DRAFT REPORT-Feasibility Study on IBMS in SZD- 2014

____________________________________________________________________

DRAFT REPORT Prepared for

“Raising the Standard”

THE FEASIBILITY OF ESTABLISHING

AN INTEGRATED BORDER MANAGEMENT SYSTEM (IBMS)

IN

SWAZILAND

JANUARY 2014

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Table of Contents

ACKNOWLEDGEMENT AND SPECIAL GRATITUDE ............................................................. 5

1. FORWORD .......................................................................................................................................... 6

2. ACKNOWLEDGEMENTS .............................................................................................................. 7

3. ABBREVIATIONS AND ACRONYMS ....................................................................................... 8

4. EXECUTIVE SUMMARY ................................................................................................................ 9

4.1. Conclusions ................................................................................................................................................ 9

4.2. Recommendations ..................................................................................................................................... 9

5. INTRODUCTION ............................................................................................................................. 13

5.1. Significance of the Assignment ............................................................................................................ 13

5.2. Background ............................................................................................................................................... 13

5.3. Rationale for Integrated Border Management System (IBMS) ......................................................... 15

5.4. Scope for the assignment ....................................................................................................................... 17

5.5. Approach and methodology ................................................................................................................... 17

5.7. Geography, Topography, Climate & Location of Study Sites .......................................................... 17

6.0. STUDY FINDINGS ON ESTABLISHING IBMS IN SWAZILAND ................................ 19

6.1. Border Crossing Points and Inland Ports ...................................................................................... 19

6.1. Assessment Findings of Border Agencies ..................................................................................... 28

6.3. Overall Priority Policy and Procedural Changes ........................................................................... 56

7. IBMS PROCESSES AND PROCEDURES .......................................................................... 70

7.1. Introduction ............................................................................................................................................... 70

7.2. Purpose ...................................................................................................................................................... 70

7.3. Scope of Application .......................................................................................................................... 70

7.4. Cross Reference .................................................................................................................................. 70

7.5. User Obligation .................................................................................................................................... 71

7.6. Process Narrative................................................................................................................................ 71

8. PRE-REQUISITES OF ESTABLISHING IBMS .................................................................. 73

8.1. Compliance Management .................................................................................................................. 73

8.2. Delegation of Authority ...................................................................................................................... 73

8.3. Preferential treatment for authorized traders ................................................................................ 73

8.4. Policy and legal framework ............................................................................................................... 74

8.5. Human Resource Management System .......................................................................................... 74

8.6. Resistance to Change. ....................................................................................................................... 74

8.7. Remuneration and Reward. ............................................................................................................... 74

8.8. Rotation and job mobility .................................................................................................................. 75

8.9. Integrity Programs .............................................................................................................................. 75

8.10. Code of Conduct and disciplinary codes ................................................................................... 75

8.11. Performance Management Appraisal System. .......................................................................... 75

8.12. Training and staff continuous development .............................................................................. 75

8.13. Procedures and processes ........................................................................................................... 76

8.14. Communication and Information Technology ........................................................................... 76

8.15. Infrastructure and equipment ....................................................................................................... 76

8.16. Trade Web-Portal ............................................................................................................................ 76

8.17. Financial Resources and System ................................................................................................ 77

9. REQUISITE LEGAL PROVISIONS TO SUPPORT IBMS .............................................. 77

9.1. Purpose ................................................................................................................................................. 77

9.2. Scope .................................................................................................................................................... 77

9.3. Guiding Principles .............................................................................................................................. 77

9.4. Agencies Involved in IBMS................................................................................................................ 78

9.5. Other Participating Agencies ............................................................................................................ 79

9.6. Intra-service ......................................................................................................................................... 79

9.7. Inter-Agency - Cooperation ............................................................................................................... 81

9.8. International Cooperation .................................................................................................................. 84

9.9. National Strategy ................................................................................................................................. 84

10. CAPACITY BUILDING INITIATIVES TO SUPPORT IBMS ....................................... 85

10.1. Introduction ..................................................................................................................................... 85

10.2. Benchmarking ................................................................................................................................. 85

10.3. Distance education ......................................................................................................................... 85

10.4. Field Attachment ............................................................................................................................. 85

10.5. E-learning ......................................................................................................................................... 85

10.6. Mentoring – twinning – coaching ................................................................................................. 86

10.7. Tutoring ............................................................................................................................................ 86

10.8. Participative learning ..................................................................................................................... 86

10.9. Outplacement .................................................................................................................................. 87

10.10. Coordinating Working Group on CBI .......................................................................................... 87

11. COST ESTIMATES FOR IMPLEMENTING IBMS PILOT .......................................... 88

12. CONCLUSIONS ....................................................................................................................... 95

13. APPENDICES ........................................................................................................................... 95

ACKNOWLEDGEMENT AND SPECIAL GRATITUDE

An assignment of this magnitude and national importance would not have been possible without the support of the World Bank and Swaziland Revenue Authority Management support. The Senior Management support especially the Commissioner General – SRA (Mr. Dumisan.E. Masilela), Commissioner Customs & Excise Department (Mr. Iv. Mazolodze) for their commitment and support rendered to the assignment. Director Legislative (Mr. Mawana Khauhelo) is much appreciated for his tireless coordination; IBMS Project Manager (Cyprian Lukhele) was instrumental in driving activities relating to the assignment activities and coordination effort in arranging the inception national stakeholders’ workshop and field trips to Ngwenya, Matsapha ICD/AGOA/Airport, Lavomisa and Lomohasha, as well as in arranging agency principals’ interviews. As an Integrated Border Management System Consultant, I was responsible for overall assignment timelines, assignment deliverables and overall assignment activities. The assignment was supported from the World Bank my personal gratitude to Task Team Lead - Austin Francis Louis Kilroy and Manager - Ms Irina Astrakhan. Their guidance support and expertise is highly appreciated. To all those who were involved including chauffer - Dlamini, TLC for the data capture are greatly appreciated. CHARLES MBIINE NUWAGABA

World Bank - Integrated Border Management System (IBMS) Consultant, TEL: +256-772 672483; e-mail: [email protected]

1. FORWORD

Dumisani. E. Masilela COMMISSIONER GENERAL

2. ACKNOWLEDGEMENTS

IV Mazolodze COMMISSIONER OF CUSTOMS & EXCISE DEPARTMENT

3. ABBREVIATIONS AND ACRONYMS

AGOA - Africa Growth Opportunity Act ASYCUDA - Automated System of Customs Data AU – African Union BCP – Border Control Post BIP – Border Inspection Points CEO – Chief Executive Officer CED – Customs & Excise Department CG - Commissioner General CIO – Chief Immigration Officer COMESA - Common Market for Eastern and Southern Africa CWG – Coordination Working Group DBI – Doing Business Index DTI - Direct Trader Input EU – European Union GDP - Gross Domestic Product IBM – Integrated Border Management IBMS – Integrated Border Management System ICD - Inland Container Depot ICS – Internal Control Post ICT - Information Communication Technology IT - Information Technology JBMC – Joint Border Management Committee LPI – Logistic Perception Index NAM Board - National Agricultural Marketing Board MNRE- Ministry of Natural Resources and Energy NWG - National Working Group OGAs - Other Government Agencies RSP – Royal Swaziland Police SACU - Southern African Customs Union SADC – Southern African Development Community SARS - South African Revenue Service SOP – Standard of Procedures SRA - Swaziland Revenue Authority USDF – Umbutfo Swaziland Defense Forces WB – World Bank WCO - World Customs Organization

4. EXECUTIVE SUMMARY

This is a draft report of the short-term assignment to assess and evaluate the feasibility of establishing an Integrated Border Management System (IBMS) in Swaziland.

