goaml user's guidegoaml.unodc.org/docs/its_goamluserguide.pdf · goaml user guide page 4 of...

goAML User Guide

Prepared By: Information Technology Service (ITS)

Last Edited: 17/10/2013 DM/ITS/QAT

goAML User Guide of 173

FOREWORD ......................................................................................................................................................... 6

1 GETTING STARTED ................................................................................................................................. 7

1.1 LOGIN TO GOAML ................................................................................................................................ 7 1.2 CHANGE PASSWORD ............................................................................................................................. 7

2 THE USER INTERFACE........................................................................................................................... 9

2.1 THE MAIN MENU ................................................................................................................................. 10 2.2 THE TOOLBAR ..................................................................................................................................... 10 2.3 THE QUICK-ACCESS BAR ..................................................................................................................... 10 2.4 THE STATUS BAR ................................................................................................................................. 11 2.5 THE CONTEXT MENU ........................................................................................................................... 11 2.6 THE WORKING AREA ........................................................................................................................... 12

3 GENERAL FUNCTIONS ......................................................................................................................... 13

3.1 KEYBOARD SHORTCUTS ...................................................................................................................... 13 3.2 DATA FIELDS ...................................................................................................................................... 14

3.2.1 Text field ........................................................................................................................................ 14 3.2.2 Date field ....................................................................................................................................... 14 3.2.3 Drop-down boxes .......................................................................................................................... 14 3.2.4 Checkbox ....................................................................................................................................... 15 3.2.5 Radio button .................................................................................................................................. 15

3.3 ANALYST WORKSPACES ...................................................................................................................... 15 3.3.1 Save new workspace ...................................................................................................................... 15 3.3.2 Overwrite current workspace ........................................................................................................ 16

3.4 WORKFLOW ASSIGNMENTS ................................................................................................................. 16 3.4.1 View workflow assignments list ..................................................................................................... 16

3.5 RISK SCORE......................................................................................................................................... 18 3.6 GENERATE DOCUMENTS ..................................................................................................................... 19 3.7 AUDIT TRAIL ....................................................................................................................................... 20

4 GRID PROPERTIES ................................................................................................................................ 22

4.1 THE TOOLBAR ..................................................................................................................................... 22 4.2 REPORT SCREENS ................................................................................................................................ 22 4.3 NAVIGATION ....................................................................................................................................... 23 4.4 SORTING ............................................................................................................................................. 24 4.5 GROUPING .......................................................................................................................................... 24 4.6 CLEAR FILTER ..................................................................................................................................... 25 4.7 REORGANIZING COLUMNS: DRAG-AND-DROP ...................................................................................... 26 4.8 BEST FIT ............................................................................................................................................. 26 4.9 ANCHORING A COLUMN ...................................................................................................................... 27 4.10 DYNAMIC FILTERING .......................................................................................................................... 27 4.11 SAVE / LOAD LAYOUT ......................................................................................................................... 29 4.12 COPYING ............................................................................................................................................. 29 4.13 SET OPERATIONS ................................................................................................................................. 30 4.14 PIVOT TABLE....................................................................................................................................... 31 4.15 EXPORT TO EXCEL .............................................................................................................................. 33 4.16 EXPORT / IMPORT XML ...................................................................................................................... 33 4.17 PREVIEW GRID DATA ........................................................................................................................... 34 4.18 EXPORT TO PDF ................................................................................................................................. 34 4.19 PAGING ............................................................................................................................................... 34

5 REPORTS .................................................................................................................................................. 36

5.1 XML REPORT UPLOAD ........................................................................................................................ 36 5.1.1 Handling reports uploaded via the Web interface ......................................................................... 37 5.1.2 Uploading reports via the XML report upload module ................................................................. 37 5.1.3 Pending approval – report view .................................................................................................... 39

5.2 LOOKUP REPORTS ............................................................................................................................... 40 5.3 VIEW / EDIT REPORT ........................................................................................................................... 42 5.4 ADD NEW REPORT ............................................................................................................................... 42

