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

2. 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

3. 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)

4. 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.

5. 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)

6. 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”.

7. 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

8. 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)

9. 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)

10. 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.

11. 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)

12. 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)

13. Follow-up procedure
Rules of procedure: items (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

14. 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).

15. Thank you for your attention.
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