Practical Implementation Experiences

a. Engaging with and building capacity of civil society

The involvement of a broad range of civil society organisations is central to the effective creation and implementation of a sustainable NAP. There are a number of tasks that civil society is well placed to carry out including, inter alia, awareness raising, training and education, local research, micro-development projects, support during multidisciplinary law enforcement operations and monitoring of government policy and action. Building their capacity is vital to help ensure the local ownership, sustainability and effective implementation of NAPs.

The mapping methodology therefore seeks to involve civil society at all stages of the development of the NAP, from planning, information gathering, analysis and the creation of the NAP, through to implementation.

One of the biggest challenges that has been encountered thus far is the lack of capacity of local NGO's to effectively engage with the issue of small arms and light weapons, as well as a vacuum of knowledge about national, regional, continental and international small arms agreements and processes. Civil society structures in general are extremely weak and there are few organisations in a position to effectively engage to the degree necessary with the implementation of an action plan. As a result a major part of the initial implementation activity is directed at building the capacity of those organisations that are to engage in the Action Plan. In Tanzania, the Centre for Peace and Development (CEPEDE) is an example of a local NGO that has been capacitated to assist the National Focal Point with mobilising the support of civil society for the implementation of the NAP through inter alia the establishment of a network of NGO's working on small arms and related issues.

One of the lessons learnt from the mapping process in Tanzania is the importance of consulting with broader civil society - rather than just those established organisations in the capital city, who often have no constituency outside the capital. Consequently, in Uganda and subsequent mappings, the civil society workshop component has been added to this phase. In Uganda, this has provided the Mapping Team with vital information as to the capacity and engagement on the firearms issue of civil society organisations across the country. Outside of the capital, Kampala, there was very little awareness of the impact of firearms on the work of these organisations - even where there appeared to be a considerable and important linkage, for instance the presence of firearms in refugee camps and how this impacted on the work of refugee support organisations. There were also very few organisations that had undertaken work specifically on firearms control. What was encouraging nonetheless was the level of enthusiasm for and interest in the prospective NAP.

Given the lack of civil society capacity in many countries though, and the crucial role that civil society must play, engaging with organisations and beginning to enhance their capacity may be something that will in the future be undertaken during the preparatory phase before the information gathering starts. This would help to ensure that civil society organisations can engage more effectively with the collection of information and are better placed to assist with implementation at an early stage.

b. National conferences as tools for awareness raising and consensus building

Raising awareness of the small arms issue is a fundamental aspect of a NAP. One of the ways this has been done within the framework of the mapping and NAP process is by arranging national conferences. These bring together government officials and a broad spectrum of national and local civil society actors, many of whom may not have a specific focus on small arms, to discuss the nature of the small arms problem in the country and the possible ways and means for civil society and government to address it.

In Tanzania, a national conference was held following the creation of the NAP and this was the first time that civil society organisations had had the opportunity to engage the Government on security issues. The conference helped to raise awareness of the NAP and identify roles for civil society organisations in support of its implementation. Such a conference can also serve a very useful function if held before the start of a mapping and the creation of a NAP, as it can help to bolster the political and public will and momentum to effectively tackle the proliferation of small arms. This has been the case in Namibia and Botswana where national conferences were held in October 2002 and May 2003, respectively. The need for a NAP was a key recommendation of participants from both countries.

A national conference is only part of a broader awareness raising strategy as can be seen from the civil society activities that are currently being conducted as part of Tanzania's NAP. A civil society needs assessment has been conducted and an NGO network, to facilitate the sharing of information, has been developed. In addition, local NGO's are being capacitated specifically to conduct education and awareness raising programmes in key regions where the small arms problem is most acute.