4.1. Conclusions

The level of understanding of IBMS concepts, tasks, methods and importance varies

depending on the level of administrative power. More understanding has been observed and recorded at the implementation and operations level. The headquarter function and administrative hierarchy (CEO’s and team) have paid less attention to the trading facilitation.

There is absence of formalization of institutional forum and framework at the moment for supporting and functionalizing IBMS environment. All CEO respondents interestingly expressed the urgency of starting a regular cooperation and coordinating forum towards establishing IBMS project.

The current level of knowledge and experience on IBMS in Swaziland was recorded as

generally high in CED, average in Police and Immigration but unknown or non-existent among other border agencies. The level of willingness and enthusiasm to participate and looking forward to IBMS project getting established was surprisingly high and could be assessed as above average at both two levels – headquarter and operations -BCPs.

None of the border and government agencies interviewed and the private sector have the

capability at the moment to interface with Customs on-going process of upgrading its systems that may enhance Swaziland integrated border management system process. Customs is currently consolidating its process and system capabilities.

CED is rated slightly above average due to the top-bottom perceived commitment and on-

going institutional reforms that are jeered to support the establishment of IBMS based on the four pillars. CED remains handicapped due to weak or absent enabling legislation at national level, transitioning business process and procedures reviews and lack of professional and knowledgeable human resources ready at the moment to establish the IBMS agenda. However, the piloting process is capable of getting started.

IBMS functional and responsibility requirements go far beyond the scope and mandate of

respondent agencies within line ministries. Active involvement of other relevant government agencies and high political administration is critical. The latter, is pivotal to providing political endorsement & mileage, resources and acceptance for the any future drafting of the IBMS’s project roadmap and successful effective implementation.

4.2. Recommendations

4.2.1. General

Greater urgency and need to form a cooperation and coordination platform upon which the heads of agencies represented at the border control posts can continue to engage and discuss matters of mutual cooperation and possible establishment of IBMS project in Swaziland.

Exploit the goodwill and support that was expressed throughout the environmental scan and assessment by all CEO’s (especially Commissioner General, National Commissioner of

Police, Ag Chief Immigration Officer, private sector, SIPA) to commence the process of piloting IBMS initiative at Ngwenya and Lavumisa.

Whereas SRA-Customs is a suitable border lead-agency (in aspects of piloting and establishing IBMS project), a rotational lead – agency model at full implementation stage is proposed. The model promotes participatory coordination and collaborative efforts for border agencies through an agreed and well-arranged institutional framework from pilot phases moving forward.

The army is still supporting and guarding in protecting the green national borders. Their borderline guard that interfaces with cross-border smuggling and trade-related enforcement function should gradually be scaled to national security functions and handed over to the RSP border security or specialized border police unit,.

The inter-agency arrangement should consider a semi-autonomous collaboration with each agency retaining its mandate and roles but arranged under a leady agency model.

The border and government agencies, in their quest to establish efficiency in security and controls, should employ use of trade facilitation tools and devices such as Non-intrusive technology including container and baggage scanners, detector dogs, powers of arrest, electronic processing and risk management systems, joint customs controls and post clearance inspection amongst others.

Introduction of a trade portal as a precursor to the roll-out of the single window is critical to initiate the agencies, ministries and business community into an integrated submission of documents and sharing of data & information elements.

4.2.2. Intra-service Cooperation

(i).Legal and Regulatory Framework:- Commence enabling Legislation process that empowers border and government agencies to legally fulfill their mandates within IBMS environment.

(ii). Institutional Framework:- Commence restructuring and relevant reforms on the internal system alignment of each agency organizational structures that establishes an effective implementation of tasks and efficient intra-service cooperation and communication.

(iii). Procedures:- Commence reviews and re-engineer processes and procedures starting with key participating agencies (RSP, Immigration, NAM Board) to ensure the application of standardized and uniform approaches, steps or systems that enhance efficiency and effectiveness at all designated BCPs and BIPs by all border agencies.

(iv). Human Resources and Training:- Initiate and draw internal competence development programmes and target professionalizing staff on specialized capacity building schemes for establishing IBMS.

(v). Communication and Information Exchange:- Commence process and procedure that enables internal sharing, free exchange and rapid flow of data, information and effective documentation.

(vi). Infrastructure and Equipment:- Provide adequate and sufficient facilities and equipment to enable the operational staff to efficiently perform their duties.

4.2.3. Inter-agency Cooperation

(i). Legal and Regulatory Framework:- Commence urgent pro-IBMS reforms in the national legislation regime to enact the laws that determines the content and scope of the cooperation and information exchange between the different and participating border agencies and stakeholders.

(ii). Institutional Framework:- All the participating border agencies must get well-structured (e.g. through JBMC) and established to enable them to interact with each in the performance of their tasks of managing borders.

(iii). Procedures:- Establish an overall process workflow and system capability in which the activities of key border agencies (RSP, CED, Immigration & NAM Board) are included for immediate reviews and re-engineering to interface with IBMS procedures.

(iv). Human Resources and Training:- Introduce shared curriculum and institutional knowledge centers that promotes the understanding of the IBMS tasks and responsibilities which creates multi-tasking border management professionals.

(v). Communication and Information Exchange:- Establish a national inter-agency forum that brings together border agency principals/CEO’s an engagement mode that will ensure continuous flow of information, regular communication and interaction.

(vi). Infrastructure and Equipment:- SRA-Customs should be formally mandated as a lead-agency and further facilitated to host and take responsibility to share jointly the existing physical infrastructure and equipment for enhanced cooperation between agencies at all BCPs.

(vii). Cooperation with Other Stakeholders:- Initiate an all-inclusive cooperation platform that will enlist and taking into account the activities and interests of all state and non-state actors at the BCPs with a view that ensures greater effectiveness and efficiency.

4.2.4. International Cooperation

(i). Legal and Regulatory Framework:- Commence urgent adoption and implementation of the existing regional and international protocols/conventions where applicable and are consistent with the national legislation. If not, enact appropriate and lay down adequate national legal regimes that will permit domestication of the existing regional and international relevant laws, conventions and protocols.

(ii). Institutional Framework:- Support and further strengthen the organizational structures such as Joint Border Management Committees to exists at international level starting with Ngwenya and Lavumisa, to effectively implement tasks related to border management and modernization.

(iii). Procedures:- Engage and motivate participating border agencies through JBMC to agree to review and re-engineer their business processes to establish process and system capabilities to enable cross-border inter-agency interface and interconnectivity.

(iv). Human Resources and Training:- Joint staff training programmes must be designed and designated to enable border officials perform cross-agency tasks where appropriate, eliminating redundancy, reducing duplication and creating integrated multi-tasking skills.