5.4.1 Report cover fields ........................................................................................................................ 43


5.4.2 Workflow fields .............................................................................................................................. 44 5.4.3 Journal .......................................................................................................................................... 45 5.4.4 Transaction info ............................................................................................................................ 45 5.4.5 Involved Persons, Entities and Accounts (not available for CTR) ................................................ 46 5.4.6 Report attachments: ...................................................................................................................... 47 5.4.7 Rejected transactions .................................................................................................................... 47 5.4.8 Diagrams ....................................................................................................................................... 47 5.4.9 Escalated to ................................................................................................................................... 48 5.4.10 Document requests ........................................................................................................................ 48

6 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


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 CATALOGUE SEARCH – ACCOUNT LOOKUP ........................................................................................ 94 7.1.1 Merge Linked Accounts ................................................................................................................. 95

7.2 CATALOGUE SEARCH – PERSON LOOKUP ............................................................................................ 97 7.2.1 Merge Linked Persons ................................................................................................................... 99

7.3 CATALOGUE SEARCH – ENTITY LOOKUP .......................................................................................... 101 7.3.1 Merge Linked Entities ................................................................................................................. 102

7.4 CATALOGUE SEARCH – ADDRESS LOOKUP ....................................................................................... 104 7.5 CATALOGUE SEARCH – TEXT LOOKUP.............................................................................................. 106 7.6 CATALOGUE SEARCH – QUICK FINDER ............................................................................................. 107 7.7 CATALOGUE SEARCH – VIRTUAL OBJECT LOOKUP ........................................................................... 107 7.8 CATALOGUE SEARCH – TRANSACTION LOOKUP ............................................................................... 109 7.9 CATALOGUE SEARCH – REPORT LOOKUP ......................................................................................... 110 7.10 CATALOGUE SEARCH – INTELLIGENCE REPORT LOOKUP ................................................................. 112 7.11 CATALOGUE SEARCH – TEMPLATES LOOKUP ................................................................................... 113 7.12 CATALOGUE SEARCH – JOURNAL LOOKUP ....................................................................................... 114 7.13 DISSEMINATED TRANSACTIONS LOOKUP .......................................................................................... 115

8 BUSINESS PROCESSES........................................................................................................................ 116

8.1 ESCALATE TRANSACTION ................................................................................................................. 116 8.2 CASE MANAGEMENT ........................................................................................................................ 121

8.2.1 Find Cases ................................................................................................................................... 121 8.2.2 New / Edit Case ........................................................................................................................... 123 8.2.3 The Case File .............................................................................................................................. 123 8.2.4 Case workflow ............................................................................................................................. 124 8.2.5 Intelligence reports: .................................................................................................................... 132 8.2.6 Diagrams: ................................................................................................................................... 134

8.3 CASE PROPOSAL ............................................................................................................................... 134 8.4 REQUEST FOR INFORMATION............................................................................................................. 135 8.5 MANAGE OPERATIONS ...................................................................................................................... 136

8.5.1 Find Operation ............................................................................................................................ 137 8.5.2 Create a new Operation .............................................................................................................. 137 8.5.3 New / Edit Operation................................................................................................................... 138

8.6 MANAGE PROJECTS .......................................................................................................................... 139 8.6.1 Find Projects ............................................................................................................................... 139 8.6.2 Create a New Project .................................................................................................................. 140 8.6.3 View / Edit a project .................................................................................................................... 141

9 NEW SUBJECTS .................................................................................................................................... 143

9.1 NEW SUBJECTS: NEW ACCOUNT ....................................................................................................... 143 9.2 NEW SUBJECTS: NEW PERSON .......................................................................................................... 144 9.3 NEW SUBJECTS: NEW ENTITY ........................................................................................................... 144 9.4 NEW SUBJECTS: NEW VIRTUAL OBJECT ........................................................................................... 145

10 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


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

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.

