Full Details screen.
iii.
The Account information will appear in the Account Details screen.
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6.3.2 Account context menu
Right-Clicking on any Account within a result grid of a report invokes a context menu as
shown below. In some cases the context menu will be limited, depending on the relevance of
the menu items.
6.3.3 Copy as Link
i.
Select Copy as Link from the context-menu.
ii.
The selected account will be copied in the system as a link.
6.3.4 Show Private Account(s) Holders
iii.
Select Show Private Account(s) Holders from the context menu.
iv.
All Private Account(s) Holders of any selected account will be displayed.
6.3.5 Show Primary Account Holder Details
i.
Select Primary Account Holder Details from the context menu.
ii.
The Person Details form is displayed with the details for the person who is the
primary account holder for the specific account. (see section 6.1.2: Person Full
Details for more information on how to use this report).
6.3.6 Account Full Details
i.
Select Account Full Details from the context menu.
ii.
The Account Full Details Form is displayed:
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Note: “Updates Time Stamp” shows the username of the person who created the
account entry in the system as well when it was created and the person, date and time
of the last update.
iii.
Account Holder(s) is a list of all persons that are account holders on the
specific account. There will be one primary account holder. If the account is a
business account, the Business Entity will be visible in the Business Entity
textbox. If this textbox is empty the account is a private account.
iv.
Click on any of the Account Holder(s) links to get to get to the Person Full
Details (see section 6.1.2: Person Full Details for more information).
6.3.7 Account Transactions
i.
Select Account Transactions from the context menu.
ii.
Single Account Transactions grid is displayed with details of transactions for
the selected account.
iii.
All transactions where this account is the source or destination will be
displayed. (For more information refer to section 6.3.25: Analysis – Account –
Single Account Transactions).
6.3.8 Volume and Frequency over Time
i.
Select Volume and Frequency over time from the context menu.
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ii.
The Volume and Frequency of transactions view for the selected account is
displayed.
iii.
The total number of transactions in terms of Deposits, No. of Deposits,
Withdrawals, and No. of Withdrawals etc. are available on the Account
Volume and Frequency grid.
6.3.9 Submitted Reports for Transaction
i.
Select Submitted Reports for Transaction to display all the Submitted
Reports for a specific transaction.
ii.
These reports are uploaded into goAML by the financial institutions. There
may be multiple reports containing the same transaction e.g. submitted by both
the source and destination financial institutions. Each submission will be
shown as a separate column.
iii.
Click on the Upload ID to display the originally submitted XML file.
Note: Transaction specific context menu entries will only be available in reports that
are displaying individual transactions e.g. ‘Same Source and Destination’
6.3.10 Escalate Transaction / Escalate Report
i.
Select Escalate Transaction from the context menu to register a new Case or
Case Proposal for a suspicious transaction or attach the transaction to an
existing Case (Proposal) (see section 8.1: Escalate transaction for more
information).
ii.
Select Escalate Report to escalate all transactions that are contained in the
same report as the currently selected transaction. Please see Error! Reference
source not found. Error! Reference source not found. for displaying all
transactions that are contained in the same report (submission).
6.3.11 Edit Transaction Details
i.
Select the Edit Transaction Details option to display the Transaction Details
for the selected transaction:
ii.
Depending on your permissions the details of the transaction can be updated
and saved.
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6.3.12 Export Original XMLs
i.
Click on Export Original XMLs to retrieve the original XML report uploaded in the
system.
6.3.13 Linked Reports
i.
It retrieves and displays all the reports in the system that are linked to the given
transaction.
6.3.14 Generate Documents
You can create pre-formatted documents using custom templates in the system. A list of all
available templates are available in the Generate Documents window.
( See Section 3.6)
6.3.15 Diagram Selected Transactions
i.
Click Diagram Selected Transactions to create a new Diagram containing the
transaction as well as the parties involved in the transaction.
ii.
A new diagramming tab is opened displaying the transaction parties, a connector
between them as well as the amount of the transaction.
iii.
See 10.2 Create diagram for a detailed description of the features available in the
diagramming component.
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6.3.16 Create Diagram
i.
Click Create Diagram to create a new diagram containing the selected account as
start element. The diagram will be opened in a new tab.
ii.
See 10.2 Create diagram for a detailed description of the features available in the
diagramming component.
6.3.17 Add to Virtual Object
i.
Select Add to Virtual Object to open the Virtual Objects Lookup screen.
ii.
Select an existing Virtual Object (VO) or create a new one.
iii.
See 9.4 New Subjects: New Virtual Object for more details on Virtual Objects.
6.3.18 Add all related objects to Virtual Object
i.
Select Add All Related Objects to VO to open the Virtual Objects Lookup screen.
ii.
Select an existing Virtual Object (VO) or create a new one.
iii.
All objects contained in the selected transactions will be added to the Virtual Object.
6.3.19 Show Virtual Object(s)
i.
Select Show Virtual Object(s) in the context menu to open the Virtual Objects Lookup
in a new tab.
ii.
The selected account will be pre-set in the Account section
iii.
Hit F12 or click on
iv.
See for more details on the VO lookup function.
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to return the results for the selected account.
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6.3.20 Analysis – Account – Same Source & Destination
This report shows all the transactions between accounts of one individual or organization. So,
the owner or signatory of both the source and destination in a transaction is the same. The
screen shows individual transactions. Running the report with the default settings (without
Account Holder restriction all transactions meeting the above stated rule will be returned.
i.
Select AnalysisAccountSame Source and Destination from the main
menu.
ii.
The Same Source and Destination screen is displayed with all transactions,
where the source and the destination account holders are the same:
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Filter criteria
Start Date, End Date
The transaction date lies between the indicated start and end
date.
Account
with a comma “,” between the account numbers.
Account Type
Select one of the predefined account types.
Account Status
Filter the results by the current status of the account e.g.
‘dormant’
Institute
Filter the results by selecting a specific Institute that
submitted data to the FIU. e.g. a Bank
Branch
Once an Institute has been set the results can be further
refined by selecting a specific branch.
Note: The dropdown will only contain values in case
branches have been created for the Institute.
Occupation
Return a result only for accounts where the account holders
have the set Occupation.
Account Holder
Click on the
icon to open the Person Lookup as a
popup window.
Run the search and double click on the desired person to
take it over as search criterion into the Same Source and
Destination report.
6.3.21 Analysis – Account – Account Velocity
In this report, the distribution of account frequency (number of transactions per account) over
a period of time is retrieved. The transactions are grouped per week and are displayed by year,
quarter, month and week according to the set transaction date range.
i.
Select AnalysisAccountAccount Velocity from the main menu
ii.
The Account Velocity report screen appears.
iii.
Set the desired filtering conditions and retrieve the data by clicking on
<F12>.
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or hitting
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Note: Account Velocity data can be filtered by selecting certain criteria on the header section
of the screen such as the Account Type, Threshold Amount, Account Status, Currency,
Banking Institute, Branch, Date and End Date.
iv.
Click on the
tab on the bottom of the Account Velocity report screen to get
the data in a pivot table.
Note: This feature allows you to choose the rows and columns to pivot on and quickly
generate useful reports (see section 4.14: Pivot table).
6.3.22 Analysis – Account – Account Volume & Frequency
The report displays the total amount of deposits and withdrawals for the selected account
(volume of transactions in local currency) the number of deposits and withdrawals (Frequency
of transactions) as well as the total number of transactions (both deposit & withdrawal) and
account holders.
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i.
Select AnalysisAccountAccount Volume and Frequency from the menu.
ii.
Data can be retrieved with or without selecting specific filter criteria. One or more
accounts may be entered in the Account: input or leave it blank to return data on all
accounts.
iii.
For each returned account clicking on the ‘+’ icon in the first column displays the
individual transactions that meet the set search criteria.
Note: Select Transaction Type by selecting the appropriate check-box in the Report Type
Dropdown for which you need to retrieve data (CTR, STR,…).
6.3.23 Analysis – Account – Account Volume and Frequency by Occupation
In this report, account volume and frequency are calculated on the basis of occupation. Data is
retrieved for all accounts based on the occupation of the primary account holder
Note: Thjs report will only return aggregated figures and does not allow the drilldown to
individual transactions per occupation.
i.
Select AnalysisAccountAccount Volume and Frequency by Occupation
from the main menu.
ii.
Select the start and the end dates between which the transactions took place.
iii.
Select the Occupation of the Account Holder from the drop-down menu.
iv.
Set the Report Type(s) you want to filter for.
v.
Retrieve the data by clicking on
or hitting <F12>.
Note: The total Deposits and Withdrawal amounts as well as the number of deposits ,
withdrawals and transactions per account for a selected occupation can be retrieved.
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6.3.24 Analysis – Account – Account Volume & Frequency by Business
In this report, data is retrieved for all accounts linked to a selected business during a given
time period. This report retrieves data for all Entity Accounts in the given time range.
i.
Select AnalysisAccountAccount Volume and Frequency by Business from the
main menu.
ii.
Select the start and the end dates between which the transactions took place.
iii.
Select the Business of the Account Holder from the drop-down menu.
iv.
or hitting <F12>.
Note: The total amount of Deposits and Withdrawals as well as the number of deposits,
withdrawals and the total number of transactions that took place within the selected dates of
a selected business are retrieved.
6.3.25 Analysis – Account – Single Account Transactions
All transactions that took place on any single account can be retrieved in this report. Data is
retrieved by entering an account number in the Account field.
i.
Select AnalysisAccountSingle Account Transactions from the main menu.
ii.
Enter the account number for which data should be retrieved for analysis.
iii.
Data is retrieved on all transactions for the selected account:
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6.3.26 Analysis – Account – Account Transactions (multiple accounts)
This report retrieves transaction details for all incoming and outgoing transactions to and from
a specific account or number of accounts. In case of getting data (transactions) for more than
one account, they can be specified separated by comma.
i.
Select AnalysisAccountAccount Transactions from the main menu.
ii.
Retrieve data by selecting filter criteria on the header section of the screen such
