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SPECIFIC TERMS OF REFERENCE

Identification and Formulation Study for a project on

Anti-Money Laundering and Countering the Financing of Terrorism

Instrument contributing to Stability and Peace – Countering Terrorism

FWC IFS 2014 - LOT 03 Critical Infrastructure and Counter-Terrorism

EuropeAid/134757/C/SER/multi

REQUEST FOR SERVICES N° 2015/357518

1. BACKGROUND ................................................................................................................. 2 1.1. The Instrument contributing to Stability and Peace (IcSP) ......................................... 2

1.2 General background ..................................................................................................... 3 1.3 Background of the Identification and Formulation Study ........................................... 5 1.4 Sector context: policies and challenges ...................................................................... 6

1.5 Complementary initiatives ........................................................................................... 7

2. DESCRIPTION OF THE ASSIGNMENT ......................................................................... 9 2.1 Global objective ........................................................................................................... 9 2.2 Specific objectives ....................................................................................................... 9

2.3 Requested services ..................................................................................................... 10 2.4 Required outputs ........................................................................................................ 11

2.5 Language of the Specific Contract ............................................................................. 12 3. EXPERTS PROFILE ........................................................................................................ 12

3.1 Requested experts ...................................................................................................... 12

3.2 Profile required or expertise required ........................................................................ 13

3.3 Other experts (non-key experts) ................................................................................ 14 4. LOCATION AND DURATION ....................................................................................... 15

4.1 Starting period and foreseen finishing period or duration ......................................... 15

4.2 Location(s) of assignment .......................................................................................... 16 5. REPORTING .................................................................................................................... 16

5.1 Content ....................................................................................................................... 16

5.2 Language .................................................................................................................... 17 5.3 Number of report(s) copies ........................................................................................ 17

6. INCIDENTAL EXPENDITURE ...................................................................................... 17 6.1 Other authorized items to foresee under ‘Incidentals’ ............................................... 17 6.2 Other issues ................................................................................................................ 17

6.3 Expenditure verification ............................................................................................ 18 7. MONITORING AND EVALUATION ............................................................................ 18

List of Annexes:

Annex A: Action Document Template

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1. BACKGROUND

1.1. The Instrument contributing to Stability and Peace (IcSP)

The Instrument contributing to Stability and Peace (formerly known as Instrument for

Stability) was launched in 2007 as the main thematic tool for the EU to improve security in

partner countries, complementing other financial tools in particular where geographical or

traditional development instruments cannot be used. This is one of the fundamental

programming principles of this Instrument, given that the raison d’être of the IcSP is to

address those conflict, peace and security issues having an impact on development or other

cooperation policies of the EU - and very often on the EU's own security, too - and which

cannot be addressed under any other cooperation instrument of the EU. For this reason IcSP is

considered an “instrument of last resort” which is complementary to interventions covered by

other geographic and thematic financing instruments for EU external action.

The added value of the IcSP is precisely its ability to address issues that cannot be effectively

tackled under other EU cooperation instruments, because of one of the following reasons or

circumstances:

the global or trans-regional nature of the threat, exceeding the scope of a geographic

instrument (e.g. trans-Atlantic drug trafficking);

the exclusion of the supported area from funding under Official Development Assistance-

bound development instruments such as the European Development Fund (e.g., core

counter-terrorism assistance);

the non-country specific nature of the support, for example actions aimed at developing

international standards or policies such as on transparency of minerals supply chains in

conflict-affected areas; or finally,

due to the need to pursue a homogenous thematic approach, for example building civil

society capacities in conflict prevention, peace-building and crisis preparedness.

The Instrument can provide both 'assistance in response to situations of crisis or emerging

crisis to prevent conflicts' (Article 3 of the Instrument) as well as support longer-term

programmes relating to conflict prevention, peace-building and crisis-preparedness (Article 4)

and addressing global, trans-regional and emerging threats (Article 5).

The latter aims at building capacities in partner countries so that they could better tackle

global and trans-regional threats that have a destabilising effect. In this context the IcSP has

interventions covering three broad thematic areas: Fighting Organised Crime, Countering

Terrorism and Protecting Critical Infrastructure. The definition of these strategic areas of

action is closely linked to the impact these threats have on human security. Lying at the heart

of the security-development nexus1, IcSP actions address these security challenges that

hamper development and other cooperation objectives of the EU with third countries. The

reason is that the EU in its regional and thematic strategies points out that a comprehensive

approach to security and development, which also addresses serious organised crime, is the

most appropriate response.

The EU has been actively engaged in the fight against organised crime and this engagement is

one of the priorities under the IcSP, with 71 million EUR dedicated under the current Multi-

1 Council Conclusions on Security and Development, 19-20 November 2007. Available at:

http://www.consilium.europa.eu/uedocs/cms_Data/docs/pressdata/en/gena/97157.pdf

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annual Indicative Programme 2014-2017. Furthermore, engagement on Counter-Terrorism

(CT) is growing in political importance, geographic scope and monetary terms including

through actions mostly implemented by the IcSP. In this framework, counter-terrorism has

been identified in as one of the main priorities with a 400% increase in funding allocated

under the current Multi-annual Indicative Programme 2014-2017 (72 million EUR).