1.0 Getting Started


1 Getting Started

1.1 Login to goAML

Start the application either via the Windows Start menu (ProgramsgoAML) or by double-

clicking 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 FileChange Password from the main menu.

ii. The Change Password pop-up window appears:

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.

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 quick-

access 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.



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:



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).



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.

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



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

3.2 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. Switch through the months and years using the arrow icons ()

ii. 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



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 FileSave Workspace as from the main menu.



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 FileSave 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).



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 icon.



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:



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

header of the document.

iii. Select a Due Date.

iv. Click on . The operating system’s folder chooser window appears. Select

the directory where you want to store the generated documents.

v. Click on to get a preview of the documents. They are opened in a

preview window.

vi. Click on The documents are generated and saved in the defined

location.

vii. 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:



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. The editing metadata overview (Created by, Created on, Last updated by and Last

updated on).

ii. 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.

iii. 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.



Note: The audit trail function is available for all objects in goAML.

4.0 Grid Properties


4 Grid Properties

4.1 The toolbar

When working with report grids, toolbar is located below the main menu:

It contains the following functions:

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

Filters

Unified transaction

view ( enables

presenting bi-party

and multiparty

transaction details

in one view)

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.

4.2 Report screens

Report screens display data from the goAML database, which was filtered against multiple

filter criteria:

4.0 Grid Properties


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

4.0 Grid Properties


scroll up the screen

scroll down the screen

4.4 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.

4.0 Grid Properties


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 icon turns into and the column reappears. The data details are now

available.

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.

4.0 Grid Properties


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.

4.0 Grid Properties


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 icon. This

function is explained in the example below.

4.0 Grid Properties


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:

4.0 Grid Properties


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 FileClear

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).

4.0 Grid Properties


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 .

4.0 Grid Properties


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.

4.0 Grid Properties


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 drop-

down 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:

4.0 Grid Properties


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 FileExcel 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 FileXML Export from the menu. Importing the data is possible by

clicking on the Import from XML icon ( ) or by choosing FileXML 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

4.0 Grid Properties


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 FilePDF 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 icon.

4.0 Grid Properties


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:

5.0 Reports


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 ReportsXML Report Upload from the menu.

ii. The XML Report Upload tab is loaded and displayed:

5.0 Reports


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):

5.0 Reports


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:

5.0 Reports


ii. 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)

iii. Filtered; pending approval: The file has passed the validation test and now waits for

further processing

iv. Processed: These files are finalized

v. 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 .

5.0 Reports


vii. Click on Process to accept the report. The data is made available for future use in the

goAML database.

5.2 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 ReportsSTRLookup 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:

5.0 Reports


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.

5.0 Reports


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 ReportsSTRAdd/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:

5.0 Reports


v. Fill in the mandatory fields in the tab Report Cover (bold labels, see below for details).

vi. Fill in the other fields of the cover tab as required.

vii. Enter possible additional information into the other tabs of the STR.

viii. 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).

5.0 Reports


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

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

5.0 Reports


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.

5.0 Reports


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.


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).

5.0 Reports


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.


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.

5.0 Reports


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.

6.0 Analysis


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 money-

laundering 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 to open the Person

Lookup

6.0 Analysis


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

6.0 Analysis


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:

6.0 Analysis


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 check-

boxes 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:

6.0 Analysis


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

6.0 Analysis


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 icon in the footer of the grid. The Phone

Details pop-up is displayed.

ii. Enter the required information and click Save.

6.0 Analysis


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

6.0 Analysis


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 icon in the footer of the grid. A new row is

added to the grid.

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

6.0 Analysis


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 (merge linked

subjects) icon on the Person Full Details form.

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 AnalysisPersonPrivate Account Holders from the main menu. The Private

Account Holders screen is displayed:

6.0 Analysis


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).

6.0 Analysis


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 AnalysisPersonDuplicated 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

6.0 Analysis


Account to Account

i. Select AnalysisPersonPerson 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.

6.0 Analysis


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.

