Attachment 6 - Project Profiles_ASSC.ppt

Revised April 2007

Application Systems Support Contract (ASSC) Revised August 2009 ASSC System Profiles

FACDb

CTAL

SDN

Blocked Assets

SPRP

ABARRS

SMART

LT ProForma

TACT

DCFO and OPB Systems

Econometric and Market Data Systems

Administrative Support Systems

SAFETY (SHIMS)

Joint Operations

Community Development Financial Institutions (CDFI) Portfolio (attachment 1)

Revised April 2007

The current production system, FACDb 1.0, supports 100+ users. The system consists of the following software components: Oracle 10g Enterprise Edition 10.2.1.0, Oracle Application Server 10g Release 2, Oracle Designer 9i generated application screens, and the Oracle Web PLSQL Toolkit.

The system utilizes an HP/Compaq ProLiant DL380 G3 application server with 6GB RAM, 6x72HDD, and dual Intel Xeon 3200MHz processors running Oracle AS 10g. FACDB data reside on the OFAC database server also built on the HP/Compaq ProLiant DL380 G3 dual processor Intel Xeon platform, and running an Oracle 10g client.

Foreign Assets Control Database (FACDb) The Office of Foreign Assets Control (OFAC) currently administers more than a dozen major economic sanctions programs imposed by the President under authority of the International Economic Powers Act and the Trading with the Enemy Act. FACDb was implemented in 2002 to produce licenses that permit foreign travel and commerce with sanctioned countries, capture and track the status of approximately $4 billion in blocked assets and transfers held in approximately 150 financial institutions, and process/track approximately 5000 licensing cases, 500 enforcement cases, and 300 civil penalty cases annually.

FACDb automates OFAC processes by facilitating the data entry of correspondence into a mail module. Annually, FACDb processes and tracks approximately 15,000 pieces of correspondence using an automated system mail module. FACDb facilitates the issuance of licenses by capturing and utilizing information from the correspondence. Hard copies are filed and the system tracks their location, and many reports are available to the user.

Application Workflow Environment FACDb Edit Mail View

The application runs on a Windows 2003 server machine with the .NET framework Version 1.1 installed. It uses the Oracle 9i Client with the .Net data provider from Oracle to connect to the OFACProd Oracle database server.

Cuba Travel and Authorization Licensing (CTAL) The Office of Foreign Assets Control (OFAC) currently administers more than a dozen major economic sanctions programs imposed by the President under authority of the International Economic Powers Act and the Trading with the Enemy Act. CTAL oversees the management, processing, past travel history, and stakeholder notification of specific license requests and travel details to visit Cuba for the Miami office of OFAC.

The CTAL system is a web application that allows travelers and their TSP representatives to complete and submit the Request for a Specific License to Visit an Immediate Family Member in a 36 Month Period application form and other required, associated information to authorized CTAL reviewers at the OFAC Miami office.

The application data fields will be imported to the CTAL database by an automated routine. To support the enforcement of the new restrictions on Cuba family travel, the system will perform automated travel history, transaction history, and other reviews to verify that the applicant is eligible for travel to Cuba under the Family Travel program.

The system will flag any applications for travelers that are potentially ineligible for Cuba travel based on the reviews. Flagged incoming records will be displayed in a special queue for review by OFAC reviewers. Other queues will be displayed for those records that have matches in CTAL or CFV databases that are potential duplicate or “preempted” applications. A third queue will list applications that drew no information from the review that would indicate potential ineligibility.

Upon final approval, CTAL will place issuances into an approval queue or one of four denial queues. These queues can be batch processed which will generate electronic, paperless licenses or denials that can be sent electronically to the applicant via email or can be printed, signed and mailed to the applicant.

Application Workflow Environment CTAL Incoming View

SDN runs on a Windows 2003 server machine with the .NET framework Version 1.1 installed. It uses the Oracle 9i Client with the .Net data provider from Oracle to connect to the OFACProd Oracle database server.

Specially Designated Nationals (SDN) The Office of Foreign Assets Control (OFAC) currently administers more than a dozen major economic sanctions programs imposed by the President under authority of the International Economic Powers Act and the Trading with the Enemy Act. SDN was implemented in 2005 to replace the Rbase 4.5 system used to publish the list of Specially Designated National and Blocked Person (SDN) list.

Specially Designated Nationals (SDN) are individuals, entities and vessels with whom United Sates institutions and individuals cannot do business. OFAC must publish a new SDN list whenever names are added or deleted. Information on the SDN list changes under Presidential directive or Congressional mandate based on U.S. foreign policy or threats to the nation’s security or economy.

The Foreign Terrorist Division (FTD) and International Programs Division (IPD) use this system to submit and update SDN information. These divisions will also use the SDN system to generate statistics and specific output to aid them in their respective missions. This system is used to enter SDN information that is received directly by the Compliance Programs Division from other sources, to modify SDN information, to create and publish the SDN list in multiple file formats, and to notify users when the list has been published.