In line with the IcSP Thematic Strategy Paper 2014-2020 and the on-going IcSP Fight against

Organised Crime as well as Countering Terrorism, anti-money laundering and countering the

financing of terrorism have been included in the Multi-annual Indicative Programme 2014-

2017 of the IcSP.

Support under the “Fight against Organised Crime” envelope includes a variety of actions,

such as the so-called Cocaine Route and Heroin Route Programmes, the fight against the

illicit production and trafficking in falsified medicines, anti-money laundering, the fight

against cybercrime and against the illicit trafficking in small arms and light weapons.

In the field of Counter-terrorism, the IcSP is funding projects in Horn of Africa, Sahel,

Pakistan, South-East Asia, and Middle East & North Africa (MENA) as well as worldwide

actions. These actions are based on the EU Counter-Terrorism Strategy and take a three-

strand approach: (i) capacity building of law enforcement and judiciary; (ii) countering

violent extremism; (iii) countering the financing of terrorism. This is done in full compliance

with international, humanitarian, and human rights law.

While the IcSP long-term CT programmes 2009-2011 focused primarily on the Sahel region

and relevant programmes are being implemented, the 2012-13 long-term IcSP programme

supported counter-terrorism efforts in Pakistan (South Asia) and in Yemen and the Horn of

Africa (HoA) – with a special focus on Countering the Financing of Terrorism in the latter -

and continue to promote the full implementation of the UN Global CT Strategy.

1.2 General background

Terrorism is a threat to all States and to all peoples. It poses a serious threat to security, to the

values of democratic societies and to the rights and freedoms of citizens. Terrorism is criminal

and unjustifiable under any circumstances. Fighting terrorism is among the priorities

identified in the European Security Strategy2 and the EU Council Conclusions on Security

and Development.3

The four pillars of the EU’s Counter-Terrorism Strategy4 - prevent, protect, pursue, and

respond - constitute a comprehensive and proportionate response to the international terrorist

threat. The EU approach to Counter Terrorism (CT) focuses on terrorism as a crime to be

pursued in civilian courts. The criminal justice/rule of law approach to fighting terrorism

includes the respect of human rights at its core and it supports preventive measures such as

counter-radicalisation. This approach requires a long-term commitment to tackle the nexus

between development and security.

The EU, in its regional and thematic strategies, notes that a comprehensive approach which

addresses security as well as development concerns including terrorism is needed to achieve

effective results. The EU seeks to promote the implementation of international norms and

2 A secure Europe in a better world – European Security Strategy, Brussels, 12 December 2003. Available at:

http://www.consilium.europa.eu/uedocs/cmsUpload/78367.pdf 3 Council of the European Union. 2007. Council Conclusions on Security and Development. 2831st EXTERNAL RELATIONS Council

meeting Brussels, 19-20 November 2007. Available at:

http://www.consilium.europa.eu/uedocs/cms_Data/docs/pressdata/en/gena/97157.pdf 4 The European Union Counter-Terrorism Strategy – Prevent, Protect, Pursue, Respond. Available at:

http://register.consilium.eu.int/pdf/en/05/st14/st14469-re04.en05.pdf

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legal instruments relevant to the fight against terrorism, through political dialogue and

targeted technical assistance as well as through co-operation with international and regional

organisations. Further efforts are needed to support priority geographic areas and/or selected

countries in their efforts to prevent terrorism.

One driver of the threat of terrorism and one which the EU and other international partners are

seeking to address is its financing. Terrorist groups nowadays are increasingly well financed

through various sources such as illicit trafficking, extortion, looting, robbery and other illicit

means. These illicit activities are giving terrorist groups increased access to resources and the

ability to engage new recruits who in turn can be used in terrorist acts against the EU and its

partners.

Transnational organised crime is a multi-faceted phenomenon and manifests itself in

different activities including drug trafficking, trafficking in human beings, in firearms and

money laundering. Over the years, serious and organised crime has evolved in a dynamic and

ever evolving phenomenon. Although it is difficult to measure the exact size of illicit markets,

evidence drawn from law enforcement activity across the world suggests they are very large

in both scale and impact. Serious and organised crime has a significant impact on the growth

of the legal economy and society as a whole. The investment of criminal proceeds and trade in

illicit commodities is interlinked with tax avoidance and money laundering that strengthens

criminal enterprises run by or associated with Organised Crime Groups (OCGs). Particularly

in developing countries and in post-conflict situations, organised crime patronage networks

serve as a source of instability that undermine positive changes in the area of stability,

governance and socioeconomic development or even endanger post-conflict transitions.

Together with corruption they have a devastating impact on the rule of law and hinder equal

access to public services.

As elaborated in the 2013 Serious and Organised Crime Threat Assessment (SOCTA) by

Europol5, some 3600 OGCs are believed to be active within the EU with direct contacts with

such groups beyond European borders, representing a threat to the interests of individuals or

organisations they are targeting. OCGs are increasingly flexible, adaptable and innovative,

engaging in multiple forms of criminality. These groups are becoming increasingly networked

in their organisation and behaviour characterized by a group leadership approach and flexible

hierarchies. The ease of international travel and transport, the global emergence of the internet

and other technological advances have made geographic considerations less relevant,

contributing to the engendering of a more international and networked form of serious and

organised crime. There is an increased tendency for groups to cooperate with or incorporate

into their membership a greater variety of nationalities. As a result, an increased number of

heterogeneous groups have developed that are no longer defined by nationality or ethnicity.