6.0 Analysis


6.0 Analysis


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 AnalysisPersonPerson Volume & Frequency from the menu. The Person

Volume & Frequency screen is displayed:

iii. Enter the filtering criteria.

Filter criteria

iv. There are two checkboxes in this report. Data is retrieved based on the selected option:

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

6.0 Analysis


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 AnalysisPersonPerson 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:


transaction

Threshold Amount Entering the amount of 500 in the Threshold will return all


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:

6.0 Analysis


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 AnalysisPersonTop 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.

6.0 Analysis


i. Select AnalysisPersonsTop 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 AnalysisPersonTop 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:

6.0 Analysis


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 to open the Entity Lookup

screen.

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 button.

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.

6.0 Analysis


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:

6.0 Analysis


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.

6.0 Analysis


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.

6.0 Analysis


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.

6.0 Analysis


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 AnalysisEntityBusiness 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


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

6.0 Analysis


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 AnalysisEntityEntity 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

6.0 Analysis


i. On an Entity Transactions Report, select any specific Transaction ID and right-

click 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 AnalysisEntityEntity 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 or hitting

<F12>.

Filter criteria:


transaction

Threshold

Amount

Entering the amount of 500 in the Threshold will return all


Entity Return results for the specified Entity

6.0 Analysis


iv. 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.

6.3 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 to open the

Account Lookup Form.

6.0 Analysis


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 button

on the Entity Lookup screen or by pressing <F11> on the keyboard.

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 . It opens up the Person Lookup form.

(refer to section

v. 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.

6.0 Analysis


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:

6.0 Analysis


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.

6.0 Analysis


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.

6.0 Analysis


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.

6.0 Analysis


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 to return the results for the selected account.

iv. See for more details on the VO lookup function.

6.0 Analysis


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 AnalysisAccountSame 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:

6.0 Analysis


Filter criteria

Start Date, End Date The transaction date lies between the indicated start and end

date.


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 AnalysisAccountAccount 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 or hitting

<F12>.

6.0 Analysis


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.

6.0 Analysis


i. Select AnalysisAccountAccount 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 AnalysisAccountAccount 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.

6.0 Analysis


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 AnalysisAccountAccount 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. Retrieve the data by clicking on 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 AnalysisAccountSingle 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:

6.0 Analysis


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 AnalysisAccountAccount 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 AnalysisDemographicPerson/Account by Address from the main menu.

6.0 Analysis


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 AnalysisDemographicDuplicated 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. Retrieve the data by clicking on or hitting <F12>.

Note: In the example below, 5 is selected as the minimum number of duplicates (country-

specific) 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.

6.0 Analysis


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 AnalysisDemographicDuplicated 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 AnalysisDemographicVolume & 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:

6.0 Analysis


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 AnalysisDemographicVolume & 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 sign left of the city to expand data on the specific city:

6.0 Analysis


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 AnalysisDemographicInternational 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.

6.0 Analysis


6.5.1 Analysis – Virtual Object Transactions

i. Select AnalysisVirtual ObjectVirtual Object Transactions from the main

menu.

ii. Click on the Virtual Object icon to open the Virtual Objects Lookup form.

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.

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 , it opens up the Virtual Object

Maintenance screen.

ii. Enter all the details and add all Linked Objects to the new VO by clicking on the (+)

6.0 Analysis


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 SearchAccount 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



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



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. You can search records for All Related, Exact Match or Only Parent by


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.



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.



i. Select Catalogue SearchPerson 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.



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.



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.



xix. Once merged, a message appears confirming the merge.

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. 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 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. A message appears asking for confirmation.

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 SearchEntity Lookup from the Main menu.



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



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.

i. You can search records for All Related, Exact Match or Only Parent by


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. You can search records for All Related, Exact Match or Only Parent by


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.



vi. Once merged, a message appears confirming the merge.

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. 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 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. A message appears asking for confirmation.

ix. A confirmation message appears once a copy of the record has been made. You

can edit the fields in the copied record.

7.4 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 SearchAddress Lookup from the Main menu.



