ANNEX 1:Logical Framework matrix in Standard Format
LOGFRAME PLANNING MATRIX For Project Fiche / Programme name and number:IPA 2009- Support to Anti Money Laundering and Financial Crimes Investigations Structures
Contracting period expires: two years following the date of conclusion of the Financing Agreement / Disbursement period expires:
One year after the end date for the execution of contracts.
Total budget: million 1.5 EUR / IPA budget: million 1.5 EUR
Overall Objective / Objectively Verifiable Indicators / Sources of Verification / Assumptions
Assisting relevant Albanian institutions in strengthening effectiveness, coordination and legality of the overall system tasked with the prevention, detection, investigation and prosecution of money laundering (ML), instrumental or otherwise related financial offences as well as the tracing, recovery (seizure and confiscation) and subsequent administration and destination of criminal proceeds and illegal assets. / Increase in the number and quality of cases analyzed, investigated and prosecuted; Operational Cooperation modules drafted and implemented across institutions; Internal Procedures adopted and implemented / GoA reports
Prosecution & Court Statistics
EU Adviser Reports / Twinning project is timely implemented and continuously supported
Project Purpose / Objectively Verifiable Indicators / Sources of Verification / Assumptions
To provide the four key beneficiaries with on-site, continuous and coordinated technical assistance for the fulfilment of their institutional mandates through the deployment of European experts who will closely mentor and advise the project primary and secondary beneficiaries. The focus of this project will be the enhancement of AML operations and inter-institutional coordination and cooperation. / RTA and Long Term Advisers embedded in respective Units and providing continuous technical advice / GoA reports
Prosecution & Court Statistics
EU Adviser Reports / That the Beneficiaries provide on site embedded accommodation for the advisers
That the GoA maintains it’s stated commitment to tackling financial crime
That the staff situation remains stable
Results / Objectively Verifiable Indicators / Sources of Verification / Assumptions
All Stakeholders:
- Detailed and realistic gap analyses of the overall system, assessing on the one hand the situation at the start of the project of serious, organised and acquisitive crime as well as the effective and potential capacity for response from concerned institutions tasked with prevention and repression; highlighting on the other hand the progress achieved at the end of the project, both in terms of reduction of crime levels and of operational capacity and coordination
- Improved effectiveness and legality of the action of the overall system of institutions dedicated to the prevention, detection, investigation and prosecution of ML and related financial offences as well as the tracing, recovery (seizure and confiscation) and subsequent administration and destination/devolution of criminal proceeds and illegal assets.
- Improved inter-institutional operational coordination through the elaboration of formalized cooperation and information exchange protocols, in view of consolidating a fair and coherent preventive and repressive system.
- National Strategy and Action Plan on Financial Crimes implemented across all beneficiary institutions
- Internal and Cross-cutting Training Strategies elaborated and implemented
- Improved International Cooperation mechanisms
- Improved coordination and oversight functions of the GPO in the concerned field
- Further developed ability of JIUs to conduct high quality joint investigations, both over ML and financial offences and over routine financial investigations aimed at recovering criminal assets related to acquisitive offences; improved cooperation with ASP, FIU and other relevant agencies, also through the implementation of investigative protocols/standard operating procedures (including the protocols on corruption and financial investigations developed by the current Twinning Project between the GPO, Spain and Italy).
- Improved ability of the Serious Crimes Court Prosecution Office to implement the preventive seizure and confiscation provided for by the anti-mafia law
- Improved level of cooperation with concerned institutions and agencies (including customs and tax authorities, land and immoveable property registries), through the shared setting of inter-institutional operating procedures, including feedback and reporting mechanisms;
- Review and identification of possible gaps and legal blockages to financial criminal investigation and asset recovery, in view to delivering recommendations to relevant authorities;
- Strategic development of the capacity to prevent, measure and identify cases that need appropriate investigations on the part of ASP; and to control illegal financial flows;
- Extended and adequate use of IT systems, especially EU funded equipment and software;
- Improved quality and quantity of intelligence packages submitted to investigative units;
- Further developing compliance and quality of the cooperation of relevant entities (notaries, banking institutions, etc)
- Increased international cooperation, including in terms of exchange programmes and active participation in international, regional and sub-regional networks.
