process and procedures for assessments Conference of the Parties to CETS 198 Training of Rapporteurs Strasbourg, 15-16 July 2015 Overview of the process and procedures for assessments by the Conference of the Parties

Issues covered Background and objectives Key documents Stages and timelines Process for drafting the report Process of adoption of the draft report by the COP On-site visits Follow-up process Conclusions

Background and objectives Warsaw Convention (CETS 198) Opened for signature : 2005 Entered into force: 1/5/2008 (6 ratifications) => 26 ratifications to date Added value: Article 48, Chapter VI: Monitoring mechanism and settlement of disputes - The Conference of the Parties 1st Conference of the Parties – April 2009/ 7th meeting of the COP : 4-6 November 2015 Adoption of the Rules of procedure (April 2009)

Objectives Provide an assessment of the implementation of selected provisions in the Convention by State Parties, including on effectiveness issues Desk review which takes into account, where appropriate, publicly available information from other AML/CFT bodies - no duplication with other monitoring bodies Report provides recommendations to the Party to improve compliance and implementation with the relevant provisions, It contributes to alerting Parties on areas of weaknesses in the implementation of the Convention and key measures that require further implementation and also to raising awareness.

Key documents The standards Explanatory reports to the Conventions Warsaw Convention (CETS 198) Strasbourg Convention (CETS 141) Explanatory reports to the Conventions Procedural documents Rules of procedure (April 2009 as amended in 2012) Procedure for the formation and operation of any evaluation teams that may be required by the COP under Rule 19 (April 2010) Questionnaire / Guidance for replies/ Template for the draft report (2010)

Key documents The Warsaw Convention (CETS 198) – Art 48 Art 48(1) - “ The COP shall monitor the proper implementation of the Convention by the Parties” Art 48(2) – “The COP shall carry out its functions by using any available MONEYVAL public summaries (for MONEYVAL countries) and any available FATF public summaries (for FATF countries) supplemented by periodic self assessment questionnaires as appropriate. The monitoring procedure will deal with areas covered by this Convention only in respect of those areas which are not covered by other relevant international standards on which mutual evaluations are carried out by the FATF and MONEYVAL”.

The rules of procedure Rule 19 – Procedure for monitoring the implementation of the Convention Questionnaire Procedures and timescales – 19(9) – appointment of rapporteurs Draft report – 19(11) – desk review prepared by Secretariat in conjunction with the rapporteurs Discussion in the Conference of the Parties Publication European Community Follow-up Publication of follow-up

Procedure for the formation and operation of any evaluation teams that may be required by the COP under Rule 19 of the Rules of procedure Amplifies the process under the Rules of procedure 3 rapporteurs appointed: New legal requirements (A. 3, 6, 7, 9, 10, 11) Implementation of judicial international co-operation issues (A. 17, 18, 19, 23, 25, 34, 28) The functioning of FIUs (A. 14, 46, 47)

Stages and timelines Questionnaire sent to the assessed Party: 12 weeks from receipt to complete Draft report is prepared by the Secretariat in conjunction with the rapporteur based on the replies to the questionnaire & analysis Additional information may be requested to the assessed Party if the rapporteur(s) consider(s) it necessary Draft report sent to Party for comments: at least 6 weeks to review and make comments => if necessary, the draft report shall be amended Pre-meeting with the State Party and Rapporteurs to finalise the draft Draft report circulated to COP at least 4 weeks before the COP meeting Draft report subject to peer review during COP meeting: Discussion and if the information is sufficient and the progress on implementation is satisfactory => adoption of report Discussion and if significant concerns about the sufficiency of information or about the implementation, non adoption - the COP shall liaise with the Party/ may decide a more in-depth assessment (possible onsite visit)/ amended report discussed at next COP meeting 8. Publication of report after verification of accuracy of changes by Party 9. Follow up process (18 months after adoption)

Process for drafting the report Rapporteurs are appointed Rapporteurs and Secretariat review the completed questionnaire and raise if necessary any additional questions/clarifications Where possible, Secretariat raises additional clarifications during a MONEYVAL on-site visit Rapporteurs prepare draft elements of the report Secretariat prepares a consolidated draft report Rapporteurs provide comments to the Secretariat on the draft report Revision of the draft report by Secretariat and draft report sent to Party for written comments (at least 6 weeks) Secretariat and Rapporteurs consider the comments made by the Party and liaise on changes needed Pre-meeting with the rapporteurs and Party to discuss comments and finalise the draft report The draft report is revised by the Secretariat after the pre-meeting and is sent to all Parties at least 4 weeks before the COP meeting.

Process of adoption of the report Overview of implementation of the relevant provisions by the Party Rapporteurs present their comments on the implementation of relevant provisions and may also raise questions to the Party or for discussion by the COP Peer review, incl. questions by all Parties, participants and observers Rapporteurs will indicate to the COP whether in their view, the COP has sufficient information to adopt the draft report COP decides on the adoption of the report If significant concerns about the sufficiency of information or about the implementation of the provisions the COP may conclude that further information is required in the discharge of its functions. COP liaises with Party (taking advantage, if required, of MONEYVAL’s processes) Party reports back to COP Based on information received, COP may decide to carry out a more in-depth assessment (application of further steps, not necessarily an on-site visit)

On-site visits Article 48(3): COP can decide on a case by case basis to carry out an onsite visit Procedure for the operation of evaluation teams (2010) sets out the implementing details Short visits – max. 3 days Team of 3 rapporteurs assisted by the Secretariat Scope: flexibility - primarily covering issues of concern to the COP, but may also raise any other issues considered to be relevant. Outcome: revised draft report submitted to COP for discussion and adoption following application of the usual timescales Pilot assessments taking advantage of MONEYVAL’s procedures, where MONEYVAL and COP scheduling permits, to clarify issues during MONEYVAL on-site evaluations. Similar exercise has been applied for one FATF member which is also a Party to the Convention (Belgium)

Follow-up procedure Rules of procedure: items 30-38 (introduced in 2012) Party required to provide an update to the COP on progress in meeting the recommendations and/or issues identified in the adopted report (18 months after the adoption of report) Questionnaire sent to Party which will have at least 8 weeks to respond Replies and adopted report dispatched to a rapporteur country Written analysis prepared by the Secretariat on progress made to assist the COP in its analysis and sent to Party for comments, following which, the draft analysis (as amended if necessary) is sent to the COP and rapporteurs (at least 2 weeks before the meeting) Peer review of Secretariat analysis and replies to the questionnaire of the Party Replies to questionnaire and analysis adopted OR Party required to resubmit an updated follow-up questionnaire to the next COP Publication of the analysis and replies

Concluding remarks The evaluation process is demanding and resource intensive Quality of questionnaire is central to effective evaluation process (comprehensive and accurate responses, reports and other relevant material) The assessment covers both the implementation of provisions and effectiveness: legislation should be in force and in effect/ implemented fully and effectively/ taking into account the mandatory or non-mandatory nature of the provisions as well as any possible declarations/ratifications allowed by the Convention The draft report can be substantively amended as a result of the consultation process, and peer review by Parties and becomes final after adoption by COP and verification by the Party of the accuracy of changes made to the report in line with the COP decisions. Co-operation and responsiveness are key in the consultation process both with the Party and rapporteurs (meeting deadlines at all stages of the process).

Thank you for your attention. Further information on COP to CETS 198’s work is available at: www.coe.int/cop198