Despite this, ethnic kinship, linguistic and historical ties still remain important factors for

building bonds and trust and often determine the composition of the core groups controlling

larger and increasingly diverse criminal networks. This evolution has been greatly fostered by

the process of globalisation that has allowed organised crime activities to expand at trans-

national and trans-regional scope. Criminals act undeterred by geographic boundaries and can

no longer be easily associated with specific regions or centres of gravity. Criminals capitalise

on new opportunities to generate profit, especially when they are able to rely on existing

infrastructures, personnel and contacts. This is particularly true for the groups involved in the

transportation and distribution of illicit commodities. In addition, international trade routes,

the freedom of movement within the EU but also the establishment of customs-unions

amongst countries along trafficking routes enable OCGs to avoid law enforcement activity or

5 Available at: https://www.europol.europa.eu/sites/default/files/publications/socta2013.pdf

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circumvent competing groups controlling a particular route.

1.3 Background of the Identification and Formulation Study

Money laundering and the financing of terrorism are financial crimes with negative economic

and social effects and contributing to the destabilization of EU partner countries, especially

the developing ones

Money laundering requires an underlying, primary, profit-making crime (such as corruption,

drug trafficking, market manipulation, fraud, tax evasion), along with the intent to conceal the

proceeds of the crime or to further the criminal enterprise. These activities generate financial

flows that involve the diversion of resources away from economically- and socially-

productive uses—and these diversions can have negative impacts on the financial sector and

external stability of member states. They also have a corrosive, corrupting effect on society

and the economic system as a whole. Aware of the negative consequences of these forms of

financial abuses on its members’ economies, financial and social systems, as well as in its

partner countries, the EU has decided to step up its engagement in the AML/CFT area, by

supporting AML/CFT efforts. AML/CFT controls, when effectively implemented, mitigate

the adverse effects of criminal economic activity and promote integrity and stability in

financial markets.

In the same vein, the EU is committed to support against the illicit proceeds of crime in

partner countries. In line with the IcSP Multiannual Indicative Programme 2014-2017, the EU

has committed to:

Building the capacity of relevant third countries’ actors in preventing and fighting

against money laundering in compliance with international standards;

Building the capacity of relevant third countries’ actors to recover assets following

adjudication of organised crime and illicit trafficking-related cases;

Supporting the FATF and/or its associated regional organisations in their efforts to

build third countries’ capacities, the raising of awareness, and the enhancement of

legislation, especially in cash based economies and especially as regards Designated

Non-Financial Business or Professions (DNFBP);

Promoting international cooperation among financial intelligence units (FIUs),

especially in the areas of information exchange, training and the sharing of expertise,

also taking advantage of existing platforms and mechanisms;

Promoting law enforcement and judicial cooperation on the prevention and fight

against terrorism, notably countering the financing of terrorism in order to weaken the

capabilities of terrorist groups and deny them access to resources. In this regard,

Capacity building of law enforcement and prosecution in relation to investigation

techniques, crime scene and case management, should be increased. In the same vein,

law enforcement cooperation on border amendment to address terrorist travel and

terrorist financing (in particular cash couriers) should be supported.

Against this, the present assignment seeks to mobilise technical expertise to identify and

formulate a future EU response programme on Anti-money laundering and Countering the

Financing of Terrorism to be put forward for funding from the long-term component of the

IcSP Annual Action Programme 2016.

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1.4 Sector context: policies and challenges

Countering the financing of terrorism is a core component of the EU’s strategy in the fight

against terrorism. As terrorists and their supporters constantly modify their ways to collect,

move and gain access to funds, the EU needs to adapt its instruments and measures to deprive

them from the possibility to engage in criminal activity.

The EU has developed a range of measures that aim at cutting off terrorists' access to funding.

For instance, the Third Anti-Money Laundering Directive expressly extends the scope of the

anti-money laundering regime to terrorist financing.

Illicit financial flows often leave developing countries via the commercial financial system.

Through this system, funds can be laundered to disguise their origin. Anti-money laundering

and counter-terrorist financing (AML/CFT) regimes are very broad and comprehensive tools

to prevent illicit funds from being held, received, transferred and managed by major banks

and financial centres.

Anti-money laundering and counter-terrorist financing efforts are governed by the

recommendations of the Financial Action Task Force (FATF).

The Commission is a member of the FATF and actively contributes to its work as well as to

the implementation of the FATF Recommendations in the EU. In addition, relevant UN

Security Council Resolutions (UNSCR) such as UNSCR 1373, UNSCR 1455 and UNSCR

2178 as well as and Council of Europe instruments, such as the Council of Europe

Convention on Laundering, Search, Seizure and Confiscation of Proceeds from Crime and on

the Financing of Terrorism, play an important role in this context; the Commission supports

EU Member States in implementing these.

