Application Form - Council of State Governments



2004 Innovations Awards Program

Application Form

(INSTRUCTIONS: Please complete and submit this document electronically if possible, e.g. a Word document. The application form is available online at our web site, , in the Programs section. Please determine the appropriate Program Category from the enclosed Program Categories sheet, and list the category under the Category section below on the right.)

ID #: 04-S-29LA

Category: Government Operations

State: Louisiana

1. Program Name - Currency Transaction Reporting Program

2. Administering Agency – Louisiana Department of Public Safety

3. Contact Person - Susan Demouy, Audit Director

4. Address – 7919 Independence Blvd, Baton Rouge, LA 70806

5. Telephone Number – (225) 922-0529

6. FAX Number – (225) 922-2551

7. E-mail Address – sdemouy@dps.state.la.us

8. Web site Address –

9. Please provide a two-sentence description of the program – It is a web-based Currency Transaction Report (CTR) submission system that captures information in a database. It has built-in features that automate: a) regulatory mandated submission monitoring, b) document storage and retrieval, c) player tracking inquiries.

10. How long has this program been operational (month and year)? Note: the program must be between 9 months and 5 years old on May 1, 2004 to be considered. – It was implemented in February of 2003; therefore it has been operational for approximately 1 year and 2 months.

11. Why was the program created? (What problem[s] or issue[s] was it designed to address?) - This system was created to

1. improve information accuracy

2. reduce filing space and utilize a paperless filing system

3. eliminate duplication of state employees inputting revenue information submitted by licensees

4. reduce number of data entry errors

5. eliminate redundancy errors

6. reduce employee time spent monitoring mandated regulatory submission requirements

7. eliminate the need for LSP employees to manually enter information into the database.

8. ensure accurate monitoring of regulated submissions and provide sufficient, competent evidence of non-compliance

9. provide a more efficient manner of information access by gaming personnel, licensees and the Legislative Auditors to CTR information.

10. establish a more expedient and accurate format of submitting currency transaction reports, known as CTR;

11. ensure secure accountability regarding submission and review of GRSs;

12. provide more efficient/accurate tracking of CTR amendments;

13. reduce licensee copying and postage costs by allowing electronic submission.

The system was designed to

1. automatically calculate totals in certain required fields reducing mathematical errors;

2. reduce errors by automatically populating many fields;

3. record the date and time of submission;

4. automate the amendment number on CTRs;

5. allow inquiry capabilities by multiple fields;

6. expedite CTR information retrieval by departmental personnel across the state, and reduce manhours to retrieve the information.

7. enhance the department’s ability to gather intelligence on money laundering

12. Describe the specific activities and operations of the program in chronological order. – The casino has the administrative capability to add, change access and delete their own employees as their Human Resources dictate. A casino employee enters the required information into the CTR form. Once the employee submits the CTR to the state, it becomes the official casino submission and the system records the date/ time of receipt.

Once the state regulator is in receipt of the official CTR information, it is then made available to all state regulators. If an amendment to a CTR is submitted, the system automatically attaches the amendment to the original. State regulators have the capabilities to conduct inquiries by range, by licensee, or by fields in the document. Licensees’ also have the capability to make inquiries of their own historical information.

13. Why is the program a new and creative approach or method? – It tremendously streamlined the antiquated old process of mailing voluminous paper CTR reports, by utilizing new computer program technology and the Internet. In addition, the system eliminates redundancy and data entry errors because once a CTR for a patron is entered into the system, it automatically populates the individual’s name, address, driver’s license number, and date of birth each subsequent time their social security number is entered into the system (for additional CTRs.) This program created a way to ensure mathematical accuracy with regards to automatic calculations of data entry information, resulting in a reduction of errors in reporting. The system also ensures accountability on the casinos’ part by allowing only specific casino employees to enter, approve and transmit GRSs.