(v). Communication and Information Exchange:- Ensure that the infrastructure for communication and relevant systems are in place to enable efficient and reliable sharing of information between agencies, governments and international organizations.

(vi). Infrastructure and Equipment:- Carry out audit and needs assessment under JBMC to prepare procurement separately on each side of the border for eventual joint sharing, usage and the efficient utilization of resources and effective performance.

4.2.5. Anti-corruption measures

(i). Legal and regulatory framework: Developing policies to guide the ethical behaviors and practices of border officials

(ii). Institutional framework:- Building corruption resistance mechanisms within all participating border agencies

(iii). Procedures:- Ensure re-engineered processes and systems are made known to the border agency officials and clients

(iv). Human resources and training:- Carry out sensitization training of all border agency officials on integrity, compliance and fraud risk awareness

(v). Equipment and Facilities:- Open office layout with less partitioning and equipped with modern technologies that support transparency and efficiency in service delivery.

This draft final report is the last formal output of the assignment and is organized as follows: Section 4.0 provides an executive summary of conclusions and recommendations. Section 5.0 provides an overview of the background, rational, scope and the methodology of the assignment. Section 6.0 provides the study findings on the establishing IBMS in Swaziland. Section 7.0 provides the developed IBMS processes and procedures that will form a basis for the Single Window. Section 8.0 provides the assessed and evaluated pre-requisites of establishing IMBS. Section 9.0 provides identified and recommended legal provisions to support the IBMS. Section 10.0 provides the recommended capacity building initiatives to support IBMS. Section 11.0 provides the cost estimated for implementing the IBMS pilot. Section 12.0 provided the conclusions and Section 13.0 provides the appendices with details of key references in the documents and tables that were referred to during compilation of this assignment report.

5. INTRODUCTION

The draft final report is prepared pursuant to the stipulation of the terms of reference that calls the assessment and evaluation of the feasibility of establishing an integrated border management system1 in Swaziland. The assignment commenced on 12th November was completed on 20th December 2013.

5.1. Significance of the Assignment

The objective of the assignment was to assess system capability interface between the border and government agencies on one side and CED systems on the other, whose systems are increasingly getting developed and implemented. SRA-Customs was equally subjected to an IBMS readiness test. The feasibility study was based on the IBMS Guideline framework from SADC, AU and EU (with their three main pillars of intra-service cooperation, inter-agency cooperation and international cooperation) but tailored to match the Kingdom of Swaziland (KOS) local conditions and needs. Establishment and adoption of the IBMS concept will enable the citizens to live in an area of safety and freedom, where all eligible peoples can carry out business activities and travel freely through secure borders, as preconditions of economic growth and reduction of poverty in the KOS. With the increasing security & crime threats, mobility of persons and goods, KOS need to address the challenge of ensuring the right balance between open, but at the same time secured and controlled borders. In order to respond to this challenge, the World Bank was engaged by the Government of the Kingdom of Swaziland to assist in assessing and evaluating the feasibility of establishing Integrated Border Management System in Swaziland.

5.2. Background

Most developing countries, including Swaziland, are realizing the importance of trade facilitation reforms to achieving sustainable growth. Accordingly, they have instituted reforms to lower tariffs, establish regimes to encourage foreign investments, and pursued opportunities for greater regional integration. The effectiveness of trade facilitation in Swaziland is still very slow and progress is hampered by high costs and administrative difficulties at her border crossings. Swaziland border crossings are riddled with outdated and overly bureaucratic clearance processes imposed by customs and other border agencies which are now seen as posing greater barriers to trade than tariffs do. The situation is exacerbated when there is increasing insecurity and cross-border crime. Most respondents in the study expressed high presence of cumbersome systems and procedures and poor infrastructure which they attribute to increase transaction costs and lengthen delays to the clearance of travelling passengers, imports, exports, transit goods and traffic. Border agencies under study contended that such costs and delays make Swaziland less competitive, deter foreign investment and creates opportunities for administrative corruption. 5.2.1. Swaziland Economic Outlook

According to IMF official estimates in the World Economic Outlook 2013, places Swaziland under middle income economies alongside Botswana and South Africa. However, Swaziland

1 In this assignment and throughout this document, the Integrated Border Management System (IBMS) refers to all border

actors (state & non-state) and their policies and procedures integrated into a more cohesive and effective control system. It not IBMS usually dedicated to components of information technology and communication (ITC) usually referred to and associated with, elsewhere, in the literature.

economic outturn and average projections on the basis of real gross national product since 2009 are declining, dismal and don’t augur well for the economy at present and in the near future (table 1). The real gross domestic product (GDP) growth was stagnant at 1.0 percent in 2013 compared to -1.5 percent in 2012. The weak economic performance observed in 2012 (negative growth) but with a slight re-bound in 2013, can be explained by a number of factors including the persistent cross-border trade barriers, fiscal challenges of government, depressed external demand stemming from the global economic downturn, and the continued presence of long-standing structural impediments to growth. Table 1: Swaziland Economic Outlook - 2013 Emerging and Developing Economies: Real GDP (concluded) Average Projections

Year 1995-

2004

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2018

(Annual percent change)

2.8 2.2 2.9 2.8 3.1 1.2 1.9 0.3 -1.5 0.0 0.3 0.3

South Africa 2.8 3.3 3.1

Botswana 4.1 4.2 4.1

Source: IMF- World Economic Outlook 2013 page: 67-69

The main transit roads and corridors entering and exiting Swaziland through Ngwenya, Lomahasha and Lavumisa are in good condition for international and transit trade. However, transporting goods and travelling across borders to and from Swaziland represents a challenge for traders and travelling passengers. The Kingdom of Swaziland has a national airport, Matsapha Airport and no direct sea access. The ports at Durban- South Africa, and Maputo-Mozambique, can be accessed by road and rail; and an inland dry port/ICD at Matsapha facilitates the road-to-rail connection.

5.2.2. Cost of Doing Business (CDB)

What does it take to export or import through cross-borders generally in Swaziland? According to the World Bank, data collected by Doing Business 2014 - Swaziland, exporting a standard container of goods requires 7 documents, takes 17 days and costs $1880. Importing the same container of goods requires 6 documents, takes 23 days and costs $2145. Globally, Swaziland stands at 127 in the ranking of 189 economies on the ease of trading across borders (figure 1). The Doing Business (CDB) on the component of trading across borders has modestly improved from 128 in 2013 to 127 for 2014. It is a modest improvement in the right direction but second best to South Africa in the SACU region, as indicated below:-

Figure 1: How Swaziland and comparator economies rank on the ease of trading across borders and on the ease of doing business respectively.