The main challenges in this domain, especially in cash-based economies, include the

following:

Insufficient data on the situation in the non-financial sector;

Insufficient access to relevant data, linked to the pre-dominance of paper-based

records represents a major obstacle to systematic investigation, especially, if it is

combined with insecure communication (e.g. insecure email exchange);

Insufficient capacities of specialised units who deal with the financial investigations,

money laundering and asset recovery investigations;

Insufficient analytical capacities of the FIUs;

Insufficient exchange of information, best practices and experiences between FIUs as

well as between Law Enforcement actors;

Insufficient international cooperation regarding asset recovery;

Insufficient knowledge and international cooperation on the management, use and

disposal of criminally derived and stolen assets. This has two dimensions: the

management, use and disposal of assets at the domestic level; and the management use

and repatriation and sharing of assets where more than one jurisdiction is involved and

which requires international cooperation and assistance.

CFT and AML related challenges are often cross-border in nature. It is therefore important to

consider those challenges on a global and transregional basis in order to maximize the use of

available national and regional resources, as well as to strengthen regional cooperation. Law

enforcement officials and prosecutors are faced with challenges that resonate beyond the

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limits of their own borders and which can only be met through inter-state cooperation. These

challenges are further compounded by the complex situation in many third countries where

terrorist groups and transnational Organised Crime Groups are active and the limited capacity

of their governing institutions. There is still an obvious need for a number of actions to

address on-going capacity gaps in the field of general legal and law enforcement capacities

which would broadly benefit and complement specialised AML/CFT efforts. These include

but are not limited to:

Training of criminal justice actors (Financial Intelligence Units (FIUs), law

enforcement, prosecutors and judges) with regard to the investigation, prosecution and

adjudication of money laundering, terrorist financing and terrorist offences and

international cooperation in criminal matters. Specific training in how to develop the

case from intelligence to conviction, including multi-agency co-operation;

Training of law enforcement officers and prosecutors in asset tracing, seizure and

confiscation;

Assistance with amending AML/CFT legislation to bring it into line with the

international instruments, with accompanying safeguards for human rights and civil

liberties;

Updating legislation linked to inter-state cooperation (e.g. extradition and mutual legal

assistance laws, as well as appropriate legal framework for joint investigations

amongst states);

Enhancing capacities for cross-border investigations;

Developing Memorandums of Understanding (MoUs) and Standard Operating

Procedures on joint investigation teams, including gathering of evidence and recovery

of exhibits;

Simplifying mutual legal assistance and extradition procedures for practical use on the

ground;

Conducting training and awareness-raising programmes regarding extradition, mutual

legal assistance, warrants for prosecutors, law enforcement and the judiciary;

Encouraging regional and international (operational) cooperation, exchange of

information, from investigation up to asset recovery and the management, use and

disposal of criminally derived and stolen assets.

1.5 Complementary initiatives

The following planned or on-going initiatives of relevance for the identification of a future

AML/CFT programme can be mentioned (list non-exhaustive):

EU-funded

CFT HOA

Under the IcSP the EU is supporting a project in the Horn of Africa and Yemen to

contribute to national and regional efforts to effectively meet international standards

on anti-money laundering and counter-terrorist financing in the Greater Horn of Africa

region. This is being implemented by a Consortium of EU MS led by CIVIPOL (FR,

NL) and will last from January 2015 to December 2017. The project will raise

awareness of the need, and strengthen capacity of the financial sector and criminal

justice actors, for effective AML/CFT nationally and regionally. The project will

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benefit Yemen as well as the following countries on the African continent: Djibouti,

Ethiopia, Kenya, Somalia, South Sudan, Sudan and Uganda. The beneficiary countries

from the African continent make up the Intergovernmental Authority on Development

(IGAD).

AML-WA

Funded by the EU under the IcSP (Cocaine Route Programme). Implementing partner:

Consortium of EU MS led by FIIAPP (ES, UK, FR). Duration: until June 2015.

AML/WA is supporting Inter Regional and International working in anti-money

laundering in four West African countries (Cape Verde, Ghana, Senegal and Nigeria)

with Financial intelligence units and Law enforcement officers. It is also supporting

the development of a West African interagency asset recovery network.

GAFISUD-EU

Funded by the EU under the IcSP (Cocaine Route Programme), implementing partner:

GAFILAT. Duration: until end of 2017. The project works to enhance international

cooperation by strengthening its Member States’ administrative, investigation and

prosecution capacities to fight money laundering, notably in the non-banking financial

sector and in assets laundering.

SAMWA

Funded under the 10th

EDF. Implementing partner: GIABA. Its overall objective is to

contribute to the fight against money laundering in West Africa and to reinforce the

capacities of West African countries to fight money laundering and to encourage

hamronized and coordinate approaches in the fight against money laundering in the

region. The specific objective is to support the implementation of anti-money

laundering regimes in West Africa and its Member States that conform to international

standards and to support FIUs in the proves towards joining the Egmont Group.

Support to the fight against money laundering and support in the field of asset

recovery in the Caribbean under the 11th

EDF (currently under negotiation).