as Account Status, Account Type, Currency, Reporting Entity, Banking
Institute, Teller etc.
6.4
Analysis – Demographic
Under the Demographic submenu, the following data can be retrieved: Person/Account by
Address, Duplicated Phones, Duplicated Addresses, Volume& Frequency by State and
City and International Transactions.
6.4.1 Analysis – Demographic – Person/Account by Address
Data can be retrieved from this submenu by the addresses of persons and accounts registered
in the system. Users can specify any address information available to find out the individuals
and/or accounts owned by individuals occupying the address.
i.
Select AnalysisDemographicPerson/Account by Address from the main menu.
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ii.
Select any filter criteria for which you want to retrieve data. It is a requirement to filter
on at least one address field.
iii.
In the example below, data is retrieved on all Accounts/Persons in Abuja:
6.4.2 Analysis – Demographic – Duplicated Phones
This report returns all duplicated phone numbers with the name of the Person/Entity/Account
that they are registered to. It helps to analyze any contact sharing or duplication by
individuals. You can specify the minimum number of duplicates (country- based) for which
the phone number(s) are shared by more than one person.
i.
Select AnalysisDemographicDuplicated Phones from the main menu.
ii.
Enter any number in the Min. Duplicates No. (country specific) for which the
duplicate phone no(s) are required.
iii.
or hitting <F12>.
Note: In the example below, 5 is selected as the minimum number of duplicates (countryspecific) for which the phone number(s) shared by more than one person are displayed. The
number in the parentheses indicates the number of same phone number(s) available for a
given number.
iv.
Click on the (+) sign next to the phone number to expand all data on any given phone
number.
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6.4.3 Analysis – Demographic – Duplicated Addresses
This report displays all individuals sharing the same address which helps analyzing links
between them. You can specify the minimum number of duplicates for which the addresses
are shared.
i.
Select AnalysisDemographicDuplicated Addresses from the Main
menu.
ii.
Enter any number in the Min. Duplicates No. for which the duplicate
addresses are required.
iii.
Data is retrieved by clicking on the retrieve data icon.
Note: In the example below, 5 is selected as the minimum number of duplicates for
which the addresses shared by more than one person are displayed.
iv.
Click on the (+) sign next to Occurrences to expand all data on any given
Occurrence.
6.4.4 Analysis – Demographic –Volume & Frequency by State
Under this menu item, you can retrieve data on the volume and frequency of transactions
within a state in a given time range. The total amount of deposits and withdrawals and the
number of deposits and withdrawals, can be retrieved by State.
i.
Select AnalysisDemographicVolume & Frequency by State from the
main menu.
ii.
Retrieve data with/without selecting any filter criteria in the header section of
the Volume and Frequency by State screen:
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iii.
Click on the
sign to the left of the State to expand data on the specific State:
6.4.5 Analysis – Demographic – Volume and Frequency by City
Under this menu item, you can retrieve data on the volume and frequency of transactions,
which occurred within a city in a given date range. Total amount of deposits and withdrawals,
and number of deposits and withdrawals, can be retrieved by State.
i.
Select AnalysisDemographicVolume & Frequency by City from the main
menu.
ii.
Retrieve data with/without selecting any filter criteria in the header section of the
Volume and Frequency by City screen.
iii.
Click on the
goAML User Guide
sign left of the city to expand data on the specific city:
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6.4.6 Analysis – Demographic – International Transactions
All transactions where the source account/person and destination account/person are in
different countries are referred to as International Transactions. This report displays a list of
source and destination countries with the number and total amount of transactions. The
country can be expanded to show details of each individual transaction.
i.
Select AnalysisDemographicInternational Transactions from the main menu.
ii.
The Source country is the country, where the transaction originates.
iii.
Enter a Threshold Amount if you want to retrieve transactions, above a certain
amount.
6.5
Analysis – Virtual Object
Virtual Objects help create a virtual link between two instances of the same object (Person,
Account and Entity) where we cannot prove that they are the same person, account or entity.
It helps creating a group of objects that share some kind of relation, without being aliases of
the same object. For example, we can have a virtual object (VO) combining all possible drug
dealing actors. A parent Virtual Object can have a few virtual objects under it. The name of
the Virtual Object should be unique and the system checks for duplicates.
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6.5.1 Analysis – Virtual Object Transactions
i.
Select AnalysisVirtual ObjectVirtual Object Transactions from the main
menu.
ii.
Click on the Virtual Object icon
iii.
Retrieve data on any given Virtual Objects Transactions linked to an Account,
Person or Entity by clicking on or hitting <F12>.
iv.
You can sort by Virtual Object Name or Description of the Virtual Object.
to open the Virtual Objects Lookup form.
In the example below, the linked Objects grouped under the Virtual Object Name (e.g.
Chicago Alcohol Family) are shown below. The two objects that are linked to Chicago
Alcohol Family are Account (0010101017961) and Entity (02M90S80J1). This implies that
these two objects are somehow connected to the Virtual Object:
i.
To add a new Virtual Object, Click on
Maintenance screen.
ii.
Enter all the details and add all Linked Objects to the new VO by clicking on the (+)
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, it opens up the Virtual Object
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8.0 Business Processes
7
Catalogue Search
The Catalogue Search has the following submenu items: Account Lookup, Person Lookup,
Entity Lookup, Address Lookup, Text Lookup, Quick Finder, Virtual Object Lookup,
Transaction Lookup, Report Lookup, Intelligence Report Lookup, Templates Lookup,
Journal Lookup and Disseminated Transaction Lookup.
7.1
Catalogue search – Account Lookup
Under this submenu, you can retrieve account details for each account registered in the system
The shortcut keys for the Account Lookup screen is the Shift+F1 keys in combination.
i.
Select Catalogue SearchAccount Lookup from the main menu.
Note: Account details of each account registered in the system can be retrieved under
Account Lookup.
ii.
Either retrieve data on the Account Lookup screen by entering filter criteria on
the header section or retrieve all data without selecting any criteria.
Note: There are two grids in the Result Section. The top grid displays all the details for
the Account while the bottom grid shows the Account Holders for the currently
selected/highlighted Account.
iii.
Right-Click on any Account record on the Account Lookup screen to invoke a
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context menu.
iv.
View details relating to the selected account by clicking on any of the options.
Note: Refer to section 6.3.2: Account context menu for more information on using the
context menu for accounts.
7.1.1 Merge Linked Accounts
The Account Lookup retrieves all linked accounts when the search criteria matches any
member of the link.
Example:
When we look for the account “10472409718” in the system, it returns all related accounts
with the same parent record.(see screenshot below) . The linked subjects are denoted by
There is a common parent for the linked subjects shown in the system.
i.
You can search records for All Related, Exact Match or Only Parent by
selecting any of these check-boxes on the Lookup form.
ii.
You can retrieve all details of the linked account by selecting the Account Full
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Details option. The link to the unique account is also displayed .
iii.
Account Full Details of the unique account includes a tab with a list of all linked
accounts.
iv.
Account Diagram node has an expand/collapse option to retrieve all related
accounts
v.
Account Transaction option retrieves all transactions of all related linked
accounts.
vi.
vii.
There is an option to merge linked subjects (i.e all children records) by clicking
on the Merge Linked subjects icon in the Account Full Details form. If you
want to merge these records to a parent record, a warning appears. Click “Yes” to
continue.
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viii.
Once merged, a message appears confirming the merge.
ix.
Sometimes you may like to create a copy of the unique parent record instead of
merging all the linked children records in order not to lose the original data. You
can do so by clicking on the “create a copy” icon
. When a copy of the
original record is created, it will be set as “parent” for the group of subjects
linked to the current record. Only users with the permissions will be allowed to
create a copy. Editing will also only be possible if the current subject is a “copy”
and the user has permissions to edit.
x.
A message appears asking for confirmation.
xi.
A confirmation message appears once a copy of the record has been made. You
can edit the fields in the copied record.
7.2
Catalogue search – Person Lookup
Under this sub-menu, the person details of all registered persons in the system can be retrieved.
The shortcut keys to open the Person Lookup screen are the Shift+F2 keys in combination.
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i.
Select Catalogue SearchPerson Lookup from the main menu.
ii.
Retrieve data by entering filter criteria on the header section or retrieve all Persons
without entering any filter criteria.
Note : The search for Employer works only for the exact match.
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iii.
Right-Click on any Person record on the Person Lookup screen to invoke a Person
context menu.
iv.
All the details relating to the selected person may be retrieved by clicking on any of the
relevant options on the context menu.
Note: Refer to section 6.1.1: Person context menu for more information on using the context
menu for persons.
7.2.1 Merge Linked Persons
The Person Lookup retrieves all linked persons when the search criteria matches any member
of the link.
Example:
When we search for the person “Aaron” in the system, it returns all related persons with the same
parent record.(see screenshot below) . The linked subjects are denoted by
There is a common
parent for the 2 related objects shown in the system.
xii.
You can search records for All Related, Exact Match or Only Parent by selecting any
of these check-boxes on the Lookup form.
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xiii.
You can retrieve all details of the linked person by selecting the Person Full Details
option. The link to the unique person is also displayed .
xiv.
Person Full Details of the unique person shows all the properties of all linked persons
like accounts, phones, addresses, identifications etc.
xv.
Person Diagram node has an expand/collapse option to retrieve all related persons
xvi.
Person Transaction option retrieves all transactions of all related linked persons
xvii.
You can search records for All Related, Exact Match or Only Parent by selecting
any of these check-boxes on the Lookup form.
xviii.
There is an option to merge linked subjects (i.e all children records) by clicking on the
Merge Linked subjects icon in the Person Full Details form. If you want to merge
these records to a parent record, a warning appears. Click “Yes” to continue.
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xix.
Example:
After the merge if we search for the person “Aaron Carmelia” in the system, it returns only one
record. i.e the parent record unlike in the previous example where it returns 2 records of the same
person.
xx.
merging all the linked children records in order not to lose the data. You can do so by
clicking on the “create a copy” icon
. When a copy of the original record is created,
it will be set as “parent” for the group of subjects linked to the current record. Only