14. What were the program’s start-up costs? (Provide details about specific purchases for this program, staffing needs and other financial expenditures, as well as existing materials, technology and staff already in place.) Approximately $20K

15. What are the program’s annual operational costs? – Approximately $10K annually for system maintenance, upgrades and legislative changes (obtained from projected IT staff personnel costs)

16. How is the program funded? – Riverboat Gaming appropriations.

17. Did this program require the passage of legislation, executive order or regulations? If YES, please indicate the citation number. – Program was developed to be in compliance with existing federal and state requirements. Upon implementation, this system became the first fully automated system in the United States to provide the functionality of a wed-based CTR system.

18. What equipment, technology and software are used to operate and administer this program? – The system utilizes a wed-based structure where HTML, JavaScript, Java, and Servlets are used to access an IBM DB2 database. The software was developed using IBM Websphere Application Developer. System security is handled through IBM RACF, Verisign and an in-house Java based application responsible for user authentication.

19. To the best of your knowledge, did this program originate in your state? If YES, please indicate the innovator’s name, present address, telephone number and e-mail address. Yes – David Gerald, 7919 Independence Blvd, B.R., LA 70806

(225) 925-7658, dgerald@dps.state.la.us

Larry Harrell, 7919 Independence Blvd, B.R., LA 70806,

(225) 925-4027, lharrell@dps.state.la.us

Susan Demouy, 7919 Independence Blvd, B.R., LA 70806

(225) 925-4027, sdemouy@dps.state.la.us

Chris Cavell, address unknown – no longer employed with DPS

20. Are you aware of similar programs in other states? If YES, which ones and how does this program differ? No – However, after the United States Treasury Department came down and observed how this system operated, they implemented a similar system for submission of Currency Transaction Report (CTR) submission entitled PACS.

21. Has the program been fully implemented? If NO, what actions remain to be taken? – No – a phase II is projected to include submission of Suspicious Activity reports (SARs) via the secure website, also.

22. Briefly evaluate (pro and con) the program’s effectiveness in addressing the defined problem[s] or issue[s]. Provide tangible examples. Tracks amendments, late submissions, status – The LIGHTS program:

a. establishes a more expedient and accurate format of CTR submission;

b. provides more efficient/accurate tracking of CTR amendments;

c. gives the casino administrative capabilities to add, change access and delete their own employees as their Human Resources dictate; thereby, relieving the state from this duty and the subsequent delay it would cause;

d. allows state regulators administrative capabilities to add, change access and delete their own employees as state Human Resources dictate;

f. verifies accountability on the casinos’ part by allowing only specific casino employees to enter, approve and transmit CTRs;

g. automatically calculates totals in certain required fields reducing mathematical errors;

h. records the official date and time of receipt of the casino’s submission of the CTR; thereby automating a manual process of tracking this information in an Excel spreadsheet;

i. calculates if the report was submitted timely;

j. releases official revenue information to all state regulators with access to the system.

k. . reduces filing space by utilizing a paperless filing system

l. eliminated duplication of state employees entering CTR information submitted by licensees

m. reduces number of data entry errors by automatically populating many fields;

n. eliminates redundancy errors

o. reduces employee time spent monitoring mandated regulatory submission requirements

p. ensure accurate monitoring of regulated submissions and provide sufficient, competent evidence of non-compliance

q. provides a more efficient manner of information access by gaming personnel, licensees and the Legislative Auditors to CTR information.

r. reduces licensee copying and postage costs by allowing electronic submission.

s. enhances the department’s ability to gather intelligence on money laundering

23. How has the program grown and/or changed since its inception? The system was enhanced to automatically populate the patron’s name, address, driver’s license number, and date of birth each subsequent time their social security number is entered into the system (for additional CTRs.) This created a way to ensure more accuracy with regards to a reduction of data entry errors in reporting.

24. What limitations or obstacles might other states expect to encounter if they attempt to adopt this program? – Cost limitations

Add space as appropriate to this form. When complete, return to:

CSG Innovations Awards 2004

The Council of State Governments

2760 Research Park Drive, P.O. Box 11910

Lexington, KY 40578-1910

innovations@

DEADLINE: All original applications must be received by April 20, 2004, to be considered for an Innovations Award for 2004.

ApplicationForm04.doc

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