Other donors/ initiatives

The FATF and its regional bodies (http://www.fatf-gafi.org/pages/aboutus)

The International Monetary Fund (http://www.imf.org/external/np/exr/facts/aml.htm)

The US-EU Terrorist Financing Tracking Programme (TFTP)

(http://ec.europa.eu/dgs/home-affairs/what-we-do/policies/crisis-and-

terrorism/tftp/index_en.htm)

The Egmont Group of Financial Intelligence Units (http://www.egmontgroup.org/)

UNODC Global Programme against Money Laundering

(http://www.unodc.org/unodc/money-laundering/)

The World Bank STAR initiative (http://star.worldbank.org/star /)

The Council of Europe Moneyval (http://www.coe.int/t/dghl/monitoring/moneyval/)

In Europe the CARIN-network has been set up in 2004, followed by EU Council

Decision 2007/845/JHA on Asset Recovery Office(s). CARIN is an informal network

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of English speaking judicial and law enforcement practitioners, who are experts in the

field of asset tracing, freezing, seizure and confiscation. The aim of CARIN is to

increase the effectiveness of members’ efforts on a multi-agency basis, in depriving

criminals of their illicit profits. Within CARIN, two regional network have been set

up: ARINSA (‘Asset Recovery Inter-Agency Network Southern Africa’ - secretariat

located at the South African National Asset Forfeiture Unit) and RRAG (‘Red de

Recuperacion de Activos de GAFISUD’ - Secretariat located at the GAFISUD

Secretariat Office). A budding ARIN network in West Africa (ARIN-WA) is

currently supported by UNODC. Its launch event took place in Ghana in November

2014 and was also supported by the EU-funded AML-WA project (as regards its four

beneficiary countries).

There is also the European based and EU funded secure system for exchanging

intelligence called FIU.net which has been proven to be a successful tool for the

Member States, and which has clear potential for either being extended for use by the

four beneficiary countries or as a model for their own system. There are currently

discussions at FIU.net Project Board in The Hague to expand this system outside of

Europe, and Senegal is already in contact with them, and beginning to exchange

financial intelligence through this system with other European law enforcement units.

It is a tried and tested system of over 5 years of age and is considered an EU success

story. The EU-funded AML-WA project is currently supporting the establishment of a

FIU.net like system in its four beneficiary countries.

The EU is also developing close political cooperation on CT, in particular via regular CT

political dialogues with key partners/donors such as the U.S., the UN and key priority

countries such as Pakistan. This political dialogue framework should provide overall guidance

to the EU CT capacity building efforts. CT assistance to third countries efforts on criminal

justice, law enforcement cooperation and counter-radicalisation require a long-term

commitment and need to tackle the nexus between development and security.

2. DESCRIPTION OF THE ASSIGNMENT

2.1 Global objective

This assignment will provide decision makers in the EU with a coherent proposal for a project

related to Anti Money Laundering (AML) and Countering the Financing of Terrorism (CFT)

cooperation globally.

It will give sufficient background information and justification to enable the European

Commission to make an informed decision on specific objectives and implementation of the

project.

In addition to identity relevant areas of action, it should explore ways to further consolidate

and complement actions already being funded by the IcSP and any other relevant EU

initiative, putting a special emphasis on trans-regional and global cooperation.

2.2 Specific objectives

The specific objective of this assignment is to prepare all the necessary elements of an Action

Document to implement a potential future 16.0 Mio € project developed on the basis of this

assignment as well as all the necessary elements of a contract to implement the project.

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The precise geographic scope will be defined during this assignment and will take into

consideration on-going actions as well as the ways and means for reaching the highest

efficiency and effectiveness within the available budget.

2.3 Requested services

As a starting point, the assignment should describe the main institutions or bodies involved at

national, regional, continental and international level in CFT and AML cooperation in a broad

sense. It should gather a comprehensive view on past, on-going and future activities supported

by the European Commission (EC), EU member states and other donors at national and

regional level on CFT/AML aspects as well as cooperation and capacity building on various

aspects of CFT/AML.

Furthermore, the assignment should identify possible options for the implementation of the

project. It should analyse possible response strategies (e.g. studies, training, legal and

technical capacity-building – or a combination of these) and make recommendations for

policy makers.

The assignment will indicate the general and specific objectives of the project and the

activities to achieve them.6 The proposal shall include a logical framework and a tentative

detailed budget.

a) Mapping and Gap analysis

In the first phase, the consultants are required to make a comprehensive mapping study of all

CFT/AML structures, actors, programmes and cooperation in place and/or planned. The

mapping shall include information on the legal/constitutional, strategy/policy and institutional

frameworks, actors, capacity constraints as well as on-going reforms efforts. Particular

attention should also be paid to human rights related issues. All initiatives in these areas of

CFT/AML and those funded by EU donors should be captured in an overview of activities per

country and their regional dimension. As far as possible, the mapping shall include

information on linked activities financed by non-EU donors as well (including international

organisations such as the UN).

The mapping exercise should be complemented by a gap analysis, indicating a possible space

of intervention for an IcSP Programme responding to the actual needs and interests of

beneficiaries. The mapping and gap analysis report should include the value added of the IcSP

Programme, as well as complementarities with other programmes.

The EU Delegations and relevant Member States Embassies will be closely involved in this

exercise.

The outcomes of the draft mapping and gap exercise will be presented in a form of a self-

standing and separate report providing findings, conclusions and recommendations. The

draft report will be presented to the European Commission in a meeting to be held in

Brussels. Within two weeks from the reception of comments the experts will submit the final

report for this phase.

b) Action Document

6 Project Cycle Management Guidelines Manual – In particular Chapter 5, which refers to objectives, results, activities, indicators etc…

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Further to the approval of the mapping and gap analysis report, the experts are expected to

produce a draft Project Action Document (AD) for a project to be implemented in

accordance with Commission procedures.

