Overview of Standard Operating Procedures on ‘Dissemination and Information … · 2013. 10. 3. · Overview of Standard Operating Procedures on ‘Dissemination and Information

Overview of Standard Operating Procedures on ‘Dissemination and Information Sharing’ at FIU

(Mauritius Perspective)

By Kamlesh Ramdhary

Senior Financial Intelligence Analyst

Financial Intelligence Unit

7-9 October 2013, Addis Ababa, Ethiopia

RECEIPT, COLLECTION, ANALYSIS AND DISSEMINATION

THE INTELLIGENCE CYCLE

The Intelligence Cycle

PLANNING COLLECTION

EVALUATION

COLLATION

Thought Process is used throughout

Always review each stage

ANALYSIS

REVIEW/

REPORT

DISSEMINATION

FEEDBACK

THE TYPES OF REPORTS - DR

Section 13 of the FIAML Act 2002

(1) Where the Director considers that

information on any matter should be

disseminated to the investigatory or

supervisory authorities, he shall refer the

information to the Board which shall consider

...........

Statutory dissemination reports

THE TYPES OF REPORTS - IR

Section 22 of the FIAML Act 2002 Where it becomes aware of any information, which-

(a) may be relevant to the functions of any of the supervisory authorities; and

(b) does not of itself justify a dissemination to any of the investigatory authorities under section 13,

the FIU may, by itself or at the request of the supervisory authorities, subject to subsection (4) , pass on the information to the relevant supervisory authority.

Intelligence Reports

DISSEMINATION – TO WHOM?

Domestic bodies Investigatory authorities

Independent Commission against Corruption

Commissioner of Police

Director Customs

Enforcement authority (Assets Recovery Authority)

Supervisory authorities Bank of Mauritius

Financial Services Commissions

International bodies Overseas FIUs

DISSEMINATION– STATUTORY DR (PRIOR DEC

2012)

Drafting the report to be disseminated Statutory DR produced by the Analysts, under the strict directions of

the Director/Assistant Director / Supervisor

Constant review of cases on the collection, evaluation, grading, analysis of information based on hypothesis produced.

When case has been developed, then consider drafting the statutory DR (see format of a Statutory DR)

Arranging for Board Meeting Getting the Board Members (quorum) for Board Meeting as per defined

set of Board Procedures existing at the FIU.

Preparation of Board Papers

Sufficient Notice for Board Members for meeting

Dispatch of Board Papers (Technical v/s Administrative)

DISSEMINATION– STATUTORY DR (PRIOR DEC

2012) (2)

Approval and dissemination of Statutory DRs Remittance of Technical Board Papers on day of meeting

Presentation of statutory DR by the head of the Technical Department.

Securing approval by signing appropriate forms

Securing consent for dissemination of statutory DR by signing the DR.

Closure of Board Meeting

Remit back Technical Board Papers to Secretary of Meeting

Disposal of documents as per SOP

Authority to issue letter to disseminate statutory DR granted to Head of Technical Department or Director

Dispatch mode

DISSEMINATION– STATUTORY DR (CURRENTLY)

Section 13 of FIAML Act 2002

Where there are grounds to suspect money laundering, predicate offences or terrorism financing, the Director shall disseminate information and the results of the analysis of the FIU to the relevant investigatory authority, supervisory authority, overseas financial intelligence unit or comparable body for appropriate action.

Dissemination of Statutory DRs Review of case files and the Statutory DR by the Director /Head of

Technical

Consensus that a Statutory DR to be made

Report prepared by Analysts, on instructions of Director/ Head of Technical

Internal form for agreement of Director for dissemination of report (see sample)

Director signs on statutory DR, as the sole person having such authority.

Two originals of reports made. One dispatched and one on records for FIU

DISSEMINATION– IR

To domestic agencies

A similar approach to Statutory DR shall be exercised.

See sample IR

To international agencies / FIUs

Authority to disseminate lies with the Director

Dedicated staff deals with handling the IR

Proper records are kept for IR made to overseas FIUs

Use of feedback forms (see sample feedback form)

DISSEMINATION– PERMISSIONS

May be disseminated to other law

enforcement agency and prosecuting agency

May be disseminated to Mauritius non-

prosecuting agency

May be disseminated to foreign law

enforcement agency

May be disseminated within the agency only

No further dissemination

DISSEMINATION – SET ASIDE CASES

Process for set aside cases

Preparation of internal reports

Filling in of Consent of Director to set aside case form.

File and form sent to the Director for consent to set case

aside.

File and duly signed form goes back to Secretary Technical

Case Management database and STR register is updated

Consent Form goes to the Data Intelligence Section for entry

to be made on internal database of the FIU for case

Internal Report is captured on internal database of the FIU

CLOSING A CASE

Process for closing a case file (Hard copy) Update the files with copies of all documents (including the

dissemination reports)

It is recommended (if you do not have sophisticated system for monitoring movement of physical document) to number all pages of the files.

Update the Fact-Sheet to reflect the relevant entities involved in a case.

Prepare a sanitized version of the case that has been disseminated (crucial for strategic analysis)

Secure senior level authorization for capturing information on the sanitized case.

Return file to Office Secretary to be kept in a Restricted Filing Room under lock.

CLOSING A CASE

Process for closing a case file (Soft copy) Case folders (accessible only to Analysts working on these

cases), will need to be updated with all workings, reports, correspondence etc.

Analysts are requested to abide by the naming convention

Part information on the Case Files may be held with other staff (as part of Segregation of duties), and same need to be gathered by Analyst and Case File folders need to be updated. Proper approval need to be secured to have access to the folders of other staff for such an exercise.

The Case File folders need to be kept in a specific drive.

No further access to a case once completed.

Kamlesh Ramdhary

Senior Financial Intelligence Analyst

Financial Intelligence Unit

7th Floor, Ebène Heights

34, Ebène Cybercity

Ebène

Email: [email protected]

Tel (230) 454 1423

Fax (230) 466 2431