Identification of the civil society invited to attend a national conference is of paramount importance. Participation must be apolitical and representative of all sectors of society. In Tanzania, a process of identification was undertaken that included: obtaining the lists of all 1500 NGO's that had legal status in the country; contacting these organizations for more information in relation to their activities; putting conference advertisements in two languages in the major newspapers; radio programming; setting up an office to respond to faxes and calls; and asking church officials and local authorities to obtain information from those in their regions. With the information provided, it was possible to differentiate between existing and defunct organisations and those that had activities that could be attached to a national effort. These organisations were verified and invited to participate in the national conference.

A national conference must have not just NGO's but also professional associations, trade unions, traditional leaders and authorities, private sector representatives, members of parliament, local, provincial and national authorities and must reflect the interagency composition of the national focal point. For the national conferences of Botswana and Namibia, furthermore, prior workshops were organised for the invited NGO's so that they could participate more effectively.

c. Population surveys

A key element of the information collection phase is the attitude survey of a cross-section of the national population. The survey measures indicators of socio-economic development, perceptions of security and the levels of firearm penetration in society in general. This information is vital to the development of the NAP and its subsequent implementation as it identifies the extent of the small arms problem and those factors facilitating the demand for small arms. By highlighting the capacity of local communities to support one another and identifying the figures or structures in a community that people respect, trust and interact with most frequently, the survey also enables the development of targeted firearm reduction strategies.

The survey - conducting the survey is a major logistical undertaking. In Tanzania 3,000 surveys were conducted while in Uganda 5,000 were completed. The survey is conducted with a representative cross-section of the population in terms of age, gender and geographical distribution. The structure of the questions has been developed and adapted over a number of years to accurately measure socio-economic factors and provide the more sensitive indicators regarding perceptions of security and the extent of firearms penetration. The basis of the survey is therefore well tested, however, it is vital to adapt certain aspects to the specific circumstances in which the survey is being conducted. The NFP, or co-ordinating agency for the mapping, is therefore asked to input into the fine-tuning of the survey. In Uganda, this resulted in some changes being made to the survey that was conducted in the Karamoja region, in the north east of the country. The Karamoja region is populated predominantly by pastoralists and is an area that has been seriously affected by cattle rustling and firearm related instability. As such it was necessary to adapt particular aspects of the survey, including the cultural composition of the survey teams.

The surveyors - who conducts the survey is an important factor in ensuring the integrity of the survey's results. In Tanzania, the initial survey was carried out by junior police officers. This was mostly because of a lack of resources to be able to engage trained civilian surveyors. However, the use of police officers was, retrospectively, deemed to have potentially affected the results, in particular, with regard to the more sensitive questions on security, perceptions of the law enforcement agencies and firearm penetration. It was felt that people might have been reluctant to be fully open with police officers on such matters. Follow-up surveys to confirm certain aspects of the results were then done by trained surveyors from civil society. Consequently, in subsequent countries members of civil society have been recruited and paid to carry out the surveys.

There are a number of factors that need to be considered when profiling and recruiting surveyors. They need to be responsible, reliable, literate, sensitive to local customs, conversant in local languages, motivated and have a fair degree of stamina (conducting a hundred 40 minute long surveys and frequently traveling long distances is an onerous and physically draining task). In Uganda, applicants were mostly young, university educated people. They were recruited from across the country but trained in Kampala. The bulk of the surveyors were able to operate in nearly all the districts of Uganda, however, special provision had to be made for those working in the Karamoja. Consequently, two special teams of surveyors originating from the Karamoja region were recruited and trained. Had this not been done, access to parts of the region would have been difficult (if not impossible), surveyors would have been put at risk and the responses gathered would have been seriously compromised, as there would have been a reluctance to answer questions.