SDN is available behind the OFAC firewall to the OFAC user base having SDN privileges.

Application Workflow Environment Search/Modify SDNs View

Blocked Assets runs on a Windows 2003 server machine with the .NET framework Version 1.1 installed. It uses the Oracle 9i Client with the .Net data provider from Oracle to connect to the OFACProd Oracle database server.

Blocked Assets The Office of Foreign Assets Control (OFAC) currently administers more than a dozen major economic sanctions programs imposed by the President under authority of the International Economic Powers Act and the Trading with the Enemy Act. The Blocked Assets application was implemented to provide US financial institutions with the means to electronically submit their annual blocking report.

The Office of Foreign Assets Control (OFAC) publishes a list of Specially Designated Nationals (SDN) and Blocked Entities. All U.S. financial institutions and all persons in the United States are required to block or reject transactions linked to SDNs or blocked entities and reject certain other transactions and report their actions to OFAC within 10 days of occurrence. As part of this process, for each calendar year, all institutions who file a reject or blocking report during the year are required to submit an annual report - which serves as a compilation of all of the blocking/reject reports they filed during the year. The Blocked Assets system provides the institutions with the means to electronically file this annual report.

Application Workflow Environment Blocked Assets Add Property Screen

The current production system, SPRP 1.0, supports 100+ users. The system consists of the following software components: Oracle 10g Enterprise Edition 10.2.1.0, Oracle Application Server 10g Release 2, Oracle Designer 9i generated application screens, and the Oracle Web PLSQL Toolkit.

The system utilizes an HP/Compaq ProLiant DL380 G3 application server with 6GB RAM, 6x72HDD, and dual Intel Xeon 3200MHz processors running Oracle AS 10g. FACDB data reside on the OFAC database server also built on the HP/Compaq ProLiant DL380 G3 dual processor Intel Xeon platform, and running an Oracle 10g client.

Service Provider Regulatory Program (SPRP) The Office of Foreign Assets Control (OFAC) currently administers over a dozen major economic sanctions programs imposed by the President under authority of the International Economic Powers Act and the Trading with the Enemy Act. This system provides a secure data warehouse and data entry and analysis tool for OFAC users to track Service Providers that send funds to Cuba per the U.S. Department of Treasury’s trade embargo regulations. The SPRP system allows Treasury to track and analyze companies’ financial operations and to investigate and shut down those that operate illegally.

SPRP facilitates the collection, consolidation, and analysis of current and historical transactions and demographic data to meet OFAC requirements. The system produces reports that allow OFAC users to monitor authorization assignments and status, analyze audit requirements and status of audits, and track demographic data of service providers.

Application Workflow Environment SPRP Travel Service Provider View

ABARRS runs on a Windows 2003 server machine with the .NET framework Version 1.1 installed. It uses the Oracle 9i Client with the .Net data provider from Oracle to connect to the OFACProd Oracle database server.

Automated Blocking and Reject Reporting System (ABARRS) The Office of Foreign Assets Control (OFAC) currently administers over a dozen major economic sanctions programs imposed by the President under authority of the International Economic Powers Act and the Trading with the Enemy Act. OFAC publishes a list of Specially Designated Nationals (SDN) and Blocked Entities. All U.S. financial institutions and all persons in the United States are required to block or reject transactions linked to SDN’s or blocked entities and reject certain other transactions and report their actions to OFAC within 10 days of occurrence. ABARRS facilitates these processes.

ABARRS facilitates the blocking/rejection process using electronic data entry forms (approximately 27 fields) at the rate of 200 to 1,000 per week, and accepts fax transmissions of screen prints and automatically links them to electronic transactions. ABARRS also allows financial institutions the ability to query only on data they have submitted. Additionally, ABARRS will provide canned reports (e.g., reports to Congress, report to each financial institution of all their submissions for a year, report by name, notification of suspected duplicate entry of transactions), as well as a report that facilitates the analysis of transactions. The system maintains an audit trail on all submissions and updates, and provides OFAC staff the ability to issue and revoke financial institution accounts and maintain administrative/validation tables.

Application Workflow

ABARRS Data Entry Screen

This system consists of Oracle 9i hosted on an HPAlpha ES80 Mainframe, a Windows 2000 server running Oracle Reports Server (10g) and Internet Information Services, and a Windows 20000 Server running Oracle 9i. The system consists of over 60 reports, 80 forms, 120 PL/SQL modules, and 60 Oracle Discoverer Workbooks. The application executable used by the office is stored on the shared J drive on the DO LAN. The tools used to develop and maintain SMART include Visual Studio, NET 2003, Quest Software’s SQL Navigator, Oracle SQL *Plus, Oracle Developer 6i to develop forms and reports, Oracle Discoverer 4.1.37, Oracle Enterprise Manager for data import/export, Oracle SQL Worksheet and Erwin data modeler.