Source: Doing Business Database 2014 –SWZ

5.2.3. The Logistics Performance Index (LPI)

Logistics Performance Index, developed by the World Bank, is based on the results of the survey of international logistic service providers (freight forwarders and express carriers) with respect to their perception of logistics friendliness. Swaziland performed at 16 out of 155 countries, where she efficiently moved goods through her cross-borders; and connected manufacturers and consumers with international markets in 2012. The positive LPI and modest improvement on CDB on trading across borders, if sustained, points to improving trade facilitation prospects. Evidence shows that effective trade facilitation and risk management reforms enable economies to reduce trade costs, increase competitiveness, improve trade performance, create jobs and income opportunities, promote sustainable economic growth and prosperity, and thereby lead to poverty reduction (World Bank, 2012). From the outgoing context, the IBMS as a trade facilitation and risk management tool would be most appropriate to converge all border actors (state & non-state) procedures and their policies integrated into a more cohesive and effective control system.

5.3. Rationale for Integrated Border Management System (IBMS)

The assessment and evaluation exercise has been stimulated by the national desire to have an effective and efficient trade facilitation regime established at border post controls. There is a national quest to integrate procedure and process systems and functionalities of all trade facilitating agencies and parties at all border control posts. Assessing and evaluating the feasibility study on establishing IBMS in Swaziland was addressed at two functional levels- operations/tactical (border control posts) and headquarters (high policy & decision making). The study respondents were interviewed basing on the IBM pillars of cooperation and coordination: intra-service cooperation, inter-agency cooperation and international cooperation. We present the meaning of each pillar in this study below;

5.3.1. Border & Government Intra-service Cooperation

This is the efficient management of processes, information and resources within agencies

responsible for specific border tasks. In the Kingdom of Swaziland, intra-service as the IBM

pillar, describes the cooperation and coordination between different departments, stations or

units within one Ministry, institution/agency with all designated Border Control Posts (BCP),

Border Inspection Points (BIP) and in-land control stations (e.g. Matsapha ICD/AGOA/Airport).

5.3.2. Border & Government Inter-agency Cooperation

The focus here is on the close cooperation between all agencies involved in border issues both

at the border and at the central level, thus minimizing overlap and inconsistency and optimizing

the efficient use of resources. There are three expected shared core goals for inter-agency

cooperation at the border control posts (in this case; Ngwenya, Lavumisa and Lomahasha); and

within the inland ports at Matsapha ICD/Airport:-

Protection against threats to national security, order, economy and public health; Prevention of trans-border crime and irregularities; Facilitation of legal cross-border movements of cargo, people and vehicular.

5.3.3. Border & Government Regional/International Cooperation

This concerns the establishment of communication and coordination channels and procedures

at the local, bilateral and multilateral levels. It would therefore, in the case of the Kingdom of

Swaziland at Ngwenya, Lavumisa, Lomahasha & Matsapha ICD-Rail BCPs, refer to:

Local cooperation between officials on both sides of the borders of Mozambique and South Africa;

Bilateral cooperation between neighbouring states of Mozambique, South Africa and virtually any other mutually agreed state beyond her borders;

Regional/International/multinational cooperation, focusing on border management issues.

5.3.4. Integration Border Management System vs. Agencies

It must be noted from the onset that IBMS concept does not require radicle change in existing agencies’ institutional structures. The study agency respondents such as RSP, CED, Immigration, Agriculture – NAM Board/Veterinary, etc. have their own aims and objectivities, and typically they devote much time and attention to ensuring their own survival. Therefore, the concept of integration to meet the shared border vision and objectives does not presuppose organizational amalgamation, rationalization, or elimination. Finally, providing effective and efficient controls through IBMS has potential for continued economic re-bound momentum, predictability for traders and travelling passengers, which in turn sets off a chain reaction of economic growth, better logistics and security in the Kingdom of Swaziland. Moreover, for Swaziland as a transit and importing nation, by reducing clearance procedures and times, goods reach markets much more quickly. This reduces the cost of doing business and increases the revenue collections into government coffers and savings onto final consumers. Equally, Swaziland as an exporting nation, rapid clearance of its peoples and goods enhances her competitiveness and the potential for continued economic growth and development.

5.4. Scope for the assignment

The assessment covered border agencies (see appendix 3) at the operations level and their headquarters at leadership and strategic level. At operations levels, the participating border and government agencies were assessed at their locations in three border control posts i.e. Ngwenya, Lavumisa and Lomohasha, Matsapha ICD/AGOA and Matsapha Airport. The headquarter principals for the respective agencies that are represented at the border were included in the survey sample as respondents for strategic and assessment outcomes. The previous Working Group on Time Release Study was contacted and involved in the inception workshop of all stakeholders held on 01/12/2013 at The Royal Villas, Swaziland.

5.5. Approach and methodology

The study’s approach was based on the environmental scan which had to involve walking through the process and physical lay-out of border posts, purposeful talking to people face-to-face within the border post, and conducting formal interviews - both qualitative and quantitative in nature, involving a total of 40 respondents. The quantitative segment had 30 respondents, while the qualitative segment had key 10 informants. Survey respondents for the quantitative and qualitative study were selected according to their position, responsibilities and resourcefulness. All quantitative data was captured using a structured survey questionnaire (Appendix 5) that the consultant administered to the respondents. The graphic results throughout the report were derived from the 3-6 score scale on the current status of the measured IBM pillars and its thematic i.e. 1=Weak, 2=In-development, 3=Medium, 4=Developed, 5=Advanced and 6=Excellent. The quantitative study utilized various methods including Key Informant interviews (in-depth interviews with 5 Chief Executive Officers/Heads of Departments) and Focus Group Discussions-FGD-where groups of 5-10 border agency heads were engaged by the consultant before filling questionnaires. At some point, the consultant requested the station’s Customs supervisor to walk-through the physical facility, process and procedures layout and design; and then he studied the situation through observation, inquiries and later desk research. The CEO’s and Heads of Departments involved and any other persons that were deemed informative to the study are listed in the appendix 3- List of stakeholders’ interview schedule. The interviewing of the two levels at operations and headquarters, presented an unbiased and balanced assessment results. Verbatim statements and relevant examples to give an in-depth understanding of the emerging issues are also included in the report.

5.7. Geography, Topography, Climate & Location of Study Sites

A geographic and topographic map represents the rich landscape upon which the physical and infrastructure is the foundation to economic prosperity. The IBMS study sites in the Kingdom of Swaziland are the locations of high economic activities with regard to cross-border trading. With the exception of desert, all the physical features of Africa may be found within Swaziland’s small area of 17,000 square kilometers. The country is divided into four topographical areas from west to east, varying from 1800 to 400 meters above sea level: the mountainous Highveld to the west; the subtropical midlevel comprising lush, fertile valleys and a warm climate, which is ideal for crop cultivation; the low-end, which forms 40% of the country’s area, is also subtropical and although prone to drought, sugar cane is widely and successfully grown there on a commercial basis. Much of this region is typical African bush and an abundance of indigenous wild life, birds and flora may be found here. The mountainous Lubombo area borders with Mozambique. Swaziland has one of the most pleasant climates in the world and due to the country’s four distinct regions visitors will experience significant differences in temperature within a small area. The Highveld has a temperate climate of warm, wet summers and dry winters, when the temperature can rise quite sharply during the day but with cold nights.

Snowfalls occasionally occur on the higher ground. The other three regions are sub-tropical and also have wet summers and dry winters. Here summer temperatures can become very high, while the winters are mild and very pleasant. Fig 2: Topographic Map of Swaziland representing Study Border Control Points and inland Ports/Airports.