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



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 SearchText 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.



v. 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.

7.6 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 SearchQuick 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 SearchVirtual 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



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.



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 SearchTransaction 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.



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 SearchReport 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



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 Entering the amount of 500 in the Threshold will return all


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.



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 SearchIntelligence 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



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 SearchTemplate 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

Received

Unique and descriptive name of the underlying template



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 SearchJournal 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



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 SearchDisseminated 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



Case Source

Report Indicators

Activate ( ) the checkboxes of the available values, which categorize

the report best

8 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.



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



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 icon to open the Case Escalation Details screen.



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.



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 button on the Case

Proposal Lookup screen.

xvi. Case Proposal screen appears



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 ProcessesCasesFind 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:



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 button. You have to enter Comments before you can

send it back.

Note: The letter “N” indicates that the case has been set at normal priority in the Options

section.



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 ProcessesCasesNew/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



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.



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.



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 icon the tab’s footer or hit <F3> to delete an associated report from

the case.

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.



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.



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

Source Party

Where the transaction originated

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



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

i. Click on the icon in the tab’s footer or hit <F2> to add a new person.

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




1. Add an Entity

i. Click on the icon in the tab’s footer or hit <F2> to add a new entity.

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

i. Click on the icon in the tab’s footer or hit <F2> to add a new account.

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.



1. Add a case attachment

i. Click on the icon in the tab’s footer or hit <F2> to add a new attachment to the

case.

ii. The Attach Document window appears:

iii. 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.

2. Delete a Case attachment

i. Click on the icon in the tab’s footer or hit <F3> to delete an attachment from

the case.

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.



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:



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.



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.

i. Click on the icon in the tab’s footer or hit <F2> to add a new diagram.

ii. All the transactions related to the diagram appear in the Transactions tab.

8.3 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:



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:



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).



8.5.1 Find Operation

To find certain existing operations in the goAML database:

i. Select Business ProcessesOperationsFind 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 ProcessesOperations New/Edit Operation from the menu. The Operation tab

is loaded and displayed.



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:



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 set-

up.

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 ProcessesProjectsFind Projects from the menu. The Project

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 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 ProcessesProjects New/Edit Project from the menu. The Project

tab is loaded ad displayed:



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:



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.

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 SubjectsNew 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).

9.0 New Subjects


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 SubjectsNew 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 EntryNew 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:

9.0 New Subjects


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 SubjectsNew 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:``

9.0 New Subjects


iv. Fill in the data fields:

vi. Define a (unique) Name for the new virtual object.

vii. Enter a Description of the object and its intended usage.

viii. 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.

ix. 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:

9.0 New Subjects


Define the linked object as follows:

i. Select the object type (person, entity…) from the drop-down list Party Type.

ii. 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).

iii. Select the correct Link Type from the drop-down list.

iv. 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.

v. Use the slider to define the Strength of the object (in %).

vi. Select a Source Info from the drop-down list.

vii. 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.

10.0 Intel


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 IntelProfiles (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.

10.0 Intel


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.

ii. Click on the ‘And’ operator to select one of the following options which will apply to

all underlying conditions.

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

creates a new condition under the selected operator (AND, OR)

creates a new sub-query and allows setting a separate operator

10.0 Intel


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. Click on the attribute name and select the desired attribute to filter by (e.g. address,

fact score…)

v. Click on the operation and select an appropriate one (equals, is between…)

vi. Click on the value field and enter the value you want to filter by

vii. 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. Click on a Query Name in the Profile Queries tab.

ii. The Query Designer is launched and displayed.

iii. Click on .

iv. A new query is created containing all conditions of the original query.

v. 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. Select Show Only My Queries

ii. Select the query in the Profile Queries tab by clicking on its row header

iii. Click on the “minus” icon ( ) in the footer.

iv. Confirm the warning message to delete the query.

Note: It is only possible to delete queries you created.

10.0 Intel


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.