users with the permissions will be allowed to create a copy. Editing will also only be
possible if the current subject is a “copy” and the user has permissions to edit.
xxi.
xxii.
A confirmation message appears once a copy of the record has been made. You can
edit the fields in the copied record.
7.3
Catalogue search – Entity Lookup
Under this submenu, you can retrieve entity details for all entities registered in the system. The
shortcut keys for the Entity Lookup screen is the Shift+F3 keys in combination.
i.
Select Catalogue SearchEntity Lookup from the Main menu.
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Note: Entity details of all entities registered in the system can be retrieved under “Entity
Lookup”.
ii.
Retrieve data on the Entity Lookup screen by selecting filter criteria on the
header section or retrieve all data without selecting any criteria:
iii.
Right-click on any record on the Entity Lookup screen to open a context menu.
iv.
All the details relating to the selected entity can be retrieved by selecting any of
the relevant options on the context menu:
Note: Refer to section 6.2.2: Entity context menu for more information on using the
context menu for entities.
7.3.1 Merge Linked Entities
The Entity Lookup retrieves all linked entities when the search criteria matches any
member of the link.
Example:
when we search for the entity “Calin Corp ” in the system, it returns all related entities with
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the same parent record.(see screenshot below) . The linked subjects are denoted by
is a common parent for the 2 related objects shown in the system.
There
i.
ii.
You can retrieve all details of the linked entity by selecting the Entity Full Details
option. The link to the unique entity is also displayed .
iii.
Entity Full Details of the unique entity shows all the properties of all linked
entities like accounts, phones, addresses, identifications etc.
iv.
v.
There is an option to merge linked subjects (i.e all children records) by clicking
on the Merge Linked subjects icon in the Entity Full Details form. If you
want to merge these records to a parent record, a warning appears. Click “Yes” to
continue.
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vi.
Example:
After the merge if we search for the entity “Calin Corp” in the system, it returns only one
record. i.e the parent record unlike in the previous example where it returns 2 records of the
same person.
vii.
merging all the linked children records in order not to lose the data. You can do
so by clicking on the “create a copy” icon
. When a copy of the original
record is created, it will be set as “parent” for the group of subjects linked to the
current record. Only users with the permissions will be allowed to create a copy.
Editing will also only be possible if the current subject is a “copy” and the user
has permissions to edit.
viii.
ix.
7.4
A confirmation message appears once a copy of the record has been made. You
can edit the fields in the copied record.
Catalogue search – Address Lookup
Under this submenu, you can retrieve address details of all persons and entities registered in
the system. The shortcut key combination for the Address Lookup screen is Shift+F4.
i.
Select Catalogue SearchAddress Lookup from the Main menu.
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Note: Address details for all account holders registered in the system can be retrieved
under “Address Lookup”.
ii.
Retrieve data on the Address Lookup screen by either filter criteria on the header
section or retrieve all data without selecting any criteria:
The icons in the left column indicate whether the address is that of an Employer, Person,
Entity or an Account:
Employer
Person
Entity
Account
iii.
Right-click on any record on the Address Lookup screen to open a context
menu.
iv.
Select Address Information on the context menu to open the Address
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Information screen:
7.5
Catalogue search – Text Lookup
The Text Lookup functionality allows searching in case file (comments, offence, and reason)
as well as in all the attached documents (name, description and actual doc.) and in STR File
(comments and reason).
i.
Select Catalogue SearchText Lookup from the Main menu.
ii.
Enter the text you wish to search for in the Search For field (see example below) and
retrieve the data by clicking on or hitting <F12>.
iii.
All Case Files, which contain the specific text, are retrieved in the results.
iv.
To open the Case or STR, click on the underlined Case or STR number in the Owner
column.
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v.
7.6
If the text appears in an attached file the name of the file will appear in the File Name
column. Click on the file name to open the file directly.
Catalogue search – Quick Finder
You can look up any person, entity or account, employer, VO using this submenu option. It
can be opened from anywhere in the application with Ctrl+F shortcut keys.
i.
Select Catalogue SearchQuick Finder from the Main menu or hit Ctrl+F.
ii.
The Quick Finder window appears.
iii.
Enter the Search Keyword in the Find textbox. The Quick Finder starts
retrieving matching results after the 2nd character.
iv.
The Quick Finder presents a list of results matching your query.
Note: The icon on the left-most column indicates whether it is an entity, person or an
account whereas the risk score icon indicates the score assigned to the given entity,
account or person.
7.7
Catalogue search – Virtual Object Lookup
Under this submenu, you can retrieve transaction details for each Virtual Object registered in
the system .The shortcut key combination for the Virtual Object Lookup screen is Shift+F6.
i.
Select Catalogue SearchVirtual Object Lookup from the Main menu.
ii.
The Virtual Object Lookup window appears.
iii.
Retrieve data on the Virtual Object Lookup screen by selecting filter criteria on
iv.
You can filter by Virtual Object or Description as well as retrieve data only
within the defined time period.
v.
You can search for private, public or all VOs. Private VOs only includes Virtual
Objects created by the currently logged in user whereas public includes all VOs
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created by any user and marked as public.
vi.
You can only retrieve data for Virtual Objects that have been included in the
watch lists, by selecting the Bring only Watchlists check-box.
Note: Virtual Object details of all Virtual Objects registered in the system can be
retrieved under Virtual Object Lookup.
vii.
Right-Click on any of the records on the Virtual Object Lookup screen to invoke
the context menu.
viii.
All the details relating to the selected entity can be retrieved by selecting any of
the relevant options on the context menu.
Note: Refer to section 6.5.1: Analysis – Virtual Object Transactions for more
information on using the context menu for entities.
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7.8
Catalogue search – Transaction Lookup
Under this submenu, you can retrieve transaction details between all Involved Parties. The
shortcut for the Transaction Lookup screen is the key combination Shift+F7. You can filter
data by Transaction Number, Reporting Entity, Transaction Description and Transaction
Location.
i.
Select Catalogue SearchTransaction Lookup from the Main menu.
ii.
The Transaction Lookup window appears.
iii.
Retrieve data on the Transaction Lookup screen by selecting filter criteria on the
header section or retrieve all data without selecting any criteria.
iv.
You can filter by Report Type, Transaction Number and Reporting Entity as well
as retrieve data only within the defined time period.
v.
In the Select Report Type dropdown the selection can be narrowed down to any
desired report type and report type combination.
vi.
You can select the wildcard check-box to enforce the wildcard search option. When
you are not sure of what exactly you are looking for, then this search comes in handy.
Wildcard search can be used as a place holder for any sequence of characters or words.
Note: Transactions indicated by this icon
are for the Involved Parties transaction type.
Clicking on this icon shows all the parties with their respective roles in the transaction.
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vii.
Right-click on any of the records on the Transaction Lookup screen to invoke the
context menu.
viii.
All the details relating to the selected Transaction can be retrieved by selecting any of
the relevant options on the context menu:
7.9
Catalogue search – Report Lookup
Under this submenu, you can retrieve data on all Report Types. The shortcut key combination
for the Report Lookup screen is Shift+F8. You can filter data by the following categories:
Reporting Source, Reporting Entity, Report Type, Amount Threshold, Risk Score
Threshold, Reason for Suspicion, Analyst, No. of Transactions, Classification, Comments.
i.
Select Catalogue SearchReport Lookup from the main menu.
ii.
The Report Lookup window appears.
iii.
Retrieve data on the Report Lookup screen by selecting filter criteria on the header
section or retrieve all data without selecting any criteria.
iv.
You can filter by Reporting Source, Reporting Entity, Report Type, Amount
Threshold, Risk Score Threshold, Reason for Suspicion, Analyst, No. of
Transactions, Classification and Comments within a defined time period.
Filter criteria
Ref. Start and End
Date
The defined date range for which you want to retrieve reports
Reference No.
The reference number of the Report. This is a unique
identifier of the report and is automatically generated
Comments
Any remarks made by the analyst for a specific report
Classification
Filter by classification assigned by the analyst e.g.
confidential
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Reporting Source
Source that reported the transaction e.g. Police Authorities,
Tax Authorities
Reporting Entity
Entity that logs/sends the report into the system
Amount Threshold
Report Type
UTR, STR, CTR ,Manual
Report Status
Filtering based on the workflow status of the report.
Risk Score
Threshold
Any STR with the entered Risk Score or above
Reason for
Suspicion
Reason why the report was submitted
Analyst
The name of the analyst
No. of Transactions
Number of transactions made during the defined time range
The report upload number
FIU Ref. Number
The unique reference number for the Report
Collaborating
Agency Type
Agencies that work with each other to share information or
barter for specialized services to effect a deliberate synergism.
e.g. reporting entities, stakeholders, financial intelligence
units etc.
v.
In the Select Report Type drop-down, the selection can be narrowed down to any
desired Report Type.
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7.10 Catalogue Search – Intelligence Report Lookup
Under this submenu, you can retrieve data on all Intelligence Reports filed in the system. The
shortcut key combination for the Report Lookup screen is Shift+F8. You can filter data by the
following categories: Ref. Start Date, Ref. End Date, Ref. Number, Type and Analyst.
i.
Select Catalogue SearchIntelligence Report Lookup from the main menu.
ii.
The Intelligence Report Lookup window appears.
iii.
Retrieve data on the Intelligence Report Lookup screen by selecting filter criteria on
iv.
You can filter by Ref. Number, Type and Analyst within a defined time period.
Filter criteria
Ref. Start and End
Date
Reference No.
The reference number of the Report. This is a unique identifier of the
report and is automatically generated
Type
Case, Case Proposal, Operation, Project and Report for Info
Journal Type
Dissemination (Automated Process), Unknown
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7.11 Catalogue Search – Templates Lookup
Under this submenu, you can retrieve data on all generated Templates in the system. You can
filter data by the following categories: Ref. No., User and Template Name. There is a
template generation mechanism for Business Processes, Reports and Subjects within goAML.
i.
Select Catalogue SearchTemplate Lookup from the main menu.
ii.
The Template Lookup window appears.
iii.
Retrieve data on Template Lookup screen by selecting filter criteria on the header
iv.
You can filter by Template Ref. Number, User and Template Name within a
defined time period.
Filter criteria
Ref. Start and
End Date
Reference No.
The reference number of the Report. This is a unique identifier of the report
and is automatically generated
User