Source: www.thekingdomofswaziland.com

Matsapha AGOA/ ICD/SR

Matsapha Airport

Border Control Posts

Sikhuphe proposed

International Airport

Study Sites

6.0. STUDY FINDINGS ON ESTABLISHING IBMS IN SWAZILAND

6.1. Border Crossing Points and Inland Ports

There are thirteen designated border posts/points (BCPs) of entry in the Kingdom of Swaziland. For purposes of the feasibility study, only three border posts and three inland ports were studied and are presented below in table 2 with the management structure, hours of operation and mode of transport. The three BCPs are where there is a high presence of cross-border transactions and business activities. They include Ngwenya/Oshoek, Lavumisa/Golela, and Lomahasha/Namaacha. Others in the study are the inland ports:- Matsapha AGOA/ICD, and national airport Matsapha Airport. Their assessment and findings follows:- Table 2: Border/Government Agency Offices and Operating Working Hours in Swaziland S/ No

Management Structure

Border Post/Corresponding Gate

Opening and Closing hours

Post/ mode of transport

Bordering Country

1 Manager Ngwenya/(Oshoek)* 07.00 - 24.00 Land/Road South Africa

2 Manager Lavumisa (Golela) 08.00 - 22.00 Land/Road

3 Manager Lomahasha (Namaacha) 07.00 - 20.00 Land/Road Mozambique

Inland stations (except Saturdays, Sundays and Public Holidays)**

4 Manager assisted with Supervisors for each station.

Matsapha ICD – Motor vehicle & Railway operations

08.00 – 17.00

Road/Rail Swaziland

5 Matsapha AGOA – Manufacturing sector

08.00-17.00 Road/Rail

6 Matsapha Airport operations 08.00-17.00 Road/Air

NB: *The first BCP is such as Ngwenya is located in Swaziland, while the second one such Oshoek belongs to the neighboring country, hence Ngwenya/(Oshoek). **The agency office and operating working hours are extremely at odds with trade facilitation. This implies that business transactions, transport logistics and clearances must halt for weekends! IBMS demands reforms for a gradual shift to 24/7 working hours in order to promote and sustain an effective trade facilitation regime and propel economic growth in Swaziland.

6.1.1. Ngwenya/Oshoek,

Ngwenya is border entry/exit that is located in Swaziland at the frontier with South African (figures 3-5 below). Oshoek is located on South African side.

Fig 3: Station -Arrival Side Fig 4: Station- Departure Side Fig 5: Station- Passenger Clearance

The Customs Station Manager Cyprian Lukhele presented the status position of the BCP through oral and questionnaire interview. The station is the busiest in the country and among the five BCPs according the document and transactions records referred to. The station was

found to have initiated and practicing Joint Border Management Committee (JBMC) on regular/monthly meetings and operations such as limited surveillance activities with their counter-parts across Oshoek – on the South African border. He pointed out that the station infrastructure and buildings are undergoing massive rehabilitation, renovations and to a lesser extent expansion in preparation for IBMS activities-like. He went on to observe that the outdoor space and physical facilities are not sufficient and adequate for effective clearances for import, export and transit activities. There was insufficient parking space for heavy and transit commercial traffic, examination sheds during rainy seasons/hot sunny days, control lanes, signage, and etc. impact greatly the outdoor operations during peak hours of congestions, holidays, cultural festivities, opening & closing of school terms, etc. The operating hours have been made flexible using the JBMC forum. The usual hours of business are from 0700hrs to 2200 hrs. having been extended to 2400hrs only on peak periods. The results from the study respondents in figure 6 indicated that all border agencies save for CED are not yet ready for establishing IBMS. The current status put the rating to below 10%. CED performs averagely on institution framework, communication exchange and infrastructure/equipment. The current status of readiness is on declining strength towards inter-agency and international cooperation for all border agencies. Fig 6: NGWENYA Border Post – Results from Respondents

Source: Primary Data from respondents’ questionnaires.

The JBMC is a significant border management initiative that facilitates cross-border working relationships amongst border agencies. Most of the border officials, other than heads of agencies, have little information regarding JBMC and IBMS initiatives. The following agencies are members of the JBMC as per the terms of reference; MHA – Immigration, SRA, RSPS, Health Department, USDF, STA, VET, DTI, Nam board & SWD Dairy

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Ngwenya Border Control Posts-Agencies Respondents on Establishing IBMS in Swaziland

Immigration 1

Police 2

NAM Board 3

Army 4

Health 5

Customs 6

Security 7

Diary Board/Vet 8

ACT-RSP 9

There were no border community representation such as town council, local leaders & private sector.

6.1.2. Lomahasha/Namaacha

Lomahasha is border entry/exit that is located in Swaziland at the frontier with Mozambique (figure 7-9). Namaacha is located on Mozambique side.

Fig 7: Approaching Gate Area Fig 8: Departure & Exports Area Fig 9: Arrival & Imports Area

The Customs Station Manager Archel Mavuso presented the status position of the BCP through oral and questionnaire interview formats. Suffice to note that the station had been affected by a storm that reaped off part of the roof causing massive leakages. SRA management had responded with some renovations with promises to do more. Absence of parking space (see figures 4, 5 & 6) for heavy commercial traffic, examination sheds during rainy seasons/hot sunny days, control lanes, signage, and etc. impact greatly the outdoor operations during peak hours of transit congestions, holidays, opening & closing of school terms, etc. The operating hours have variations depending on the business transactions. The usual hours of business are from 0700hrs to 1800 hrs. Extension to 2000hrs occurs after cross-border contingency requests to create working hours that are in tandem with the other government agencies and with Namaacha officials/authorities on the other side of Mozambique. The results from the study respondents in figure 10 indicated that all border agencies are generally not yet ready for establishing IBMS. The current status put the rating to below 30% for all border agencies. CED still stands out in the circumstances but still below average. Fig 10: LOMAHASHA Border Posts – Results from Respondents

Source: Primary Data from respondents’ questionnaires

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Lomahasha Border Control Posts-Agencies Respondents on Establishing IBMS in Swaziland

Immigration 1

Police 2

NAM Board 3

Army 4

Health 5

Customs 6

Security 7

Diary Board/Vet 8

The station manager summed up thus, “We have heard about IBM pillars and practices but we are not practicing them here. However we strongly recommend IBMS establishment since we can start with our current limited resources and improve gradually. Otherwise, business at this border is very abnormal. There is a lot of smuggling which is like official. People avoid paying duties on the other side”. The RSP had delegation responsibilities of performing Immigration activities on behalf of Immigration Agency. The rendering of assistance by police to immigration is taking place due to lack of facilities and resources by Immigration agency. Majority of staff have heard about some inter-agency MOU’s but have not yet access and utilized them to legitimize their localized activities. The Police Commander – Phillip Nlamba was equally supportive of IBMS project though he was hearing it for the first time. He expressed his concern on the border crime that requires equipment and detection support, “…indeed this border gate is crime infested and anthropology of the tribes reflects different or a spectrum of diverse, customs, cultures, traditions and legal framework. The language barriers are great and create huge challenges to communications and business transactions”. He further expressed the dire need of equipment, uniforms and accommodation to enable immigration gets posted to work in the station. At the time of the assessment the following agencies were established to carry-out operations at BCP; Customs, Police/Security/Immigration, Anti Car Theft, Agriculture/Veterinary, Duty Free Shop (located in the No-Man’s Land) and Private Sector (Data-Net & Clearing Agents). Border community e.g. town council or local leaders were not represented.