Training of surveyors - In Uganda, adverts were posted calling for suitable applicants to apply to become surveyors. The applications were then sifted and candidates meeting the profile needs underwent a selection process, including a personal interview. Those successfully coming through the selection process returned for two further days of training, with some applicants attending a third day's instruction to be trained as team leaders. The training, conducted by members of the Mapping Team and assisted by members of local NGO's, sought to familiarise the surveyors with the survey itself and instruct them in the techniques needed to properly conduct the survey, such as how to elicit answers without influencing the interviewee's response and how to handle certain awkward or difficult circumstances that they might encounter. The theoretical training is followed by two instructional field surveys during which attention is paid to every surveyor's technique and accuracy. The final survey teams are only selected once their performances have been tested during the instructional surveys.

Conducting the surveys - following the training the teams are then dispatched into the field typically for between 10 days and two weeks of surveying - the exact period taken will be dependent upon the size of the country and its accessibility. However, it is desirable to conduct the surveys in as short a period of time as possible to ensure the comparability and thus integrity of the results. The surveying teams are sent to every district of the country to ensure that the survey provides a true indication of circumstances and perceptions across the entire nation. However, sometimes access to the entire country is not possible. This was the case in Uganda where the ongoing rebel activities of the Lord's Resistance Army in the northern Acholi region of the country meant that the security of surveyors could not be guaranteed.

Capturing and analysis of survey results - as the surveys are completed they are returned to the Mapping Team's Survey Co-ordinator for verification and coding. Once the consistency and accuracy have been verified and the surveys coded they are passed to a team of data captures for entry into a computer database. A special statistical programme is used to tabulate and analyse the results, and enables the comparison and cross-analysis of results. For instance, results on the level of firearm ownership can be disaggregate by region, gender and age, and the incidence of firearm possession analysed against financial well-being or perceptions of insecurity. This detailed analysis of results means that the key factors influencing demand for small arms, and the inter-relations between them, can be identified to inform the development of the NAP.

d. Engaging with donors

To preserve the integrity of the Mapping Process it is crucial to ensure that it is driven by national needs and realities, rather than by perceived needs and realities. It is, however, useful to engage with the donor community at an early stage in the process to inform them of the activity, create interest in the process, and generate long-term support for the sustainable implementation of a NAP. Consequently, from the outset of the mapping process, the Mapping Team will engage with donor agencies active in the country to provide information on the process and keep them abreast of progress.

This process of consultation serves a number of purposes. Firstly, it is an opportunity for the Mapping Team to raise awareness of the small arms issue, the prospective NAP and what this will involve and how donors may support the plan once it is finalised. Secondly, it allows the Mapping Team to gather information that can assist with the assessment of the security situation in any given area, the functioning of civil society organisations active in the country and prospective partners in the process of Mapping and implementation of the NAP. Thirdly, it highlights the existing donor supported projects in the country and helps ensure that the NAP incorporates ongoing and already supported work related to aspects of the plan. Finally, consultation with donors provides an opportunity to attempt to mainstream small arms into specific existing development, conflict prevention and good governance programmes. This process of early engagement can ensure the NAP's sustainability and increase the likelihood of support from donor agencies and the international community for the implementation of the plan.

e. Developing institutional structures

Effective institutional structures are key in co-ordinating the implementation of a NAP. Consequently, an important element of the mapping process and a NAP is the identification, or where they don't exist, establishment, training and capacity building of sustainable, efficient and practically-focused institutional structures.

The model foreseen by the regional and international agreements is one in which there is a regional co-ordinating agency, such as the Nairobi Secretariat, which links with NFP's, which then in turn link with provincial bodies (in Tanzania these are known as Regional Task Forces) within their respective country.