The draft AD is expected to be delivered within four weeks of the approval of the mapping

and gaps analysis report in the form of a draft Action Document prepared on the basis of the

model presented in Annex A to these TOR ready for submission to the internal DEVCO

Quality Support Group procedure (QSG-II).

Within one week from the reception of comments the consultants will submit the final AD.

c) Project

Based on the agreement obtained on the above mentioned Action Document, the experts will

provide inputs for a specific project which could be implemented in accordance with the

proposal for a Commission Decision (the Action Document).

During the inception phase, the exact format for the project outline will be discussed and

clarified with the Contracting Authority. Sufficient inputs will be provided for the

contracting authority to conclude either a PAGODA (Indirect Management Delegation

Agreement) or provide elements for Terms of Reference for a service contract - or in any

other format required dependant on the agreement on the implementation modality above.

d) Methodology

The assignment will require deskwork at the home base of the experts, consultations in

Brussels with responsible services in the Directorate-General for International Cooperation

and Development, Unit B5 and other EU services as well as field missions in countries to be

defined.

It is not required that a management team member is present at all briefings/de-briefings

under this assignment.

2.4 Required outputs

As outlined above, the experts are requested to conduct a detailed mapping and gap analysis

exercise in the region, followed by a presentation at a meeting to be conducted in Brussels.

Subsequently, the experts will use the guidance from the meeting to formulate a specific

project to be presented for a Commission Decision.

Finally, a specific implementable action will be presented for contracting.

Consequently, on the basis of the analysis and assessment, a comprehensive and detailed

outline of potential activities as well as drafting the Description of an Action of a possible

future project (e.g. description of activities, budget table and profile of the experts) will be

delivered.

The services requested under the present assignment are therefore to:

(1) Identify and design a project concept which is in line with the legal basis of the IcSP and

relevant to local needs in selected countries. The conclusions of the following analysis are to

be integrated into the project design:

Assessment of policy and programming framework;

Stakeholder analysis which involves the identification and analysis of interests,

problems, potentials, implementation modalities etc.;

Institutional capacity assessment;

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Problem analysis;

Assessment of other on-going and planned initiatives with particular emphasis on on-

going cooperation activities;

Assessment of lessons learned;

Identify possible ground for further cooperation between countries ideally based on

existing agreements.

(2) On the basis of a detailed needs assessment, provide technical elements of the Action

Document for the future action (Who will do what, when, how and why, what will be the

result?). This will be best obtained by developing a coherent and detailed concept for the

future project7 including:

Clear description of the rationale for undertaking the future action;

Lessons learned;

Geographical scope;

Possible partners;

Description of the action including objectives, expected results and main activities;

Risks and assumptions;

Method of implementation.

(3) On the basis of the agreed Action Document, provide a Description for an action under

indirect management (IMDA) or a Terms of Reference for a service contract - or in any other

format required dependant on the agreement on the implementation modality above – for

contracting purposes.

On the basis of a detailed needs assessment, the experts shall provide the technical elements

of the Terms of Reference for the future action (Who will do what, when, how and why?).

This will be best obtained by developing a coherent and detailed concept for the future

project.

The concept will include an indicative calendar of activities required to reach the expected

results as well as a calendar of inputs (budget for human resources, operational costs,

investment costs) required to implement the future project. Where applicable, brief

descriptions and cost estimates for supply of essential equipment should be added.

2.5 Language of the Specific Contract

The language of the contract as well as the reporting language of this assignment is English.

3. EXPERTS PROFILE

Identification and Formulation studies require multidisciplinary analysis at all levels,

demanding at least the following areas of expertise: policy, planning, resource economics,

institution and capacity building.

3.1 Requested experts

One Category I expert (Team Leader) and one Category II expert are indicatively required for

this assignment. The Team Leader is envisaged to provide input of max. 111 working days

and the other expert for 111 working days.

7 A coherent concept for the action should include objectives, results and activities. The experts are recommended to follow the approach of

the logical framework commonly used in all of our projects. The next step consists in designing the implementation modalities and institutional setup. http://ec.europa.eu/europeaid/multimedia/publications/publications/manuals-tools/t101_en.htm

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It is allowed to present a team consisting of more than the two experts referred to above.

As a minimum, the described areas of expertise must be covered by the team. It is strongly

encouraged to present a multi-country team.

3.2 Profile required or expertise required

The Consultant shall deliver detailed curriculum vitae (CV) for each expert involved with the

following specific requirements:

Qualifications and skills (CAT I and II experts)

Education at least Master Degree Academic level or equivalent professional experience

which must be above the general professional experience8 relevant to this assignment.

Excellent general knowledge and understanding of EU AML policies;

Excellent knowledge of English, both in spoken and written language;

Working knowledge of French, or Arabic or Spanish (or any other relevant language) is

desirable;

IT literacy (MS Office);

Proven organisational, communication, mobilisation and change management skills;

Proven report writing skills.