6.1.3. Lavumisa/Golela

Lavumisa is border entry/exit that is located in Swaziland at the frontier with South Africa. Golela is on the South African side.

Fig 11: Approaching the Gate Fig 12: Departure & Export Area Fig 13: Arrival & Import Area

Lavumisa is the newest and state-of-art border post facility that was recently constructed and handed over to SRA-Customs as a lead agency. The premise is spacious enough and suitable to accommodate all designated border and government agencies (figures 11-13). At the time of the assessment the following agencies were established to carry-out operations; Customs, Immigration, Agriculture, Police, Tourism, NAMBOARD, and Private Sector (Data-Net & Clearing Agents, Kombi Association). The Customs Station Manager Bertina Simeione presented the status position of the BCP through oral and questionnaire interview formats. “Lavumisa is not practicing IBMS pillars but with its new premises and excellent infrastructure/furniture it could take a short time to establish it”. Bertina went on, “Lavumisa is essentially a transit bound station for both transit-through to Mozambique and entry transit-inland for rail-bound cargo to Matsapha ICD. However, it still may handle any international trade imports originating from Durban – South Africa due to the current infrastructural and equipment

advantages. The operating hours have been agreed to originate 1700 to extend till 2200 hours to establish uniform working hours that are in tandem with the other government agencies at Golela – South Africa. The station is a better placed to implement One Stop Border Post phased operations including 24/7 operations”. At the time of our visit, there were neither efforts planned for joint border activities such as operations, surveillance, examinations, etc. nor JBMC initiatives, in spite of IBMS enabling environment. The results from the study respondents in figure 14 indicated that all border agencies save for CED are not yet ready for establishing IBMS. The current status put the rating to below 10% with CED performing averagely at 50% on institution framework, communication exchange and infrastructure/equipment. The current status is hugely favorable on the account of the new building premises and infrastructural layout to support both inter-agency and international cooperation activities.

Fig 14: Lavumisa Border Post –Results from Respondents

Source: Primary Data from Respondents questionnaires

Lavumisa is recommended to Urgently replicate Ngwenya/Oshoek initiative of JBMC and pilot it with their counter-part on

South African side to promote inter-agency and cross-border cooperation. To take advantage of the state-of Art infrastructure and strategic location for transit trade,

SRA-Customs should initiate policy recommendation to GOKS to consider positioning Lavumisa and establish a rail-bound-cargo clearance center and shift it from Matsapha ICD.

Such a strategic decision above will hedge possible risks of diverting transit traffic direct from South Africa to Mozambique using the Ressano Garcia/Lebombo Border Post on the Mozambican and South African respectively.

6.1.4. Matsapha AGOA/ICD

Matsapha is Swaziland's biggest industrial city between Manzini and Mbabane. It is home to African Growth and Opportunities Act (AGOA) - manufacturing and the Internal Container Depot

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Lavimisa Border Control Posts-Agencies Respondents on Establishing IBMS in Swaziland

Immigration 1

Police 2

NAM Board 3

Army 4

Health 5

Customs 6

Security 7

Diary Board/Vet 8

ACT-RSP 9

(ICD) for containerized cargo and Motor Vehicles import clearances (figure 14-15). The Swaziland Railways have the main inland station in Matsapha.

Fig 14: Matsapha Industry Area-AGOA Fig 15: AGOA Factory in Partnership

In the interview with the Customs Manager Matsapha Inland Operations, Doreen Hlatshwayo, noted the absence of IBMS pillars in practice. Through the quantitative interview, she indicated that all the three stations under her supervision – AGOA, ICD & Airport, would be appropriate candidates for participating in the IBMS project. The current un readiness to establishing IBMS notwithstanding on IBM pillars of inter-agency and international cooperation (see figure 16), the modernization initiatives and reforms CED was introducing, are preparing the three business units for IBMS sooner than later. She elaborated further on Customs facilitation role to the AGOA exports to the USA, and clearances necessary for imports and exports in the ICD from both road and rail cargo. The Supervisor in-charge of the ICD shared similar assessment. The AGOA and ICD premises and offices are adjacent to each other within about 100 meters apart. Swaziland continues to benefit from eligibility for the AGOA. On January 18, 2001, Swaziland was designated as the 35th AGOA eligible country. Foreign investors such from Taiwan, South Africa and China have taken advantage of Swaziland’s AGOA-eligible status, especially in the garment manufacturing industry on value addition for export to foreign.

Fig 16: Matsapha ICD & AGOA Results from Respondents

Source: Primary Data from Respondents at AGOA & ICD-SR

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INTRA-SERVICE INTER-AGENCY INTERNATIONAL COOPERATION

MATSAPHA ICD & AGOA -Results of Agency Respondents on establishing IBMS in Swaziland

SRA-Customs ICD-Rail

SRA-Customs AGOA

6.1.5. Matsapha Airport

Our interaction and interview with Director Air Transport Sifiso Mnisi at Swaziland Civil Aviation Authority (SWACAA) offices confirmed absence of IBMS pillars. He expressed optimism and readiness for cooperation with regard to the establishment of IBMS in Swaziland. He indicated that their operations and activities are governed through Swaziland civil aviation authority Act, 2009 and SWACAA (AVSEC) Regulations. Swaziland is currently serviced by flights from Matsapha Airport (the only inland and Airport figures 17 & 18), near Manzini, to Johannesburg, Maputo, and Durban. Matsapha Airport can only handle trans-Atlantic or inter-continental flights and serves largely as a charter airport for small regional carriers.

Fig 17: Matsapha Airport Fig 18: Existing Airport Terminal Fig 19: Artistic of new Terminal Airport- Sikhuphe

The Director disclosed that Swaziland was currently building and constructing a new international airport that will accommodate large passenger planes at Sikhuphe –(see figure 19). Sifiso believes, “SWACAA will not only be more than ready to participate in IBMS project, but provide an enabling cooperation infrastructure to its participating agencies and clients at the new airport”. Other Airport and government agencies such CED, Immigration, Police were represented through a questionnaire process. The results in figure 20 below confirm weak status on IBMS pillars but with a lot of work in-development due to the up-coming new airport.

Fig 20: Matsapha National Airport Results from Respondents

Source: Primary Data from Respondent Questionnaires

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MATSAPHA NATIONAL AIRPORT-Results of Agency Respondents on establishing IBMS in Swaziland

SWACAA

Royal Swaziland PoliceDepartment

Immigration

Army

Health

SRA - Customs & Excise Dept

6.1.6. Matsapha Rail Link

Matsapha Railway and Customs ICD station (figure 21 below) is the first stop inland station for all rail cargo and clearances through Lavumisa – Swaziland from Durban - South Africa.