- Development and implementation of standard operating procedures agreed with the other actors of the system
- Improved investigative skills on financial crime, including asset tracing/recovery as routine practise of any investigation on acquisitive offences;
- Increased understanding of money laundering techniques and investigative measures, including the use of proactive investigative techniques and routine financial investigations on cases of acquisitive offences;
- Improved tasking and coordination processes in view of ensuring the effective use of available resources;
- Development of a training programme and human resources policy for financial investigators;
- Improved use of investigative technical means.
- Development of a strategic multi-annual management plan encompassing human resources, training and professional development;
- Establishment of clear, detailed rules and standard operating procedures binding the actions of appointed administrators in view of harmonising practises as well as preventing mismanagement and corruption; including the use of dedicated web- based software
- Establishment and implementation of proper auctioning procedures for the selling of confiscated assets, also in view of preventing mismanagement and corruption
- Improved cooperation mechanisms with concerned judicial and law-enforcement institutions;
Reccomendations Agreed and implemented
Benchmarks for verification of progress are identified jointly
Number of cases analyzed, investigated and prosecuted; Quality review mechanisms in place; "lessons learned" prepared, agreed and conclusions implemented
Inter- institutional coordination mechanisms formalized and implemented
Relevant NS+AP objectives implemented through the elaboration of appropriate benchmarks (including timelines)
Formalized training strategies available and implemented
Conclusion or fine tuning of agreements with international entities or foreign agencies coupled with a quantitative and qualitative analysis of exchanges
Flow of information to GPO is formalized and implemented
Quality and Quantity of judicial investigations improved according to agreed evaluation criteria
Use of parallel financial investigations is embedded as routine practice
Quantity of assets frozen/seized
Cooperation and Investigation protocols agreed and implemented
Quantity of seizures/confiscations
Review of quantity and quality of exchanged information and feeback cycle
Review mechanisms in place; reccomendations agreed and implemented
Quality and quantity of information analyzed and disseminated; number and quality of cases forwarded to the ASP
Utilization of software for analysis to its maximum capacity; Analysts are trained and retained
Review mechanisms in place and implemented; evaluation of quality and quantity of disseminated Intel packages
Number and Quality of Suspicious Transaction Reports
Number and quality of information exchanged with foreign authorities; participation to regional and subregional activities
SOPs agreed and implemented; review mechanisms in place
Periodical Review mechanism of investigative practices in place and implemented
Staff trained on the use of proactive investigative techniques as they pertain to financial investigations; periodical review mechanisms in place and implemented
Tasking and Coordinating processes agreed and implemented
Training Curriculum agreed and implemented; internal capacity developed to sustain training beyond project duration
Review of the use of technical aids to investigations as they pertain to financial crime.
Management Plan adopted and implemented
SOPs in place and implemented; periodical review mechanism is in place and utilized
Auctioning procedures are agreed, implemented and periodically reviewed
Cooperation protocols are agreed, implemented and periodically reviewed / Project Reports
Government of Albania (GoA) reports
GoA statistics / Continued commitment of Beneficiary to implement the activities of the Twinning Project
Activities / Means / Costs / Assumptions
All Stakeholders
Strategic assistance to the beneficiaries in the formulation of a long-term strategic operational cooperation policy and the establishment of intra-agency and agreed inter-agency standard operating procedures for continuous information exchange in view of the prevention, detection, investigation and prosecution of money laundering (ML), instrumental or otherwise related financial offences as well as the tracing, recovery (seizure and confiscation) and subsequent administration and destination of criminal proceeds and illegal assets, according to the specific duties of each concerned institution. This will include assistance in the drafting of a series of gap analyses, one assessing the situation at the start of the project of serious, organised and acquisitive crime and the capacity for response from concerned institutions tasked with prevention and repression; one highlighting on the other hand the progress achieved at the end of the project, both in terms of reduction of crime levels and of operational capacity and coordination of the overall state system. Activities will include targeted inter-agency training seminars comprising detailed case studies so to maximize efficiency and absorption.