General professional experience

CAT I expert

At least 10 years of working experience in the sectors directly related to the lot (i.e.,

counterterrorism)

Proven professional experience in formulation of EU funded programmes including a very

good knowledge of procedures as applied to various types of EU external assistance

projects, including PCM;

Proven professional experience in regional and international law enforcement cooperation;

Experience of working in a multi-cultural environment.

CAT II expert

At least 5 years of working experience in the sectors directly related to the lot. (i.e.,

counterterrorism)

Specific professional experience

CAT I expert

8 at least 10 years of working experience for CAT I expert and at least 3 years of working experience for CAT II experts.

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At least 8 years working experience on CFT/AML or related issues, of which at least 4,

preferably working at an FIU;

Training experience, experience with on-the-spot training/ coaching is an advantage;

Proven working experience in the field;

Experience in information gathering and exchange at national and international level;

Experience of working with AML/CFT Stakeholders;

Experience with the approach of asset recovery is an asset.

CAT II expert

At least 3 years working experience (for CAT II) in formulation of EU funded

programmes including a very good knowledge of procedures as applied to various types

of EU external assistance projects, including PCM;

Proven experience in counter terrorism related areas;

Proven working experience in the field.

3.3 Other experts (non-key experts)

CVs for experts other than the key experts are not examined prior to the signature of the

contract. They should not be included in tenders. The expert pool will be defined during the

inception phase of the project.

The Contractor shall propose other experts according to the Terms of Reference for the

approval of the Contracting Authority. All experts must be independent and free from

conflicts of interest in the responsibilities given to them. The selection procedures used by the

Contractor to select these other experts shall be transparent, and shall be based on pre-defined

criteria, including professional qualifications, language skills and work experience. The

selected experts shall be subject to prior approval by the EC Project manager in the

Directorate-General for International Cooperation and Development.

The Experts Pool (non-key Experts) will cover the following sub-fields (non-exhaustive list):

Law enforcement and judiciary actors – research and practice

Asset Recovery and management of stolen assets

Financial Investigation

Financial crime analysis

Information sharing, databases and communication

Programme Cycle Management - familiarity with development of coherent

concepts for projects of the Directorate-General for International Cooperation and

Development (including design of objectives, results, activities, planning, budget

and experts' profile) is required.

The maximum fee rate payable for non-key experts will be of a Category II expert. For this

purpose, the offers should include a line titled pool of experts which does not exceed 40

working days at the relevant cat II fee rate of the bidder.

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For the purpose of travel and per diem of the pool of experts a maximum of EUR 16,000 can

be included as well under reimbursable cost.

4. LOCATION AND DURATION

4.1 Starting period and foreseen finishing period or duration

The assignment is tentatively scheduled to take place commencing with the kick off

meeting in June 2015 with completion by July 2016.

It is expected that the assignment will be carried out over a period of 14 months

maximum.

Please note that the 14 months correspond to the total duration of the assignment which

includes a period for the provision of comments on the draft reports. The effective period

of performance is outlined below.

Saturday, Sunday and public holidays can be included as working days, when required

and requested by the consultant and approved through ex-ante written agreement of the

EC project manager in Directorate-General for International Cooperation and

Development. However, the expert does not need such an agreement when not on mission

in the field. Note that no authorisation will be given for work in Brussels on weekends and

public holidays.

The study will be both desk and field based. The assignment can be split in the following

distinct phases:

4.1.1 Phase I - Mapping/gap analysis

The indicative allocation of time for this phase is 30 working days per expert, of which 4 days

for each expert will be in Brussels (two missions of 2 days per expert) and 15 days per expert

on mission (two missions per expert). Finally, 11 working days per expert are foreseen for

mission preparation and report writing from the experts' home base.

1. After the signature of the contract, a briefing in Brussels will take place with the European

Commission and the EEAS. Further documentation and information will be provided at

the meeting.

2. During the analytical phase, experts are expected to conduct two missions each of a total

of fifteen days (incl. travel). The consultants will meet all relevant stakeholders, including

regional organisations, EU Delegations and national enquiry points.

3. The outcomes of the mapping and gaps analysis exercise will be presented in a form of a

draft report providing findings, conclusions and recommendations. Within two weeks

from the reception of comments the experts will submit the final report for this phase.

At the end of this phase the experts will organise, in cooperation with the Contracting

Authority, a small brainstorming workshop where they will present the draft report and its

preliminary findings to relevant EU stakeholders.

It is expected this phase is completed by the end of August 2015.

4.1.2 Phase II - Action Document

The indicative allocation of time for this phase is 37 working days per expert, of which 2 days

for each expert will be in Brussels (one mission of 2 days per expert) and 20 working days per

expert will on other missions (two missions each), while 15 working days per expert are

foreseen for mission preparation and report writing from the experts' home base.

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1. Further to the approval of the mapping report, the experts are expected to produce a draft

Project Action Document (AD). The draft AD is expected to be delivered by mid-

December prepared on the basis of the model presented in Annex A to these TOR ready

for submission to the internal DEVCO Quality Support Group procedure (QSG-II).

2. Within two weeks from the reception of comments the consultants will submit the final

AD.

4.1.3 Phase III –Draft of Terms of Reference

The indicative allocation of time for this phase is 44 working days per expert, of which 20

working days per expert will be outside the EU (two missions each), 4 days for each expert

will be in Brussels (two missions of two days per expert), while 20 working days per expert

are foreseen for mission preparation and report writing from the experts home base.