Fig 21: Matsapha Railway Station/ICD Fig 22: Railway Wagons in Transit from Durban

On behalf of the Manager Swaziland Railways headquarter offices, M/s Mpumie Hlalshawayo provided insight into the current and future plans of rail transport and its desire to participate in the IBMS arrangement. The inland border operations are open Monday to Friday and close over the weekend’s i.e Saturday and Sunday. Busy inland borders like entry/exit borders and corridors follow best practices world-wide that demand opening to business 24 hours and seven days phased approach. The governments of Swaziland and South Africa have signed a Memorandum of Agreement for the construction of a rail link. Transnet and Swaziland Railways (SR) have agreed to jointly develop a 146-kilometre railway line from Lothair in Mpumalanga Province, South Africa to Sidvokodvo junction in Swaziland. The project involves upgrading Transnet's line from Davel to Ermelo and Lothair, where trains will run onto a new 146km alignment which will cross the border to join the existing Swaziland Railways line from Matsapha to Phuzumoya at Sidvokodvo (see figure 22). The Supervisor ICD-CED was participated in the discussion. With all the projected plans ahead, SR current status is very weak (figure 23) but hopes to benefit if they become part of the key participating agencies for the IBMS piloting stages. At the moment the SR and the trading community were reported to be greatly affected by the closure of business over the weekends. This was partly attributed to lack of facilitating resources on both SR and CED (both human & funds-allowances). Even before the pilot of establishing IBMS, it is recommended for inter-agency cooperation acts of working for extended hours during week days and introduction of weekend operations to facilitate trade. Fig 23: MATSAPHA ICD Results from Respondents


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MATSAPHA ICD-SWAZILAND RAILWAYS- Results from the oral interview on establishing IBMS in Swaziland

MATSAPHA ICD-SWAZILANDRAILWAYS

6.1.7. Border Control Posts/Inland Ports Level Results

The results below are a holistic assessment outcome on border control posts and the inland

ports against the IBM pillars; and arising out of the interview outcomes and the consultant’s

walk-through.

The surveyed BCPs agencies have legislation in place that focuses on individual activities separately and responsible to their mandates and principals at headquarters. There were some legal provisions supporting intra-services especially with SRA-Customs, inadequate or total absence provisions for supporting inter-agency and international cooperation. There was no recent past attempt to draft revisions or amendments regarding cooperation and coordination at the borders, save for SRA. SRA-Customs confirmed through the interviews with the Commissioner General and Commissioner CED to have initiated the legislation reviews and drafting process amongst which is to accommodate any future needs and requirements of establishing IBMS.

Institutional framework was found lacking on restructuring reforms on their internal system alignment of modern organizational structures, effective implementation of tasks and efficient intra-service cooperation and communication to interface the agencies with each other. Still here CED has benefitted from overall institutional restructuring and reforms of SRA since 2011. There was apparent absence of agencies’ joint forum for principals to initiate and engage discussions, initiatives or projects related to IBMS principles.

Procedures, processes and system have neither undergone any business process reviews

nor re-engineering. CED has just started the process and engaged the consultant in that regard. Business process re-engineering ensures the application of standardized and uniform approaches within the agency itself but also with each other. Neither steps nor systems that enhance efficiency and effectiveness at all designate BCPs were established.

Joint Human Resource development and training practices were absent amongst all border

agencies. Agency managers and office in charges acknowledged huge skill and knowledge gaps of their officials with regard to generally border management and trade facilitation. Border agency staff and personnel are yet to receive capacity building and training on trade facilitation tools such as IBMS and its pillars.

The communication and information exchange between border agencies is generally

restricted and at times prohibited, save for special circumstances where it is provided for in the MOU’s. Even MOU’s exist for SRA that took the initiative to reach-out to key agencies such as RSP, Immigration; MNRE, NAM Board for specific levels of operational cooperation before IBMS was conceived as an idea to facilitate cross-border trade. Legislation that enables internal sharing, free exchange and rapid flow of information and effective documentation in an IBMS environment is inadequate and insufficient.

The infrastructure at Lavumisa border did satisfy on average IBMS standards related to the

control of commercial and passenger traffic, for example separating vehicles carrying goods or passengers into separate waiting lanes and parking lots/areas. Ngwenya and Lomahasha BCPs require some modifications and expansion to meet similar standards. Some modifications and renovations are underway at Ngwenya border post. The BCPs infrastructure is owned by Government of Kingdom of Swaziland. The legislative order and process was said to be underway to hand-over the infrastructure facilities for custody and ownership by SRA. Fortunately, most border agencies reported support of this decision.

All the three stations’ border services did not have facilitating equipment’s such as adequate

staff uniforms, weighing scales, biometrics, scanners, forklifts, CCTV & security cameras, etc. at their disposal that would allow them to perform their activities at border crossing points efficiently. IT equipment and infrastructure was found to be more available to SRA-Customs and on some extent, Immigration. There were no sufficient computers to cover all key operations staff. Other agencies have never received computers let alone use them. Internet availability is intermittent if available and its band-width is limited to low speeds. Other border agencies for implementing the procedures, at border crossing points were not connected through a fast communication network and this posed a problem for proper IT support to border services

The coordination with other stakeholders such as private sector, clearing fraternity, border

communities – town council leadership & local leaders, etc. is not formally recognized and non-participative in the existing regular border meetings. There is informal but adhoc relationship and mutual co-existence at all the border crossings visited. However if it is not formalized and backed by law, it remains erratic and unsustainable.

The Anti-Corruption Measures are well known and documented but difficult to enforce.

Besides SRA which has an elaborate enforcement and disciplinary mechanism, other agencies go through a civil service structured system that is not only cumbersome but frustrating to discipline and sanction errant officers.

6.1. Assessment Findings of Border Agencies

Using the IBM pillars, this section provides for detailed results of environmental scan interviews on individual agencies. Each border and government agency has competencies at the border relating to and should reflect the three levels of cooperation: intra-service, interagency and international against the six components - thematic (i.e Legislative, Institutional framework, procedures, human resources, and communication, infrastructure and anti-corruption measures). This is a standard measure and international best practice where every agency is offered equal opportunity through its representative. The representatives were at strategic and policy level – principle heads; and tactical/operations- station managers, supervisors and office in charges, to assess their agencies’ capabilities to establish IBMS. An identical assessment and evaluation questionnaire tool (see appendix 6 for the principals questionnaire), was distributed evenly. The outcome generally point to structural deficiencies and challenges which follow. But on the other hand, there was a high sense of desire, willingness and positive support towards establishing an enabling IBMS environment, which was not possible to quantify in this report. 6.2.1. Intra-service cooperation The study assessed to establish whether intra-service cooperation exists within every agency operating at all the three borders of Ngwenya, Lavumisa, Lomahasha and Matsapha ICD: RSP/Security, SRA – Customs, Immigration, and Agriculture – NAM Board, Diary Board and Veterinary inspection. The views expressed below are derived and extracted from the respondents (figure 24) who included both the principals and border post operational officials to respond to, ”Does your agency located at the BCP of Ngwenya, Lavumisa and Lomohasha) have and exhibit such all-round cooperation and coordination?”