National Focal Points - a functioning national co-ordinating agency is essential for the process of mapping to begin. Where SaferAfrica and Saferworld have received requests to conduct mappings and no such body is in place we have first sought to facilitate the establishment of a NFP or equivalent body. This may include assisting with the identification of members and a lead agency, and establishing the terms of reference and mandate. Experiences in many countries have shown the importance of ensuring that the NFP consists of representatives from all government departments and agencies with a role in small arms control. This includes the Ministries of Defence, Foreign Affairs, Interior, Development and Planning, Justice, Information and Wildlife, as well as the Police, Customs, Immigration and Intelligence services, and the President's and Prime Minister's Offices. Experience in Tanzania has also shown the importance of engaging officials from the Ministry of Finance and Planning. It is their role to plan and make provision for the NAP in the government budget or engage with donors for support of implementation where the government cannot provide immediate or sufficient support. If they are not fully aware of the NAP and the benefits for sustainable development of controlling small arms, this may hinder the availability of resources and funding. It is also important to ensure that civil society is represented on the NFP, as is now the case in Kenya, Mozambique, Tanzania and Uganda.

As part of the implementation activities of the NAP, the operations of the NFP will be further developed. For instance as part of the first phase of implementation in Tanzania, a Standard Working Procedure for the NFP was completed which guides and frames the daily business of the NFP, establishes and details the roles, functions and tasks of the NFP members and provides clear guidelines for communication and information sharing. This working procedure has proved very useful in the further guidance of the activities of the other NFP's in the region and that of the Nairobi Secretariat.

Regional / Provincial Task Forces - these bodies are the operational agents or foot soldiers of the NFP on the regional / provincial level, responsible for the implementation of many aspects of the NAP. They are multidisciplinary, inter-agency co-ordination mechanisms consisting of bodies such as the various law enforcement agencies, social and welfare departments, local governance structures and civil society, working at the provincial level. As part of the first phase of implementation in Tanzania, Regional Task Forces have been established in all 20 provinces of the country and these Task Forces have all received specific training in issues of small arms control and disarmament. Following this training, a pilot operation was conducted in the Tanzanian province of Kagera, one of the provinces worst affected by small arms proliferation. Officials from all the law enforcement agencies and the local government cooperated for the first time in a joint operation to specifically address illicit firearms and ammunition. During this operation 140 suspects were arrested for firearms related crimes. Of these, 80 were illegal immigrants from neighbouring countries including DRC (2), Rwanda (15), Burundi (46) and Uganda (17). A total of 1,743 firearms were seized (4 times the national average of previous years) in the region along with numerous rounds of ammunition (3,111) and explosives. Many of the arrested have since been successfully prosecuted.

f. Cross-border co-operation

Effectively tackling the proliferation of small arms requires coordination and co-operation with bordering countries. While improving the situation in one country, the implementation of practical and effective projects through a NAP can create unintended consequences in border areas and in neighbouring countries, such as the spill over of illicit firearms and criminals. On the other hand, co-ordination of simultaneous action on both sides of a common border can greatly enhance the effectiveness of any arms reduction activity. It is therefore imperative that consultation and co-ordination takes place with neighbouring countries regarding the implementation of NAP activities. For example, the disarmament operations conducted by the Ugandan Government in the Karamoja region could have been much more effective if they had been done in co-ordination with the NFP in Kenya.

As part of the NAP in Tanzania, and feeding into the prospective NAPs in Uganda, Kenya and Mozambique, a number of Crossborder Co-operation Committees are to be established. The three Committees will be formed as follows: Tanzania, Mozambique, Malawi and Zambia; Tanzania, Burundi, Rwanda and DRC; and Tanzania, Uganda and Kenya. The members of each committee will undergo joint training and discuss and develop co-operation and information sharing mechanisms between the law enforcement agencies of the respective countries. The Crossborder Co-operation Committees therefore provide an opportunity to share information and experience on the development and implementation of NAPs. In the Tanzania NAP, resources are also available for joint cross-border operations.