1. Further to the agreement on the Action Document, the experts are expected to produce

inputs for a draft description for an action or a draft Terms of Reference. The timing of

this third phase will be determined during implementation and is not expected to

commence before late 2015, i.e. following the agreement of Commission services of the

Action Document.

2. Within two weeks from the reception of comments the consultants will submit the final

TOR.

During the kick off meeting a tentative plan will be made that will allow for the completion of

the gap analysis by end of June and the final Action Document by the end of September 2015.

Phase III should preferably be completed at the latest by mid 2016.

4.2 Location(s) of assignment

Field missions to the targeted countries will be required to visit the relevant local partners,

including consultations with the EU Delegations and selected EU MS. The missions can be

expected to be conducted in countries where specific security requirements may be necessary.

For the purpose of preparing a budget for this assignment, the following working days (WDs)

of key experts (KEs) should be adhered to as a minimum, while the number of the foreseen

Key Experts' missions in each phase as described above (sections 4.1.1; 4.1.2; 4.1.3) is also

indicated:

Working days (WDs) summary table (indicative)

Location/

Phase

I II III Total

KEs WDs No. of

Missions

WDs No. of

Missions

WDs No. of

Missions

WDs No. of

Missions

Place of origin 22 0 30 0 40 0 92 0

Brussels 8 4 4 2 8 4 20* 10

Outside EU 30 4 40 4 40 4 110** 12

Total 60 74 88 222 22

*Equivalent to 20 calendar days for purposes of per diem (no weekends foreseen).

**Equivalent to 154 calendar days for purposes of per diem.

5. REPORTING

5.1 Content

The following output is foreseen:

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A brief inception report, setting out the main tasks and the timetable. The inception

report shall include a detailed programme for the implementation of the assignment. The

inception report shall be submitted two weeks after the commencement of the assignment.

A draft comprehensive mapping and gaps analysis report, indicating a possible space of

intervention for an IcSP Programme (findings, conclusions and recommendations).

A final comprehensive mapping and gaps analysis report, indicating a possible space of

intervention for an IcSP Programme (findings, conclusions and recommendations).

A draft Action Document as per the model outlined in Annex A.

A final Action Document taking account of the consolidated comments on the initial

drafts and any further comments made during the second phase.

A draft DoA/ToR as per the model outlined in Annex B or any other format required

dependant on the implementation modality.

A final ToR taking account of the consolidated comments on the initial drafts and any

further comments made during the third phase.

A brief final report (of max 5 pages) for administrative purposes, outlining the main

results of the assignment, list of mission/meetings etc.

The reports are to be disseminated under the full responsibility of the Commission.

5.2 Language

The language of the reports shall be English.

5.3 Number of report(s) copies

The experts shall, with all submissions, provide a copy of all documents in electronic format

in Word Powerpoint and/or Excel format in order to allow track changes. Each document

should also be sent in PDF format not exceeding 3Mb. The Final Report will have to be sent

electronically and in hard copies to EC (2 copies).

6. INCIDENTAL EXPENDITURE

As indicated in the Request for Services, this is a fee based contract.

6.1 Other authorized items to foresee under ‘Incidentals’

Incidental expenditure includes (key and non-key) expert international travel, local travel

(intercity) if necessary in the countries to be visited, and per diems. It also includes sponsored

participant travel (including visa costs) and per diems, conference packages,

translation/interpretation services and brochure production and printing costs. The contractors

may propose additional items subject to the EC written approval.

6.2 Other issues

Project management

a) Responsible body: Unit B5 of the Directorate-General for International Cooperation and

Development of the European Commission is responsible for managing the contract.

b) Management structure: The management structure for the contract is comprised of the

staff of the Stability Sector of Unit B5 of the Directorate-General for International

Cooperation and Development of the European Commission. Any amendment to the

contract and other issues of significance will be approved/discussed with Unit B5 of the

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Directorate-General for International Cooperation and Development of the European

Commission.

c) Facilities to be provided by the Contracting Authority and/or other parties: the Contracting

Authority shall provide the necessary information and documentation to enable the experts

to complete their assignment in the best possible way.

d) The EU Delegations located in the country that the expert will visit may provide political,

technical and logistical assistance for the good conduct of the missions as appropriate.

However, the experts are not expected to rely on them for the organisation of their

missions. The experts are required to prepare their mission schedules themselves and well

in advance of the planned field visits. The experts will than inform the EC project

manager in the Directorate-General for International Cooperation and Development, who

will liaise and inform concerned EU Delegations accordingly When the experts exchange

directly e-mails with EU Delegations, they are required to copy in the EC project manager

in EuropeAid.

IMPORTANT REMARK

During all their assignment the experts will clearly identify themselves as independent experts

and not as official representatives of the European Commission. All documents and papers

produced by the experts will clearly mention on its first page a disclaimer stating that these

are the views of the consultant and do not necessarily reflect those of the Commission.

6.3 Expenditure verification

Expenditure verification is foreseen and financial provision should be made for it in the offer

to an amount of EUR 5,000.

7. MONITORING AND EVALUATION

Specific performance measures include the delivery of reports in accordance with stipulations

above.

List of Annexes:

Annex A: Action Document template