Securities Management and Retrieval Technology (SMART) SMART is a data warehouse application that tracks marketable and non-marketable government securities information. SMART is used by the Assistant Secretary for Financial Markets and the Office of Debt Management for the purposes of making debt management decisions.

The Office of Debt Management (ODM) provides advice and analysis to senior Treasury officials, related to: the Treasury’s debt management policy, the marketing of Treasury and federally-related securities, and financial market research; produces Treasury’s official yield curve and setting interest rates for Federal borrowing and lending programs; and advises on regulation of the Government securities market. The Securities Management and Retrieval Technology (SMART) is the primary system for accomplishing ODM’s core functions. SMART is a data warehouse that has several interconnected applications.

Application Workflow

SMART Quotes View

The current production system, LT ProForma 2.1, supports the Assistant Secretary and Deputy Assistant Secretary and primary staff in the Office of Debt Management (2-4 users). The system was developed with Oracle database and developers toolkit, and uses a Microsoft Windows NT Server with an Oracle 8.1.7 database.

Long Term ProForma (LT ProForma) LT ProForma is a modeling tool used by the Office of Debt Management. The system provides the Assistant Secretary (Financial Institutions) and Deputy Assistant Secretary (Federal Finance) the ability to make financing decisions for future market borrowing requirements based upon inputs such as receipts, outlays, and interest rate projections.

LT ProForma captures historical marketable government securities data from the Securities Management and Retrieval Technology (SMART) application database. LT ProForma users can then enter information such as CPI rates, interest rates, non-marketable data, and other types of information so that users can forecast long-term future U.S. Government borrowing requirements. LT ProForma creates reports and text files that can be used with Microsoft Excel to create charts and graphs.

Application Workflow

LT ProForma Data Entry View

The current production system, TACT 1.01, is web-based and supports 300+ users. The system was developed using Visual Basic, ASP, Fulcrum, ADO, SQL Server, Crystal Reports, Watermark, and ImageBasic. TACT utilizes an SQL Server 2000 database.

Treasury Assignment and Correspondence Tracking System (TACT) TACT is a browser-based application that supports all major offices across DO. TACT automates correspondence processing and assignment tracking by providing canned and ad-hoc routing of documents, security and business rules processing, and a centralized document repository to facilitate workflow and document management.

With TACT, users can process correspondence or assignment-related documents by scanning a document or uploading a local document into the repository. Users then add indexing information and assign routing. TACT documents are stored in folders which contain the incoming document, any associated documents and the final outgoing document and image. The folder is routed through DO offices for preparation, review and concurrence.

TACT provides full text searching, online reports, and an interface with views of scanned documents, electronic documents (such as WORD or PDF), and a data entry/view screen of indexing information and routing with comments. The TACT repository contains executive correspondence from February 1996 and its robust search capability is often used to respond to Congressional, legal, and FOIA requests.

Application Workflow

TACT Incoming Document View

CFO-Vision, TIER, JAMES, PRS, BFEM Application Workflow Environment Office of the Deputy Chief Financial Officer (DCFO) and Office of Performance Budgeting (OPB) CFO-Vision provides departmental financial data analysis and reporting capability at the DCFO Users level and provides the official monthly and annual financial statements for DCFO staff, the bureaus, and the Inspector General auditors. TIER is the financial database of record for the Department of the Treasury. It validates monthly summary data from all bureaus and submits FACTS I and II quarterly and annual data to FMS. JAMES monitors the progress and implementation of internal control and audit reports within the Department of the Treasury. It tracks findings, recommendations and corrective actions associated with audit reports conducted by auditing agencies. PRS is the database of the Department of the Treasury's Results Act performance measures and provides policy officials, program managers, and employees easy access to timely performance data.

TIER Admin Transfer Status Report CFO-Vision accesses the TIER data and allows accountants and staff to analyze data, review financial statements and footnotes in a variety of ways, prepares the formal Departmental and Bureau Financial Statements monthly and for the annual Performance & Accountability Report, and prepares formal monthly reports for the Secretary. JAMES allows for auditing agencies to create audit, material weakness and remediation plan reports for each of the Treasury bureaus and offer recommendations for how to correct the issues addressed in the findings of the report(s). Bureau users enter corrective actions into JAMES in response to the auditor’s findings and recommendations. Due dates and action status are tracked in the system. PRS collects the performance reporting data needed for the annual Performance and Accountability Report. BFEM eliminates the many spreadsheets and Word documents used by bureaus for financial data analysis and reporting by automating the format of the required submissions.