Once NAPs are established in neighbouring countries (as will soon be the case in Kenya, Uganda, Tanzania and Mozambique) then there is the opportunity to take co-ordinated action on a number of issues ranging from harmonising legislation to establishing economic and social development programmes in key affected areas such as the Kenya/Uganda border. Effective co-ordination between NFP's on a bilateral basis will be crucial to this. Co-ordination is also vital with the regional small arms focal point (in Eastern Africa, the Nairobi Secretariat). As the central points of contact mandated for the co-ordination and implementation of regional small arms agreements, it is crucial that the regional co-ordination agencies are regularly updated on mapping processes, their findings and the implementation of NAPs.

g. Micro-development projects

Developing practical projects to reduce the demand for small arms is also likely to be a priority during the implementation of a NAP. Detailed proposals for a number of longer-term community and micro-development projects will be developed in conjunction with local NGO's and donors in the priority areas of the country that are identified in the national plan. The results of the population survey will form the basis for the assessment of those areas where economic factors are playing a key role in fuelling the demand for small arms.

In Tanzania, a number of micro-development projects have been identified for implementation. Currently research projects are underway to develop projects on the shores of Lake Victoria and Lake Tanganyika to improve the lake management and the economically-viable usage of the fish resource. The manufacturing of homemade firearms is a significant industry in Tanzania, providing an income to a substantial number of families in the Iringa and Mbeya regions. International and regional protocols, together with new national legislation prohibiting the manufacture, trade and ownership of these weapons, are not going to induce change in this age-old custom unless economically-viable alternatives are provided to the artisans. A study will be undertaken in the near future to assess the probabilities of integrating the existing skills of the artisans in other metal work activities such as the manufacture of exhaust systems and bull-bars for sale nationally and sub-regionally.

h. Stockpile management and destruction

In both Tanzania and Uganda the mapping and NAP process has been a spur to the review of existing government arms stockpiles. In Uganda, following an internal review of existing state holdings, thousands of arms and munitions have been identified for destruction. The Mapping Team has helped to facilitate this process and the NFP is now lionising directly with the UN Development Programme to organise the systematic destruction of substantial surplus and captured stocks.

In Tanzania the issue of stockpile management is a fundamental part of the NAP. Policy guidelines and legislation have been put in place to establish a national database and proper record keeping procedures, and a nationwide stocktaking of all existing stocks is to take place shortly. National records of legally owned firearms are currently being audited and entered into the database. Once the process has been completed, surplus stocks will be disposed of according to the national policy and the NAP. Seized and captured stocks in possession of the law enforcement agencies are currently being brought to the police quartermaster in Dar es Salaam for recording, classification and destruction. The first public destruction will take place during August 2003 where the burning and destruction of 1,000 illicit or excess small arms and light weapons will take place.

i. Legal reform

Reviewing and where necessary amending legislation and regulations relating to small arms control is usually an integral part of a NAP. Often there is no policy to inform the government's approach to small arms control and legislation is frequently outdated, ineffective and hardly enforced.

As a starting point, a national policy on arms control and disarmament needs to be created that will then form the basis for a review of legislation. In Tanzania such a policy was developed and finalised during the first phase of implementation and in Uganda it is also likely to be a key priority for year one of implementation.

On the basis of a national policy document a review of legislation can take place. In Tanzania a task force was specifically established to conduct a review of firearms legislation in July 2002 and a new law has now been drafted. The process of review will be informed by the policy document - which itself is based upon the commitments of the regional and international small arms agreements - and will seek to rationalise all existing legislation governing issues of firearms control and ensure that legislation is coherent and consistent. In Tanzania it was found that there were 17 different pieces of legislation that contained some form of controls on firearms. A process of review will also have to consider the broader regional environment to ensure that regional harmonisation of firearms legislation occurs.

A major development that has arisen from the NAP's review of legislation in Tanzania is the realisation by the Government of the need to review bilateral trade agreements. Agreements with some landlocked neighbours allow for the undisturbed movement of goods through Tanzania, making the inspection of freight impossible. These agreements have been abused by some countries suffering from conflict who have compromised Tanzania's reputation as a responsible state in controlling the trafficking of small arms and in preventing the pillaging of nonrenewable natural resources. These agreements are now to be renegotiated to make law enforcement possible.

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