10.0 Intel


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 IntelCreate 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:

10.0 Intel


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. To select one object, click on it.

ii. 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.

iii. 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).

iv. Click and hold the mouse button, then drag a rectangle frame around the area you

want to select.

v. Release the mouse button.

vi. 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:

10.0 Intel


To create a link between two objects:

i. Make sure that linking is enabled (OptionsAllow Linking; see section 10.2.7: The

Toolbar functions for details).

ii. Move the mouse cursor over the centre of source object; it changes into a hand symbol.

iii. Hold the mouse button down and drag the cursor to the destination object. A line

appears.

iv. Release the mouse button. The connector is created.

v. Delete Objects

vi. 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.

10.0 Intel


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.

10.0 Intel


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.

10.0 Intel


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 onto 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. Click onto show the selection

window

ii. Select the types of objects to be

shown with a certain object type

(e.g. all accounts connected with the

persons in the diagrams)

iii. 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 ( ): Use this function to temporarily hide certain kinds of objects from

view.

i. Click on the icon to open a drop-down list.

ii. Show ( ) or hide ( ) the object types as you like.

iii. 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. Show Background Grid: Shows a grid which helps arranging the objects.

ii. Auto-detect Duplicates: Automatically groups items of same type and name.

iii. Allow Linking: When active, connecting objects with connectors is enabled.

iv. Hide Link Labels: Activate to hide the labels of the connectors from view.

v. 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.

10.0 Intel


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. Keep Grouping After Expansion: Makes a group from the already expanded items

before expanding the new ones.

ii. 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.

10.0 Intel


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 IntelMatchingData 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:

10.0 Intel


ii. Select the Business Object Type you want to match from the drop-down list (persons,

entities, accounts or any).

iii. Define a (unique) Matcher Name.

iv. Decide if you want to make the matcher Public ( ) or keep it for the active user only

( ).

v. 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.

vi. Now perform the necessary processing steps, depending on the business object type

chosen (see below for details). Finally:

vii. 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.

10.0 Intel


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:

10.0 Intel


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. Click on the matcher’s name in the Data Matchers tab.

ii. The matcher is loaded and displayed.

iii. Click on “Delete current record” ( ).

iv. 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.

10.0 Intel


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 to re-enable the automatic matching runs.

v. Click on to define a schedule for running the matcher. A support dialogue

window opens:

i. 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.).

ii. 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).

iii. 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).

10.0 Intel


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 to

delete the schedule from the matcher or on to close the dialogue window

and discard all changes.

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 IntelMatchingScheduled Match Runs from the menu.

ii. The Scheduled Match Executions tab is opened in the goAML workspace:

iii. To retrieve the desired information:

i. Select the time span you want to investigate in the fields Execution Date From and

Execution Date To.

ii. Select the matcher you want to look at from the drop-down list Matcher Name.

iii. Retrieve the result data: Click on “Retrieve Data” ( ) or press <F12>.

iv. The data is loaded and displayed:

10.0 Intel


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. Match Type: The kind of data matched (persons, entities, accounts).

ii. Matcher Name: The user-defined name of the data matcher.

iii. No. of matched objects: The number of results returned.

iv. Execution Date: Time stamp when the match run was performed.

v. Processed: Activated when the result data is fully processed (see below).

vi. System: Activated when the run was triggered by a system-defined (i.e. default)

matcher.

vii. 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:

10.0 Intel


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

10.0 Intel


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 IntelMessage Board from the menu. The goAML message board is loaded and

displayed in a new tab:

10.0 Intel


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. You can either create a folder / sub-folder, rename folder or delete folder for the

messages in Inbox, Draft and Sent Messages.

iii. 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:

10.0 Intel


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:

10.0 Intel


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.

iii. Activate ( ) the check boxes of all list items you want to add as recipients.

iv. Click on to confirm your selection. The recipients are added to the message.

10.0 Intel


v. Enter the message in the Message field.

vi. If required, change the Subject of the message.

vii. Set the Priority.

viii. 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.

10.0 Intel


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.

10.0 Intel