TIER collects and homogenizes summarized financial general-ledger-based data from Treasury bureaus so both individual bureau and combined Treasury reports can be produced. TIER also generates data files for bulk transmission to FACTS I, FACTS II (relieving the bureaus of a time-consuming task), and FINSTAD, the financial standards database.

Econometric and Market Data Systems

Several systems support econometric and market data systems for Domestic Finance, International Affairs, Economic Policy, and Tax Policy. Additionally, support is provided to the Watch Office and all senior appointed offices.

These entities utilize the services of third-party market data vendors to contribute both real-time and historical time-series data to both COTS front end applications and internally developed systems. These third-party vendors include Reuters, Bloomberg, Haver, and S&P.

These market data systems collect, display, and disseminate targeted data from global currency, stock, commodities, and securities markets to facilitate the reporting of market behavior.

In addition, economic and breaking newswire services are also brought in with some of the third-party data vendors.

Reuters Haver Bloomberg A number of technologies support the development, operations, and maintenance of data services, including:

TechLib, METADATA, EEE, O-FORMS, eSubscription, RTS/LTS, ALERTS Environment Administrative Support Applications A number of systems support operations and administrative functions for the entire Treasury, DO, or specific bureaus and offices. TechLib supports the Treasury Library Modernization Project and provides automation for the Treasury Library. METADATA is a File Indexing System that tracks which files have specific data and where those files are located. EEE , the Employees’ Entry/Exit System, is an intranet-based project management system that provides order to the hiring and separation of employees within DO.

O-FORMS, the Orientation Forms Automation System is comprised of an electronic rendition of Treasury’s hiring packet, a database to store the form data, and software to route the data to where it is needed. eSubscription is a web-based system that supports the Treasury library in managing subscription orders for various offices within Treasury. Additionally, the system tracks costs to ensure that offices operate within their allotted budgets. RTS/LTS are two systems that track Regulations and Litigation for the Office of the General Counsel. ALERTS is a Microsoft Outlook / SQL Server based application used mainly by Office of General Counsel to track and comply with the legislative requests made from OMB.

METADATA Data Entry View EEE Data Entry View

O-FORMS

BASIS Webserver, BASIS Database Server Visual Basic, ASPX Visual Basic, ASP,

The current production system, SHIMS 4.1, utilizes MS SQL Server 2005 with a JDBC interface, and a Windows 2003 application server. User Claim entry is performed using MS Internet Explorer 6. Client requests are serviced by an Apache web server, and server-side processing is performed by a Tomcat servlet engine.

Safety Health Information Management System (SHIMS) SHIMS collects work-related illness and injury information from standard forms CA-1 and CA-2, and other claim-related data from the employee/claimant, their supervisor, and the worker’s compensation office. SHIMS transfers claims to the Department of Labor, allows users to manage CA-1 and CA-2 claims, and collects safety data.

Employees use the Treasury intranet to prepare and submit claims applications. This process is performed on-line using a series of web-based forms to solicit claims data either a CA-1 claim (Federal Employee's Notice of Traumatic Injury and Claim for Continuation of Pay/Compensation) or CA-2 claim (Federal Employee's Notice of Occupational Disease and Claim for Compensation).

The claimant’s supervisor reviews the claim, and provides the required information. The supervisor can return the form to the employee for corrections, or may approve the application. Approved claim applications are routed to the Bureau’s Workman's Compensation Office and Safety Department.

Application Workflow Environment SHIMS Claim Information View Safety Officers use on-line forms to review information provided on the CA-1 and CA-2 forms. The claim is transmitted in EDI format to the Office of Workman’s Compensation Programs once per day. Once a claim has been investigated, the OWCP reports the claim status to the agency that employs the claimant. Updated claim information is manually downloaded from OWCP in EDI format and the corresponding SHIMS data is updated. SHIMS automatically transfers incident information to Treasury’s Safety Incident Management Information System (SIMIS), which provides consolidated safety reports, which are available for all Treasury bureaus via the Treasury Intranet.

The current production system, Joint Operations, supports 100+ users; it runs on a Windows 2003 operating system located at QWEST. In addition, the server was configured to have IIS 6 web server and .net framework 1.1. The system connects to an SQL server 2000 database via a .net SQL server provider.

Joint Operations Environment Application Workflow The Joint Operations application facilitates the reimbursement of law enforcement officers’ overtime and expenses. Initially, the allocation amount for joint operations is entered into the system. Funds are then obligated and invoices are created for overtime and expenses. HQ approves the invoice and submits it to the National Finance Center (NFC). Once the invoice is approved it is paid by NFC.

The Treasury Executive Office for Asset Forfeiture (TEOAF) administers the Treasury Forfeiture Fund (TFF). The TFF was established in 1992 as the successor to what was then the Customs Forfeiture Fund. It is the receipt account for the deposit of non-tax forfeitures made by the following Member Agencies:

TEOAF Invoices Summary View