Continuous assistance in the form close mentoring and on the job-training in the daily organisation and implementation of institutional activities, including appropriate inter-agency coordination on concrete cases
Assistance in the arrangement of targeted training courses, mainly in the form of periodical inter-agency seminars and elaboration of a Cross-Cutting training strategy
Provision of assistance in formulating, implementing, monitoring and assessing of, as well as reviewing progress towards, the objectives featured in the National Strategy on Financial Crimes and other governmental strategies; this should encompass the development of each institution's capacity to carry out the above tasks independently and in a sustainable manner
Provision of assistance in developing periodical intra-agency and inter-agency capacity to self-assess performance, review internal and inter-agency processes and undertake corrective action in order to contribute to a sustainable system for the prevention, detection, investigation, prosecution and recovery of criminal proceeds and illegal assets
Provision of assistance to develop international cooperation / LTEs + STEs / Twinning Budget / Twinning Partner (s) chosen
Twinning Partner (s) has access to qualified LTEs and STEs
Beneficiary fulfils preconditions for project implementation including embedding Twinning Experts on beneficiary premises and facilitates their work
Beneficiary is committed to take onboard reccomendations for sustainability beyond project lifecycle
Beneficiary maintains a relatively stable staff environment
G
GPO/JIU
- Support to the GPO and the JIUs’ in developing their respective supervisory/ operational (for GPO) and operational (for JIUs) duties, working procedures and investigative techniques for the detection, investigation and prosecution of money laundering, instrumental or otherwise related financial offences as well as the tracing and recovery (seizure and confiscation) of criminal assets
- Support to the GPO and JIUs in developing appropriate Case Management capacities to promote the effective prosecution of money laundering and financial crimes, as well as the provision of reliable statistical data in coordination with the overall criminal justice system
- Support the GPO in fostering the capacity of the Serious Crimes Prosecution Office to implement and coordinate activities in the framework of the so-called "Anti- Mafia Law"
FIU
- Support to the FIU in developing improved procedures and techniques in the elaboration of analytical products based on the received Reports of Suspicious Operation; and in the proper dissemination of the analytical products towards the appropriate institutional clients.
- Assistance in the development of forms of information exchange with other national and international Agencies and bodies involved in the matter, including actors within the banking system, independent Albanian institutions as well as regional or sectorial organizations
- Assistance in the development of strategic analytical products and statistical tools which can improve the quality of publicly available statistics on Financial Crime, can assist in policy formulation, and can contribute to a transparent criminal justice system
ASP
- Support to the ASP in developing improved procedures and investigative techniques for the detection and investigation of money laundering, instrumental or otherwise related financial offences as well as the tracing and recovery criminal assets.
- Support to the ASP in developing and fine tuning the use of parallel financial investigations as "routine" investigative practices
- Assistance in the development of forms of coordination and information exchange with other national and international Agencies and bodies involved in the matter.
AASCA
- Support to the AASCA in developing procedures for the administration and the auctioning, where applicable, of seized and confiscated Assets
- Depending on policy developments decided by the Albanian Government, provide AASCA with support to develop an Asset Recovery Capacity[1] or to closely cooperate with any such future entity
- Assistance in the development of internal management capacity encompassing training, human resources and continued professional development.
[1]The creation of Asset Recovery Offices (AROs) is a Commission Priority (see preceeding footnote 3) and it is featured as a priority in the Government of Albania's recent strategic document on financial crimes. However it has not yet been decided whether an ARO will be created or whether AASCA or the General Prosecutor's Office will develop this function.