Name of the user
Template
Name
Unique and descriptive name of the underlying template
Received
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Check Box
Indicates whether a response has been submitted and received for the given
document.
(see section 3.6 Generate documents)
7.12 Catalogue Search – Journal Lookup
Under this submenu, you can retrieve all the Journals associated with an object type. It allows
a consolidated search for all the journals in the system. You can filter data by the following
categories:
i.
Select Catalogue SearchJournal Lookup from the main menu.
ii.
The Journal Lookup window appears.
iii.
Retrieve data on the Journal Lookup screen by selecting filter criteria on the header
iv.
You can filter by Ref. Start Date, Ref. End Date, Search Text, Object Type,
Analyst and Journal Type.
Filter criteria
Ref. Start and End
Date
The defined date range for which you want to retrieve journals
Reference No.
The reference number of the Report. This is a unique identifier of the
report and is automatically generated
Object Type
Virtual Object, Account, UTR, CTR, Request for Info, Case Proposal,
Case
Analyst
The name of the analyst
Journal Type
Dissemination (Automated Process), Unknown
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7.13 Disseminated Transactions Lookup
For analysts to be able to analyse transactions that have been disseminated during a certain
period of time or to be able to analyse why these transactions had been deemed suspicious,
there is a Disseminated Transactions Lookup option.
i.
Select Catalogue SearchDisseminated Transactions Lookup from the main menu.
ii.
The Disseminated Transactions Lookup window appears.
iii.
Retrieve data on the Disseminated Transactions Lookup screen by selecting filter
criteria on the header section or retrieve all data without selecting any criteria.
iv.
You can filter by Dissemination Date From, Dissemination Date To , Reporting
Entity Type, Reporting Entity Name, Case Classification, Case Source and Report
Indicators.
Filter criteria
Dissemination
From and To Date
The defined date range for which you want to retrieve disseminated
transactions
Reporting Entity
Type
The entity type, from where the transaction originated
Reporting Entity
Name
The name of the entity which reported the transaction
Case Classification
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Case Source
Report Indicators
8
Activate ( ) the checkboxes of the available values, which categorize
the report best
Business Processes
The Business Process menu gives access to the cases, case proposals, requests for information,
operations and projects raised and registered in goAML by different reporting entities.
Information can be retrieved on any selected person, entity and/or account. Criteria such as the
reference start date, end date, reference number, case source, reporting entity, and many
more can be selected for data retrieval. All these reports can be exported to Excel, XML or
PDF.
8.1
Escalate transaction
On all Transactions, there is an option in the context menu to Escalate the Transaction. You
can either escalate it to a Case File or to a Case Proposal for further investigation. A case
proposal has its own workflow and custom numbering definition. Once all information is
entered, the case proposal can be escalated to a case and followed up respectively.
Any case proposal can be turned into a case by clicking on the Escalate to Case button in the
Case Cover tab. After escalation, the button is disabled and the reference number of the new
case is presented in the Escalated to field.
i.
Select Escalate Transaction from the context menu of any Transaction Report.
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ii.
Escalate Transaction has 2 options : Escalate to Case File and Escalate to Case
Proposal
iii.
Select Escalate to Case File
iv.
The Case Lookup window is displayed:
Note: You can either look for an already existing case or add a new case.
v.
You can filter the Cases by Case Source, Reference Number, Principal
Officer, Analyst, Status, Classification, Risk Score Threshold, Offence or
Person/Entity/Account involved in the case.
vi.
To add/edit a Case, select
vii.
Case File screen appears
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viii.
Add relevant details on the Case File (refer to 8.2.2 New / Edit Case for more
information). Once the full information has been added, save and close the case
file.
ix.
A pop-up window is displayed to specify a reason for escalation. Enter the
reason and Click on OK to save it. You will get a confirmation pop-up stating
that the transaction has been successfully escalated.
x.
Escalated transactions are indicated by the icon in the transaction reports.
They appear to the left of the Transaction No. column.
xi.
Click on the
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Note: If you click on the Case Escalation icon for a transaction that is associated with
more than one case, you get the following pop-up:
xii.
Select Escalate to Case Proposal
xiii.
The Case Proposal Lookup window is displayed.
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Note: You can either look for an already existing case proposal or add a new case
proposal
xiv.
You can filter the Cases by Case Source, Reference Number, Collaborative
Agency, Principal Officer, Analyst, Status, Classification, Risk Score
Threshold, Offence, Collaborative Agency or Person/Entity/Account
involved in the case.
xv.
To add/edit a New Case Proposal , click on
Proposal Lookup screen.
xvi.
Case Proposal screen appears
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xvii.
Add all relevant details on the Case Proposal . Once the full information has
been added, save and close the Case Proposal file.
xviii.
A pop-up window is displayed to specify a reason for escalation. Enter the
reason and click on OK to save it.
8.2
Case Management
Basically, a goAML case is a collection of information about transactions, persons, entities,
accounts and more. You can search for existing cases (see 8.2.1 Find Cases) and edit them if
necessary and you can create new cases (see 8.2.2 New / Edit Case).
8.2.1 Find Cases
Data on any goAML case can be retrieved for more detailed information. Case Source,
Analyst, Case Status, Risk Score Threshold, Offence, Collaborative Agency, Principal
Officer and Classification are stated for each of the registered cases. Each case has a unique
case reference number.
i.
Select Business ProcessesCasesFind Cases from the menu.
ii.
You can retrieve certain cases by selecting the relevant criteria in the header
section or retrieve data without selecting any criteria:
iii.
Double-click on any selected case in the grid to open the case file:
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Note: Every case file has its details stored in the following tabs: Case Cover, Journal,
Reports, Transaction Info, Involved Persons, Involved Entities, Involved Accounts, Case
Attachments, Record Checklists, Generated Documents, Intelligence Reports, Diagrams
and Linked Messages. Detailed information for analysis on any of these can be retrieved
by selecting the relevant tab in the case file.
iv.
The current status of the case is indicated in the Workflow section of the Case
Cover tab. After completing your work on the case, you assign the case to the next
responsible person. The person to who you assign the Case can send it back to you
by clicking on the
send it back.
button. You have to enter Comments before you can
Note: The letter “N” indicates that the case has been set at normal priority in the Options
section.
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8.2.2 New / Edit Case
You, as an analyst, can add a case or edit an existing case in the system.
i.
Select Business ProcessesCasesNew/Edit Case from the menu.
A new empty case file is created and opened.
8.2.3 The Case File
The details of the case are available in the following tabs: Case Cover, Journal, Reports,
Transaction Info, Involved Persons, Involved Entities, Involved Accounts, Case
Attachments, Record Checklists, Generated Documents, Intelligence Reports, Diagrams
and Linked Messages.
You can add a new case file, delete an existing case file, save changes that have been made to
the current case file or search for information in the existing case files in the system by
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clicking on the respective icons in the case file’s toolbar (some of them only while the Case
Cover tab is active).
Case cover:
Add New Case
i.
Click on Add a new record ( ) on the case file cover.
ii.
Enter the Reference Date, Case Source, Risk Score, Classification, Possible
Offence and Analysts’ Remarks. A Case Reference No. is automatically
generated.
iii.
Save the changes by clicking on
or hitting <Ctrl>+S.
8.2.4 Case workflow
Regular Workflow
As soon as a new case file is saved, the workflow status is set to New and displays the
status and the user currently responsible for the case in the Current Status field:
i.
To assign the case to another analyst, select this person from the drop-down list
“To”. Enter any comments you might have into the Comments field and click on
the button.
Note: The text on the button depends on the current workflow state. You will only be able
to assign the case to another analyst if you have the permission to do so.
ii.
The current status field will indicate Assigned and displays the name of the
person to whom the case has been assigned.
iii.
A message is created pointing to the case and displaying the Comments.
iv.
It is also possible to assign the case to oneself.
v.
A message is created in the Workflow Assignments pointing to the case and
displaying the entered comments.
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Note: An assigned case can be opened by double-clicking its icon within the Workflow
Assignments.
vi.
Click on the Options tab to set the priority of the case on the sidebar
vii.
Click on the History tab to view the workflow steps and the relevant dates of case
initiation, completion, etc.
Optional Workflow
i.
When the case is in status Assigned, the following options are available for
Optional Flow: Dormant, Rejected and Waiting.
ii.
To set the case to Dormant, set a reason and select target analyst.
iii.
The notification is sent to the assigned resource.
Note: The transition may be possible only if the target person has been selected.
iv.
To set the case to Rejected or Waiting, indicate the reason to do so.
v.
A notification is sent to the user’s Workflow Assignments in both instances.
Journal
Journals associated with the case are displayed in this tab. You could either select Show
All Journals or Show Only My Journals. You can either Show or Hide Preview by
clicking on
The journals are listed in the grid under 4 column headings : Last
Updated, Creator, Subject and Type. You can add a new Journal by clicking on the
append icon ( ).Clicking on the Subject Link opens the Edit Journal. You can make
changes to the journal here and save. The Timestamp in the Last Updated column will be
automatically updated. Spell Check as you type can either be enabled or disabled.
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Subject and Type of Journal are mandatory fields.
Remove Journal from case
i.
Click on the icon the tab’s footer or hit <F3> to delete an associated journal
from the case.
Reports:
Reports associated with the case are displayed in this tab. It is possible to add a new report.
1.
Add report
i.
Click on the icon in the tab’s footer or hit <F2>. A new row is added and
highlighted. Click on the Ref. No. column to open up the Report Lookup.
ii.
Search for the desired report and add it to the case by double-clicking on its
reference number in the Lookup or selecting the entry and clicking on the OK
button.
Note: Only the comments column can be edited.
Remove report from case
i.
Click on the
the case.
icon the tab’s footer or hit <F3> to delete an associated report from
Jo
Transaction info:
All escalated transactions that are associated with the given case file are displayed in this tab.
Manual transactions can also be entered here.
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1
.
Add New Transaction
i.
Click on the icon in the tab’s footer or hit <F2> to add a new transaction. The
below transaction detail screen will appear where all attributes can be filled in
conveniently.
ii.
The attribute From-To transaction switches the type of the transaction from
From-to to Multiparty. A from-to transaction is a transaction type with the
following involved Roles:

Source / Destination Party: Can be either an account or a person

Conductor (optional): A person carrying out the transaction
An example would be a monthly salary payment from the employers account (mapped to a
specific entity) and conducted by an authorized person (Conductor) to the employees
account.
A multiparty transaction is directionless and provides an option to list multiple involved
parties like persons, accounts and entities with the roles they took in the context of the
transaction but without indicating the actual money flow direction as it is done for a
standard From-to transaction.
For providing more detailed information about the parties involved, a role can be assigned
to each entry (like Beneficiary / Recipient, Payee or Conductor). Additionally, involved
items can be set, giving information about the physical object (e.g. real estate, car or
jewellery) that was the cause for the transaction.
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Note: Bold column headings indicate mandatory fields.
Transaction Type
CASE, STR
(Note: This is set by default)
Dimension
,
,
(default)
Transaction Number
The number referring to the transaction
Transaction Date
Date that the transaction took place
Transaction Mode
Mode of transaction e.g. electronic transaction, mail
deposit or ATM
Source Funds Code
Money Order, Electronic Funds Transfer, Deposit,
Currency Exchange
Source Party Type
Person, Account
Where the transaction originated
Source Party
Amount (local)
Amount used in local currency for the transaction
Amount (Foreign)
Amount in the foreign currency for the transaction
Currency
Name of the currency in which the transaction took place
Exchange Rate
The exchange rate of the local & foreign currency
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Destination Funds Code
Deposit, Bank Draft, Real Estate,
Destination Party Type
Account, Person
Destination Party
Where the transaction ended
Conductor
Person who conducted the transaction
Involved Persons:
All persons involved in the case file are displayed in this tab. You can add/edit/delete a person
by clicking on the respective icons on the grid.
1. Add a Person
icon in the tab’s footer or hit <F2> to add a new person.
i.
Click on the
ii.
Click into the Person’s Name column to launch the Person Lookup form.
iii.
Select the person you wish to add.
iv.
The information is displayed in the following columns: Person’s Name,
Significance, Reason and Comments.
2. Delete a Person
i.
Click on the icon in the tab’s footer or hit <F3> to delete an involved person
from the case.
Involved Entities:
The entities involved in the case file are displayed here. You can add /edit/delete an entity by
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1. Add an Entity
icon in the tab’s footer or hit <F2> to add a new entity.
i.
Click on the
ii.
Click into the Entity/Organization Name column to launch the Entity Lookup
form and select an entity from there.
iii.
The information is displayed in the following columns: Entity/Organization
Name, Significance, Reason and Comments:
2. Delete an Entity
i.
Click on the icon in the tab’s footer or hit <F3> to delete an involved entity
from the case.
Involved Accounts:
Accounts linked to the case file are displayed here. You can add /edit/delete an account by
1. Add an account
icon in the tab’s footer or hit <F2> to add a new account.
i.
Click on the
ii.
Click into the Account Number column to launch the Account Lookup form and
select an account from there.
iii.
The information is displayed in the following columns: Account Number,
Significance, Reason and Comments:
2. Delete an account
i.
Click on the icon in the tab’s footer or hit <F3> to delete an involved account
from the case.
Case Attachments:
All documents related to the case are listed here.
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1.
Add a case attachment
Click on the
case.
ii.
The Attach Document window appears:
iii.
2.
icon in the tab’s footer or hit <F2> to add a new attachment to the
i.
for the document you want to attach.
iv.
Enter a name for the document into the Document Name field and a Document
Description and click on
.
v.
The attachment is uploaded and appears in the Case Attachment tab.
Delete a Case attachment
i.
Click on the
the case.
icon in the tab’s footer or hit <F3> to delete an attachment from
Record Checklists:
All relevant Documents/Information/Identity checks related to the case file are here as lists of
checkboxes. By default, all checkboxes are unchecked; after verifying the information, the
analyst checks the appropriate checkboxes. This is to verify what has already been done and
what still needs to be done.
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Generated Documents:
Details of all the additional information you have requested can be displayed here. This
information is available using templates that merge the person’s particulars into a standard
letter designed for the particular source of information such as tax, customs, criminal justice,
property, registrars etc. They are sorted into Request Date, Requested For, Document Type,
Document Name, Description, Received and Received Date columns.
8.2.5 Intelligence reports:
Each Case File may have specific Intelligence Reports associated with it. They are displayed in
this tab. You can add an intelligence report here.
1.
Add a Report
i.
Click on the icon in the tab’s footer or hit <F2> to add a new related
intelligence report to the case.
ii.
An Intelligence Report window opens up:
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Note: Make sure to choose the template from the template drop-down if there is more
than one report.
iii.
Insert the information into the following tabs: Report Details, Executive
Summary, Intelligence Hypothesis and Report Body.
iv.
The Involved Persons, Involved Accounts, Involved Entities, Transactions
and Attachments are populated from the case.
Note: Selected checkboxes for the Case Objects in the Involved Accounts / Entities /
Persons tabs are used to decide which additional information is disclosed when
generating the Details Report, like tax profile, vehicles, Identifications etc.
v.
You can generate both a Narrative and Detailed Report, according to your
requirements, by clicking on the respective buttons.
Note: Narrative Reports generate only Word files whereas Detailed Reports generate
both Word and Excel files.
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Note: Clicking on the Report Reference link takes you directly to the respective Report
Details screen in the case of a detailed report.
8.2.6 Diagrams:
Every Case File may have specific Diagrams associated with it. In the Diagrams tab it is
possible to create custom diagrams, starting with the objects contained in the current
report. Any modifications and expansions to the diagram can be saved directly within the
report. Stopping and resuming work on the diagram is possible at any time. See
section 10.2: Create diagram for details.
8.3
icon in the tab’s footer or hit <F2> to add a new diagram.
i.
Click on the
ii.
All the transactions related to the diagram appear in the Transactions tab.
Case Proposal
Similar to a case file (see section 8.2: Case Management), a case proposal represents a
lightweight version, which only holds a reduced set of attributes and no report and checklist
capabilities. The idea is to fill in all available information in a quick and convenient way and to
gather further information before making a case from it:
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A case proposal has its own workflow and custom numbering definition. Once all inform
information is entered, the case proposal can be escalated to a case and followed up
respectively.
Any case proposal can be turned into a case by clicking on the Escalate to Case button in the
Case Cover tab. After escalation, the button is disabled and the reference number of the new
case is presented in the Escalated to field.
8.4
Request for information
Similar to a case file (see section 8.2: Case Management) and case proposal (see section 8.3:
Case Proposal), a Request for Information (RFI) is designed to collect additional information
on persons, accounts and entities and to add related attachments:
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Requests for information have their own workflow and custom numbering definition. The
Document Requests tab shows all information requests regenerated for involved objects in the
RFI file. Either you can look for existing Requests for Information or you can Add/Edit a new
one.
8.5
Manage Operations
An operation is a collection of cases, which belong together. A typical example might be a
drug trafficking operation leading to crimes associated with money-laundering and the
consumption of illegal drugs.
In addition to the cases, you can directly add arbitrary persons, entities, accounts, stake
holders, reports, attachments, document requests, intelligence reports and diagrams to the
operation set-up.
In goAML, you can search for existing operations (see section 8.5.1: Find Operation) and edit
them if necessary (see section 8.5.3: New / Edit Operation) and you can create operations from
scratch (see section 8.5.2: Create a new Operation).
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8.5.1 Find Operation
To find certain existing operations in the goAML database:
i. Select Business ProcessesOperationsFind Operations from the menu. The
Operation Lookup function is loaded and displayed in a new tab:
ii. Apply the necessary filtering criteria (Start and End date, Reference number, Source,
Analyst, Workflow status and Risk Score Threshold).
iii. Retrieve the result data: Click on “Retrieve Data” ( ) or press <F12>. The data is
retrieved and shown in the lower part of the tab:
Note: The operation lookup follows the same basic rules and procedures as the other lookup
functions (see chapter 7: Catalogue Search for details).
8.5.2 Create a new Operation
To create a new goAML operation record in the database:
Business ProcessesOperations New/Edit Operation from the menu. The Operation tab
is loaded and displayed.
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i. Enter the basic information into the Operation Cover tab. You have to provide an
Operation name and a Reference date. The unique Reference No. is automatically
generated.
Note: You will only be able to switch to the other tabs of the record after filling in these
two mandatory fields.
i. Add Journal entries, Involved Cases etc. as required.
ii. Save your changes.
iii. Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
Note: Whenever you add a case to the operation, all persons, accounts and other pieces of
data associated with this case are included automatically and added to the appropriate tabs of
the operation record.
8.5.3 New / Edit Operation
To view and possibly edit an operation:
i. Double-click the operation in the lookup’s result list (refer to section 8.5.1: Find
Operation for details).
ii. The operation record is loaded and displayed in a new tab:
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iii. Browse through the record’s tabs and make the necessary adjustments.
iv. Save your changes.
v. Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
8.6
Manage Projects
A project is a collection of operations, which belong together in one way or the other. A typical
example might be a concerted offensive against organized crime, covering operations on drug
trafficking, human trafficking, money laundering and more.
In addition to the operations, you can directly add arbitrary cases, persons, entities, accounts,
reports, attachments, document requests, intelligence reports and diagrams to the project setup.
In goAML, you can search for existing projects (see section 8.6.1: Find Projects) and edit them
if necessary (see section 8.6.3: View / Edit a project) and you can create new projects if
necessary (see section 8.6.2: Create a New Project).
8.6.1 Find Projects
To find certain existing projects in the goAML database:
i. Select Business ProcessesProjectsFind Projects from the menu. The Project
Lookup function is loaded and displayed in a new tab:
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ii. Apply the necessary filtering criteria (Start and End date, Reference number, Source,
Analyst, Workflow status and Risk score threshold).
iii. Retrieve the result data: Click on “Retrieve data” ( ) or press <F12>. The data is
retrieved and shown in the lower part of the tab:
Note: The project lookup follows the same basic rules and procedures as the other lookup
functions (see chapter 7: Catalogue Search for details).
8.6.2 Create a New Project
To create a new goAML project:
i. Select Business ProcessesProjects New/Edit Project from the menu. The Project
tab is loaded ad displayed:
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ii. Enter the basic information into the Project Cover tab. Project Name and a Reference
Date are the mandatory fields. The unique Reference No. is generated automatically.
Note: You will only be able to switch to the other tabs of the record after filling in these two
mandatory fields.
iii. Add Journal entries, Involved Operations, Involved Cases etc. as required.
iv. Save the project: Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
Note: Whenever you add an operation to the project, all cases, persons, accounts and other
pieces of data associated with this operation are included automatically and added to the
relevant tabs of the project record.
8.6.3 View / Edit a project
To view and possibly edit a project:
i. Double-click the project in the lookup’s result list (refer to section 8.6.1: Find Projects for
details). The project record is loaded and displayed in a new tab:
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ii. Browse through the record’s tabs and make the necessary adjustments.
iii. Save your changes: Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
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9.0 New Subjects
9
New Subjects
For creating new goAML objects manually, the New Subjects menu and its functions are
available. You can create the following object types:




Accounts (see section 9.1: New Subjects: )
Persons (see section 9.2: New Subjects: New Person)
Entities (see section 9.3: New Subjects: New Entity)
Virtual Objects (see section 9.4: New Subjects: New Virtual Object)
Note: Usually you will first check the database if the object you need already exists before
creating a new one (see section 7: Catalogue Search for details).
9.1
New Subjects: New Account
To create a new account object in the goAML database:
i. Select New SubjectsNew Account from the menu or click on Add new record ( ) in
any Account Full Details tab.
ii. A new, empty account form is opened as a new tab:
iii. Fill in the data fields (fields labelled in bold are mandatory).
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iv. Save the new record: Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
v. If the Account Details have been checked/verified, select the Is Verified check-box, else
select the Is Manual check-box.
Note: See section 6.3.6: Account Full Details for help on the different account data fields.
9.2
New Subjects: New Person
To create a new person object in the goAML database:
i. Select New SubjectsNew Person from the menu or click on Add new record ( ) in
any Person Full Details tab.
ii. A new, empty person form is opened as a new tab:
iii. Fill in the data fields (fields labelled in bold are mandatory)
Note: See section 6.1.2: Person Full Details for help on the different person data fields.
9.3
New Subjects: New Entity
To create a new entity object in the goAML database:
i. Select Data EntryNew Entity from the menu or click on “Add new record” ( ) in
any Entity Full Details tab.
ii. A new, empty entity form is opened as a new tab:
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iii. Fill in the data fields (fields labelled in bold are mandatory)
Note: See section 6.2.3: Entity full details for help on the different entity data fields.
9.4
New Subjects: New Virtual Object
Virtual Objects are a combination of different goAML objects, which have strong linked
entries (e.g. the same person twice, maybe with different aliases, or husband and wife) and
objects of all kinds proven to belong together. Alternatively, you can create integrated watch
lists for objects you want to track as a group. To create a new virtual object in the goAML
database:
i. Select New SubjectsNew Virtual Object from the menu, click on
in the
Virtual Objects Lookup screen or click on Add new record ( ) in any Virtual
Object Maintenance tab.
ii. A new, empty virtual object form is opened as a new tab:``
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iv. Fill in the data fields:
vi.
vii.
viii.
ix.
Define a (unique) Name for the new virtual object.
Enter a Description of the object and its intended usage.
Activate ( ) the checkbox Public if you want the new virtual object to be available for
the other users; leave it deactivated ( ) if you want to use it alone.
Activate ( ) the checkbox Watch list if you want the virtual object to work as a watch
list.
Note: The created and updated fields are filled in automatically. The watch list above does
not refer to the manual watch list in the quick-access bar), but to the matching module watch
lists (see section 10.3: Matching).
x. Save the new record: Click on “Save” ( ) or hit <Ctrl>+S on the keyboard.
xi. Click on the “Append” icon ( ) in the footer of the Linked Objects section to add a
goAML object to the virtual object. A new, empty row is appended:
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Define the linked object as follows:
i.
ii.
iii.
iv.
v.
vi.
vii.
Select the object type (person, entity…) from the drop-down list Party Type.
Click on the Party Name field to open the party type-specific lookup screen; select
the object from there (see section 7: Catalogue Search for details on the lookup
function).
Select the correct Link Type from the drop-down list.
Activate ( ) the checkbox Public if you want to share the item in the public list; leave
it deactivated ( ) if you want to keep this special item private, even if you publish the
virtual object.
Use the slider to define the Strength of the object (in %).
Select a Source Info from the drop-down list.
Enter personal information into the field Comments, if necessary.
Note: The fields “Created by” and “Create Date” are filled in automatically.
viii.
Save again. The object is added to the virtual object in the goAML database.
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10 Intel
The goAML menu Intel holds a number of different advanced functions. In the current
version, this is a query module (see section 10.1: Profiles )), an editor for diagrams (see
section 10.2: Create diagram), a data matcher (see section 10.3: Matching) and an internal
message board (see section 10.4: Message Board).
10.1 Profiles (Queries)
The goAML system offers you extensive search capabilities, based on the available attributes
for persons, accounts, entities and transactions. For instance, you can search by specific
transactions criteria, subjects, address details in various combinations. Based on logical
operators for matching attributes, it is possible to create powerful queries on the goAML
database.
Based on your local configuration, your goAML administrator can provide system-defined
queries which cannot be modified or deleted, but can be utilized as starting points for your
own queries. Each query is a combination of an overall operator (AND, OR) attributes,
conditions and matching values. A query returns a result set of either transactions or parties.
You can create, persist, modify and delete your own queries and you can share them with
other users. However, you have only read access to the other users’ public queries. If you
want to develop them further, you have to create a private of public copy for your purposes.
Running a query performs a search based on the provided attributes, operators and criteria on
the current database content. Please note that the result of a query can be different depending
on the execution time as the underlying data can potentially change.
10.1.1 View existing queries
i. Select IntelProfiles (Queries) from the menu.
ii. The Profile Queries tab is loaded and displays the queries in a tabular form:
iii. The grid shows if the query is Public ( ) or private ( ), the Query Name, the Creator,
the information if manually created ( ) or System-defined ( ) and links to Get
Transactions and Get Parties for the query from the database.
iv. You can either list only your personal queries (
) or queries created by
other users as well (
).
v. Click on
to export a list of the currently displayed queries to Excel.
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Note: System-defined queries are part of the goAML basic setup. They can neither be
modified nor deleted, but you can use them to build your own queries on top of them (see
below).
10.1.2 Create a new query
i. Add a new query by clicking on the Add a new query icon ( ) in the top left corner of
the Profile Queries tab.
ii. The Query Designer is launched and displayed:
v. Add the basic information for the new query as seen above:



Enter a unique Query name.
Decide, if you want to make the query Public ( ) or keep it for your eyes only ( ).
If you want, add personal Remarks.
Define the query as follows:
i.
Click on Person, Entity, Account or Transaction Filter Criteria, depending on the
conditions you want to create.
Click on the ‘And’ operator to select one of the following options which will apply to
all underlying conditions.
ii.


All conditions need to be met in order to return a result
Any of the conditions needs to be met in order to return a result


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creates a new condition under the selected operator (AND, OR)
creates a new sub-query and allows setting a separate operator
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iii.
For every condition in this query category, click on the Add icon ( ). A dummy
condition with three parts (attribute, condition, value) is appended.
iv.
v.
vi.
vii.
Click on the attribute name and select the desired attribute to filter by (e.g. address,
fact score…)
Click on the operation and select an appropriate one (equals, is between…)
Click on the value field and enter the value you want to filter by
A textual representation of the query is shown at the bottom for information purposes
viii.
Save ( ) your query.
10.1.3 Edit query
i. Click on a Query Name in the Profile Queries tab.
ii. The Query Designer is launched and displayed.
iii. Edit the metadata and the query syntax as described above (use the “Remove” icon
to
delete a condition).
iv. Click on Get Transactions or Get Parties to run the query. The result will be opened as
new tab in the background.
v. Save ( ) your query.
10.1.4 Create a new query from an existing one
i.
ii.
iii.
iv.
v.
Click on a Query Name in the Profile Queries tab.
The Query Designer is launched and displayed.
Click on
.
A new query is created containing all conditions of the original query.
Set a new Query name and adjust the conditions as described above.
Please note that query names cannot be reused. Set a new and unique name to be able to
save the copied query.
10.1.5 Delete a query
i.
ii.
iii.
iv.
Select Show Only My Queries
Select the query in the Profile Queries tab by clicking on its row header
Click on the “minus” icon ( ) in the footer.
Confirm the warning message to delete the query.
Note: It is only possible to delete queries you created.
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10.1.6 Get transactions or parties
i. To retrieve the transactions (or the involved parties in these transactions) which match
the set query criteria, click on Get Transactions or “Get Parties” respectively. This
feature is available in both the Profile Queries tab and in the Query Designer.
ii. The query is executed and the result displayed in a new tab:
iii.
A related context-menu can be invoked on any of the columns to further analyse the
data.
Note: Depending on the configuration, goAML might limit the number of results retrieved.
This shall encourage users to create more precise queries.
10.2 Create diagram
Starting from scratch or starting from a specific goAML object, you can create a custom
diagram to visualize any dependencies between the current and any linked objects in a
convenient and graphical way. Custom interactive diagrams include many predefined types of
nodes, links and basic shapes including text and images. Supporting layers are groups, sub
graphs, scrolling, zooming, selection, drag-and-drop, printing or a palette for draggable nodes.
For example, details of an individual can be linked to other objects from which the
relationship records are established (e.g. owned account, conducted transactions, employer).
Such links can be visualized in order to grasp the logical connections in one glimpse.
Using the embedded charting tool, the information stored in the system are used for analysis
or to identify or display evidence by generating different types of diagrams visualizing any
relations available in the system.
This shall assist the analyst in spotting patterns as well as drilling down into a more detailed
level. Diagrams can be attached to goAML objects (persons, accounts, entities) or business
processes (cases, case proposals, STRs, UTRs, CTRs and the like).
A diagram that has been saved is available for all users that have access to the specific object
and can be modified at any point.
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10.2.1 Create a new diagram for a goAML object
i. To create a new diagram for a goAML object, perform one of the following actions:
i.
Select IntelCreate Diagram from the menu or
Open the context menu of a core object (account, person, virtual object…] within any report
grid or the Quick Finder and select Create Diagram.
The Diagramming tab is launched and displayed:
Note: When creating a diagram for a goAML object, the object will already be contained in
the diagram as a starting element. If you create a new diagram via the menu, the diagram will
start blank.
10.2.2 Add existing objects
i. Click on Add object ( ) to add an object to the diagram. The Quick Finder pops up:
vi. Select if you want to look for the object in All objects (default), in the Base objects or in
the Virtual objects.
vii. Type in the first two letters of the object you want to find into the search field Find. All
the objects, which have your search string as a part of the name (in any position) are
listed:
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viii. Double-click on an object to add it to the diagram.
ix. Continue to add more objects by using the icon.
10.2.3 Add new objects
It is not necessary to build goAML diagrams exclusively from existing objects (see
section 10.2.2: Add existing objects). You can add as many graphical objects and comments
as you want by using the modelling bar:
i. Drag an item from the modelling bar to the model’s drawing area.
ii. Add a label defining the new modelling object between the angle brackets (< >).
Note: Bear in mind that while these modelling objects add information to the diagram, they
do not contribute to the business intelligence, as there is no relevant data behind them.
10.2.4 Change object positions
i. Select the objects you want to move on the drawing area as follows:
i.
ii.
iii.
iv.
v.
vi.
To select one object, click on it.
To select multiple objects one by one, hold either the <Shift> or the <Ctrl> key down
and click on the objects in succession before releasing the <Shift> or <Ctrl> key.
To select multiple objects in an area, make sure that the Toggle Pan Mode function
( ) is deactivated (see section 10.2.7: The Toolbar functions for details).
Click and hold the mouse button, then drag a rectangle frame around the area you
want to select.
Release the mouse button.
Drag-and-drop the objects to their new positions.
10.2.5 Connect objects
Any two objects on the drawing area can be connected by a connector. This connector is more
than just a graphical representation of a relation, as it has attributes:
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To create a link between two objects:
i. Make sure that linking is enabled (OptionsAllow Linking; see section 10.2.7: The
ii.
iii.
iv.
v.
vi.
Toolbar functions for details).
Move the mouse cursor over the centre of source object; it changes into a hand symbol.
Hold the mouse button down and drag the cursor to the destination object. A line
appears.
Release the mouse button. The connector is created.
Delete Objects
Any selected object can be deleted by hitting the <DEL> key on the keyboard. If you
want to undo the change, simply click on the “Undo” icon in the toolbar ( ).
10.2.6 Delete objects and connectors
Any object or connector can be deleted, if necessary.
i. Select the objects and/or connectors you want to delete.
ii. Hit <DEL> on the keyboard.
Note: When you delete an object, all connectors leading from and to it are automatically
deleted as well.
10.2.7 The Toolbar functions
The diagram editor’s toolbar contains the following functions:
Note: The toolbar contains icons for diagram-related features. Data-related functions are
accessed via the context menu of the drawing area.
Basic functions:







Save ( ): Save the current diagram status. Saving the diagram allows attaching it to either
the starting object, any goAML object contained in the diagram or to a Business Process.
Add Object ( ): Opens the Quick Finder for adding objects to the diagram (see below).
Undo ( ): Revert your last change on the diagram.
Redo ( ): Revert wrong “Undo” actions and restore the previous state.
Timer ( ): “Toggle” icon. Activate the timer and click on “Undo” to visualize in slow
motion the creation of the diagram in reverse order (all actions are undone one-by-one
until there’s nothing left to undo); click on “Redo” with activated timer to rebuild the
diagram to its current step step-by-step.
Print ( ): Opens the Print Preview dialogue window for printing the diagram on your
default printer.
Export ( ): Export the diagram to the file system. Available file formats: *.jpg, *.png
(single file or whole image sequence of the creation steps), *.svg, *.ppt (creation steps as
individual slides) or *.xml.
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
Snapshots ( ): Adds any diagram transition to the Snapshots list. It is a capture of the
state of the diagram at a certain time chosen by the user. A user can navigate between
snapshots, set snapshots as active and edit them and export snapshot diagrams to
PowerPoint using the Snapshot Tracker.
Note: Editing the diagram is only possible after a snapshot has been set as Active and the
Snapshot Tracker has been closed.
View functions:




Zoom in ( or <Ctrl>+<+>): Increase the zoom factor of the diagram.
Zoom out ( or <Ctrl>+<->): Decrease the zoom factor of the diagram.
Zoom to fit ( ): Show the whole diagram in the application window (the actual zoom
factor is calculated automatically).
Overview ( ):“Toggle” icon. Opens an integrated overview window in the lower right
corner of the diagram. This window allows quick scrolling to remote diagram sections and
zooming.
Edit functions:


Toggle pan mode ( or <Space>): Changes the “dragging” behaviour of the mouse in
the diagram. Active: Moves the drawing areas. Inactive: Drags a selection rectangle.
Redraw ( ): Redraws the current diagram (e.g. in case the view gets distorted).
Layout functions:

Force directed layout ( ): Rearranges the diagram so that all connectors are of equal
length and show no crossings.

Layered digraph layout ( ): Rearranges the diagram by focussing on the shortest path
between the objects. Each distinct set of objects (i.e. only connected among each other,
not with other objects) is one layer.

Tree layout ( ): Aligns the objects as a tree structure, starting with the root element at
the left border.
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
Time layout ( ): Shows the transaction timeline: Transactions from/to, recipients and
amounts.

Group ( ): Combines multiple selected objects into one logical object. This means that
when one object of the group is selected all other objects of the group are selected as well.
A rectangle is drawn around the group.


Ungroup ( ): Removes a group and separates its objects again.
Align centred horizontal ( ): Aligns all objects in one column below the previously
selected object.

Align centred vertical ( ): Aligns all objects in one row to the right of the previously
selected object.
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
Find longest path ( ): Determines the longest path, starting from the selected object, and
highlights it. “Longest path” means the object connected over the most connections with
the start object.
Line type ( ): Determine the looks of the connectors here (click onto show the
options). You can change the stroke of the line (solid, dotted) and the form (orthogonal,
Bezier, straight).
Expand ( ): The selection for
automatically extending objects with
their associated objects (i.e. showing all
objects of certain types that are
connected to a core object type).


i.
ii.
iii.
Click onto show the selection
window
Select the types of objects to be
shown with a certain object type
(e.g. all accounts connected with the
persons in the diagrams)
Click on
to confirm the
selection. The view is updated
accordingly.
Note: A once applied expansion cannot be removed by simply deselecting it from the
properties. Use “Undo” instead.

Node visibility (
view.
i.
ii.
iii.


): Use this function to temporarily hide certain kinds of objects from
Click on the icon to open a drop-down list.
Show ( ) or hide ( ) the object types as you like.
Click somewhere in the diagram window to apply the changes. The view is updated
accordingly.
Link visibility ( ): Use this function to temporarily hide certain kinds of connectors
from view. Handle exactly like the node visibility.
Options ( ): A collection of different options for the diagram editor. Click on the icon to
show the options in a pull-down menu:
i.
ii.
iii.
iv.
v.
Show Background Grid: Shows a grid which helps arranging the objects.
Auto-detect Duplicates: Automatically groups items of same type and name.
Allow Linking: When active, connecting objects with connectors is enabled.
Hide Link Labels: Activate to hide the labels of the connectors from view.
Hide Node Labels: Activate to hide the labels of the objects from view.
Mark Internal Objects: When active, objects existing in the database are displayed in bold.
All external data e.g. bank transaction information is still displayed in regular font.
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Show Links Without Aggregating: All links with the same type referring to the same object
can either be grouped in one link or shown as individual links.
Example:
Money transferred to the same account in multiple transactions is either shown as one connector
with the total value or as multiple connectors with the respective partial amounts.

Expansion options:
i.
ii.


Keep Grouping After Expansion: Makes a group from the already expanded items
before expanding the new ones.
Disable Auto Layout Expansions: Regardless of the chosen layout, it places the
expanded items directly beside the existing ones.
Clear options ( ): Sets all previously defined options back to the defaults.
Jump to ( ): Enter a search term into the field
and select from the auto-completion suggestions
to jump to the corresponding object in the
diagram.
10.2.8 Data analysis functions
The functions and options for data analysis can be accessed via the context menu of the items
on the drawing area.
Note: The toolbar contains icons for diagram-related features. Data-related functions are
accessed via the context menu of the drawing area.









Copy Label ( ): Copy the name of the object to the operating system’s clipboard.
Person, Entity, Case, Virtual Object, Report, Bank, Account, Employer etc.
( et al.): Display all objects of the chosen type connected with the selected object in the
goAML database in the drawing area.
All relations ( ): Add all objects of all types from the goAML database which are
connected with the selected object to the drawing area.
Transactions ( ): Show the known transactions for the selected object on the diagram.
Displaying the transactions will also update the ‘Transactions’ tab to show them in a
tabular representation.
Collapse Children ( ): Hide all “child nodes”, i.e. the objects connected with the
currently selected object through outgoing connectors.
More / Full Details: Open and show the data details of the selected object in a new tab.
More / Transactions: Open and show all transactions of the selected person or entity in a
new tab.
More / Document Template: Is a shortcut to the generic Generate Documents function.
More / Create Diagram: Generate a new diagram with the selected object as the starting
point.
10.3 Matching (Match Definitions/Executions)
The Matching module in goAML enables users to compare collected data about persons,
accounts or entities with the existing records in the database and get a report on the matches.
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For being able to use this module, the external data has to be provided in Excel spreadsheets.
However, there is no mandatory structure of such a spreadsheet; goAML can adapt to any
reasonable spreadsheet structure.
Note: Matching is a process in several consecutive steps, of which some require goAML
administration rights. See the goAML Administration Guide for more details.
10.3.1 Define Data Matcher
A data matcher, as the name implies, matches imported external data with the data stock in
the database.
i. Select IntelMatchingData Matchers from the menu. A list of all existing data
matchers in the database is opened in a new tab:
ii. The following information is available:
Matcher Name: The name of the data matcher as defined by the creator.
Disabled: When this checkbox is selected, the matching is not executed, even if an execution
schedule was defined.
Public: The matcher is published for all users.
Object Matched: Shows if the matcher is designed for accounts, entities, persons or virtual
objects.
Corresponding Importer: The matching importer used for this data matcher.
Corresponding Query: If the matching is narrowed down to data matching certain arbitrary
conditions – defined in a query (see section 10.1: Profiles ) – then this query is referenced
here.
System Defined: An activated checkbox indicates a standardized importer coming with
goAML. User-defined importers always have deactivated checkboxes.
Last Run-Time: The date this matcher was last executed.
Last Run Object Count: The number of results returned during the last matching run.
Note: Either adapt an existing matcher to your needs or create one from scratch.
10.3.2 Create New Matcher
i. Click on Define a new matcher ( ). An input window pops up:
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ii. Select the Business Object Type you want to match from the drop-down list (persons,
iii.
iv.
v.
vi.
vii.
entities, accounts or any).
Define a (unique) Matcher Name.
Decide if you want to make the matcher Public ( ) or keep it for the active user only
( ).
Select a Profile Query if you want to narrow down the search to certain sets of data,
which match some conditions, before executing the matcher.
Now perform the necessary processing steps, depending on the business object type
chosen (see below for details). Finally:
Save the matcher: Click on Save pending changes ( ) or hit <Ctrl>+S.
10.3.3 Matching an Importer
The following steps are necessary if you have chosen to match persons, entities or accounts.
i. Select one of the available importers from the drop-down list.
Note: Importer as a matching template (refer to the goAML Administration Guide for
details on importers)
ii. The empty field in the lower part of the dialogue window is populated with the
fields/columns defined in the importer.
iii. For every field you want to look for matches between the imported data and the data
stock (e.g. Phone number)
iv. Activate the checkbox Match.
v. Select from the drop-down list whether you want to match the first, middle or last
characters in the field.
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vi. Define the number of characters you want to match in the spinner field.
vii. If you want to match middle characters, determine the first character to start with using
the spinner field Starting from.
viii. The box at the bottom shows the selected matching criteria in pseudo language:
Example:
In the above screenshot, you would be looking for the first three characters of the first name, the
fifth, sixth, and seventh character of the phone number, and the month and year of the birthdate of
a person.
ix. If you want, activate the check box Show Actual Criteria to display the internal syntax
of your matcher instead of the pseudo language description:
x. To remove an unnecessary matching criterion, simply uncheck its checkbox.
Note: When deselecting a matching criterion, its settings remain in place. Therefore you can
restore it if needed by simply rechecking the checkbox.
10.3.4 Matching a watch list
The following steps are necessary if you to want go for the “any (watch list)” business
objects:
i. Select one of the available watch lists from the drop-down list Watch list.
ii. The empty field in the lower part of the dialogue window is populated with the data from
the watch list:
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Note: The “watch list” to virtual objects defined as watch lists (see section 9.4: New
Subjects: New Virtual Object).
10.3.5 Edit Matcher
To edit an already existing matcher (e.g. to adjust the matcher’s parameters):
i. Click on the matcher’s name in the Data Matchers tab. The matcher is loaded and
displayed.
ii. Apply the necessary changes and save them (click on
or hit <Ctrl>+S).
10.3.6 Delete Matcher
To delete an obsolete data matcher from the database:
i.
ii.
iii.
iv.
Click on the matcher’s name in the Data Matchers tab.
The matcher is loaded and displayed.
Click on “Delete current record” ( ).
The matcher data is deleted.
Note: Alternatively, you can select the matcher’s row header in the data matchers tab and
click on the Delete icon ( ) in the tab’s footer. This deletes the selected matcher without
security check.
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10.3.7 Schedule and Run Matcher
When a matcher is defined and ready-to-use, you have to schedule its runs. This means that
you have to choose when exactly this matcher will be executed by goAML to return the hits.
i. Click on the matcher’s name in the Data Matchers tab. The matcher is loaded and
displayed.
ii. Click on
to start the matcher manually. The results are retrieved and shown
in an Objects tab in the goAML workspace.
iii. Click on
to prevent the matcher from running automatically (but you can
still run it ad hoc, of course).
iv. Click on
v. Click on
to re-enable the automatic matching runs.
to define a schedule for running the matcher. A support dialogue
window opens:
i.
ii.
iii.
Choose the Recurrence Pattern: Decide whether to run the matcher once only, daily,
weekly, monthly or yearly and, depending on this selection, when exactly (the day of
the month, the weekday etc.).
Determine the Recurrent Range: From which day on the matcher shall be executed
(default: today) and when the execution will be stopped (default: no end date).
Select the Execution Time Span: Determine the earliest and latest time of day when
the matcher shall run (or activate the radio button Disabled if you do not care about
the time of the day).
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Note: The execution time span helps keeping the load factor on the goAML server low. The
scheduler on the server distributes the runs equally according to the preferred execution
times. In the above example, the matcher will run any time between morning and noon.
iv.
Click on
to save the settings and close the dialogue window, on
delete the schedule from the matcher or on
and discard all changes.
to
to close the dialogue window
10.3.8 Scheduled match runs
This goAML function gives access to the history of the data matchers. It allows comparing
the different runs of a matcher (execution date, results) and further processing of the results.
Select Matching Run:
i. Select IntelMatchingScheduled Match Runs from the menu.
ii. The Scheduled Match Executions tab is opened in the goAML workspace:
iii. To retrieve the desired information:
i.
ii.
iii.
Select the time span you want to investigate in the fields Execution Date From and
Execution Date To.
Select the matcher you want to look at from the drop-down list Matcher Name.
Retrieve the result data: Click on “Retrieve Data” ( ) or press <F12>.
iv. The data is loaded and displayed:
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Note: If you do not select a matcher name, all runs from all matchers within the indicated
period will be retrieved and shown.
v. The following information is available:
i.
ii.
iii.
iv.
v.
vi.
vii.
Match Type: The kind of data matched (persons, entities, accounts).
Matcher Name: The user-defined name of the data matcher.
No. of matched objects: The number of results returned.
Execution Date: Time stamp when the match run was performed.
Processed: Activated when the result data is fully processed (see below).
System: Activated when the run was triggered by a system-defined (i.e. default)
matcher.
Errors: Indicates any errors during execution, be it a timeout, an exception or else.
Note: If the execution run you are looking for reports an error, contact your goAML
administrator.
Process Matching Results:
You can create cases or case proposals directly from the matching results of scheduled
matching runs. For this you have to process the result objects to determine whether they are of
importance or just coincidental matches.
Note: Results from ad-hoc runs cannot be processed; they are read-only and just for informal
purposes.
i. Double-click a list entry to view the result details:
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ii. The following information is available:
i.
Not Processed / Partially Processed / Processed: The current processing state of the
result list.
goAML object: The name of the object in the database.
Hit: The option to rate this specific result (see below).
Source Object: An internal “match key”, created from the matching criteria sources.
Ref. Description: The full internal matching value to the source object match key.
Business Process: The identification of the business process created when processing this
result object.
iii. By default, all result items are considered as undecided. To rate a result, set the Hit
option to Hit or No Hit respectively.
iv. Select if you want to create a Case Proposal or a Case from the designated hits.
v. Select a Hit (for result items, if required) to confirm the results and to store the new
case / proposal in the database by clicking on
vi. Select more than one Hit ( for result items, if required) to create One Case for all
selected Hits by clicking on
vii. Select more than one Hit (for result items) to add to an existing case by clicking on
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10.4 Message Board
The goAML message board is the internal means of communication between goAML users.
The main intention is to connect the users of the goAML application with the reporting
entities and stakeholders using the goAML Web portal.
Reporting entities and stakeholders are immediately notified if their reports are accepted or
rejected.
Note: Other messages, namely notifications about changes in workflow states, are transmitted
via the workflow assignments tool (see section 3.4: Workflow assignments for details).
For practical reasons, the message board is organized like an email client. To view your
messages:
i. Select IntelMessage Board from the menu. The goAML message board is loaded and
displayed in a new tab:
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The user interface:
The tab consists of a navigation panel and a tabular list of messages. The navigation panel
offers buttons for the following views:






Inbox: All incoming messages.
Sent: All sent messages.
Drafts: All outgoing messages which are ready or in preparation, but not yet dispatched.
Outbox : All messages pending delivery. All messages first go into the Outbox and once
sent goes into Sent.
Archive: Any of the messages from the Inbox, Sent or Draft can be moved to the Archive
by right-clicking “Move to Archive” option in the context-menu.
Click on any of the buttons to load the corresponding view.
ii.
iii.
You can either create a folder / sub-folder, rename folder or delete folder for the
messages in Inbox, Draft and Sent Messages.
Folders and sub-folders can also be created for the Archive messages.
The messages in the list provide the following information:









Priority: Can be either high ( ), normal (default; no icon) or low ( ).
Read: Distinguishes between read ( ) and still unread ( ) messages. In addition, unread
messages are shown in bold letters.
Attachment: Shows if the message has an attachment ( ) or not.
Message type: Classifies if this message was created manually by a user or automatically
by a goAML process
Subject: The subject of the message. Automated messages show their origin in the
subject.
Date: Time stamp when the message was created.
From: The sender of incoming messages.
To: The recipient of outgoing messages.
Flag: An optical reminder you can set if you want to draw your attention to that message
(no processing features).
iv. Click on
to download new messages from the goAML server.
v. Click on the Read symbol of a message to toggle between “read” and “unread” status, or
open the context menu and select Mark as Read or Mark as Unread respectively.
vi. Click into the Flag column of a message to set or remove the flag symbol ( ), or open
the context menu and select Set Flag or Remove Flag respectively.
10.4.1 Read messages
To read a goAML message:
i. Double-click the message in the message board. The message is opened and displayed:
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ii. If the message contains an attachment; click on the attachment link to open the attached
file.
10.4.2 Reply to messages
You can reply to incoming messages and you can manually forward outgoing messages to
additional recipients:
i. Click on
. A new draft message is created and the original sender/ recipient
is added to the Recipients list:
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ii. If you want to change or add recipients:
i.
Double-click the Recipients field. A selection list appears.
ii.
You can type a string into the empty Name field to filter the list to items matching the
string.
Activate ( ) the check boxes of all list items you want to add as recipients.
Click on
to confirm your selection. The recipients are added to the message.
iii.
iv.
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v.
vi.
vii.
viii.
Enter the message in the Message field.
If required, change the Subject of the message.
Set the Priority.
Click on Add Attachment and select a file using the appearing file chooser window,
if you want to attach external data.
10.4.3 Create messages
To create a new message manually:
i. Click on
. A new, empty message is created and displayed.
ii. Select the recipient(s) of the message:



You can type a string into the empty Name field to filter the list to items matching the
string.
Activate ( ) the check boxes of all list items you want to add as recipients.
Click on
to confirm your selection. The recipients are added to the message.
iii. Enter a short but descriptive message Subject (mandatory).
iv. Determine the Priority of this message: high, normal (default) or low.
v. If you want to attach files to the message, click on the link Add Attachment and select
them using the appearing file chooser window. It is possible to add multiple
attachments and save them all with one click.
vi. Write the message text.
vii. Click on
if you want to work on the message later. The message is stored
in the Drafts view and can be opened from there at any time.
viii. Click on
to send the message to the recipients.
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10.4.4 Delete messages
To delete an obsolete message from a view:
i. Open the context menu of the message and select Delete Selected Message. A security
check pop-up appears.
ii. Confirm with
. The message is deleted.
Note : Only those users, who have the security permissions to delete a message can do so.
10.4.5 Context-Menu
You can invoke a context-menu on the message board by right-clicking on any of the selected
messages.
i.
Right-Click on any of the messages on the message-board. A context-menu appears.
ii.
You can choose any of the above options as per your requirement. If you select the
message “Mark as Read” it will be denoted by the
symbol and if it is “Mark as
Unread”, it will be denoted by
. To set yourself a reminder so that it draws your
attention to the message, when you are on the Message Board, you can select the
option “Set Flag”
If you want to remove the reminder, you can select the option
“Remove Flag”. You can delete any message from the Message Board by clicking on
the delete option. You can move the message to another folder by selecting the option
“Move to another folder” and selecting the appropriate folder from the Select Folder
window. You can also archive a message or link it to a Business Process.
10.4.6 Search Functionality
You can search for your messages in your folders and archives by entering the search criteria
in the search box and clicking on the
button. It returns all the relevant messages in
the result panel. You can clear your search criteria by clicking on the
button.
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Transcription

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