Fig 24: ROYAL SWAZILAND POLICE – Results from Respondents

Source: Primary Data from Respondents questionnaires’

6.2.1.1. Royal Swaziland Police/Border Security Police i. Current Situation The border Royal Swaziland Police2 carries out the tasks of border control that includes border checks within its precincts; Border checks mean the security checks and to maintain law and order activities at the border post. The RSP indicated to have an overall site role on trade and passengers regarding initiating prosecution and combating crime on all border agencies. Among the broader challenges mentioned include:- Being responsible for the management of all human, material and financial resources, to

include Immigration functions eight out of fourteen border posts. They wish to hand them back to Immigration authorities.

Structural difficulties such as logistical, financial support and in many cases equipment has not been provided at the required level quantity and in time. This have significantly contributed to poor operational performance by the RSP

ii. Legal and regulatory framework The legal instrument that established the Police Force is the Police Act No. 29/1957, mandates the agency to deploy at all border crossings throughout the four regions of the country i.e. Hhonho, Manzini, Lubombo and Shiselweni to perform the following:- a) Preserve peace, b) Protect life and Property, c) Prevent all incidents of crime and detect crime, d) Maintain law and order. A quick scan on the Police Act did not pin-point direct provisions on intra-service cooperation. The RSP legal regimes, save for some MOUs with other agencies, are inward-looking and inconsistent with the intra-service activities of IBMS border policing and operating environment.

2 The border Royal Swaziland Police (RSP) or border police here includes all police units in police to include;

administrative units, security unit, Interpol unit, crime investigation unit, anti-car theft unit, special force unit and any other unit in police deployed to manage and support cross-border activities.

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Royal Swaziland Police Department -Results from Respondents on Readiness to establish IBMS in Swaziland

Royal Swaziland PoliceDepartment

While interacting and interviewing RSP management, it was revealed that there were no sufficient intra-service cooperation provisions within the same ministry of home affairs. Further Action Needed; There is urgency to change and/or amend a number of legal provisions as well as to draft

new laws consistent with the IBMS principles and for possible future implementation. Likewise, sub legal acts and bilateral agreements related to border activities should be

reviewed and changed accordingly to harmonize cooperation with sister agencies in the MOHA.

In the interim period, RSP could focus their further cooperation with other structures of the MOHA in the following areas:

Further develop legal and regulatory framework for a more collaborative exchange of data and information within the Police Department and MOHA. Data protection and confidentiality, as well as the administration of information internally, is already regulated through relevant laws and instructions, but closely guarded in stove-piped manner.

Free sharing and exchange of information and data on illegal cross-border activities between different RSP border posts; and with Immigration.

Effective collaboration and organization of joint measures amongst all police units and Immigration for the prevention and suppression of cross border criminality.

Cooperation and organization of joint police operations (e.g. amongst police, security, anti-car theft, Interpol, etc.) within and across border posts.

iii. Institutional Framework The current structure of the RSP does not ensure proper integration of the human, financial and logistical resources as well as the required cooperation within it and with other structures of the Ministry of Home Affairs (MOHA). It is important to stress that there is no delegated chain of command from the RSP Directorate to regional MOHA structures. All respondents from different police units indicated standalone operations and reporting back to different command centers at region or headquarters. As a result of this type of organization, communication of orders and information do not cooperate officially from central to regional and local level structures and vice versa. Further Action Needed; For purposes of establishing IBMS, the integrated organization structure that brings together

border functional units should be restructured into cooperation and coordinated strategic and tactical systems from central to regional and local border levels.

During the restructuring process and reforms, a clear determination of different Police units’ responsibilities as well as those of other structures in MOHA, and job descriptions for police border officials should be considered and re-aligned.

This also requires improvements to the current planning system from the central level to the local one, in order to achieve better operational results. Implementation of functional tasks shall require issuance of new instructions both within the MOHA structures, and the proposed establishment of different Police border units.

iv. Procedures The procedures carried out at the border by the RSP are based upon assorted laws, by-laws, civil service orders and instructions, many of which are neither current and/or not in compliance with the SADC/AU IBMS practices3. Further Action Needed; As part of the premised restructuring of the MOHA in general and RSP in particular, after a

more clear division of responsibilities for different Police units will be accomplished, simpler procedures at the BCPs will be drafted based upon an analysis of the desired IBMS situation. This will not only easily interface RSP with others (including Customs) but also improve results at the BCPs and at the same time facilitate the secure free movement of persons and trade.

Procedures on border security and surveillance must be reviewed and adapted to IBMS requirements.

A manual of Standard Operating Procedures (SOPs) related to the IBMS border activities for the RSP border units should be drafted and shared internally. This will provide for the necessary guidance to carry out tasks in an efficient, unified and professional manner at all levels and improve the cooperation within the border police units, and between the RSP and other MOHA structures, thus avoiding duplication of tasks.

v. Human resources and training Currently, there is standalone training to different Police units within border police and between RSP and other structures of the MOHA. The Police Academy is the responsible institution for recruiting, training and retraining of MOHA personnel, including RSP. Training on border policing and management issues is performed in a very limited number of classes (8 hours) during a three month period of basic police training. This training is mainly theoretical and short-term. Apart from this, the Police Academy does not provide specialized or in-service training for all border police units’ officials. Further Action Needed; The envisaged re-organization of the MOHA and border police units in particular, should aim

at correcting the above mentioned gaps, by turning the Police Academy into the main source of basic training and refreshing training for all senior and border operations officials.

Training programs for IBMS consistent with SADC/AU IBM requirements must be drafted and delivered urgently for approval to the Police Academy.

Any future Police Academy training mechanism should have coordinated annual training plans with the proposed border police and Immigration structures.

The training plans should be developed taking into consideration cooperation between border police and other MOHA structures. Later on this arrangement will easily collaborate with other border agencies’ training academies and their training plans.

vi. Communication and exchange of information The current organizational structure of the MOHA does not have a dedicated department to manage border issues and affairs and hence information passes from border police through the Regional Police Commanders to the headquarters. As a consequence, there is no sustainable

3 SADC and AU IBM practices and requirement can be found in; SADC draft guideline for coordinated border

management & instruments for cooperation, AU draft union strategy for enhancing border management in African-2012, and websites:

and consistent free-flow of information on either direction. Furthermore, the above-mentioned structure hinders direct horizontal and vertical communication within border police units. Further Action Needed; Implementation of the envisaged re-organized organizational structure of the MOHA and

usage of the extra capacities of IT (see below) shall create better conditions for communication within border police; and between border police units; and other structures of MOHA.

The above mentioned improvements, together with MOHA civil service orders and instructions within RSP should create proper conditions for personnel to be responsible for collection, distribution and follow-up of information related to the border policing and fight against cross-border crime.

vii. IT systems During the environmental scan of all the border posts above, it was established that all RSP border units were neither equipped nor facilitated with updated IT systems and equipment’s. Further Action Needed; In general, it is necessary to have a faster system for the transmission of data between RSP

border units, with regional and the headquarter center command structures. Urgent measures are needed to introduce enabled internet communication with internal and

international agencies for the purpose of exchanging and verifying information. There are many IT border control system on the market such as Introduction of Technology

Information Management System (TIMS). This IT system aids registering of all persons and vehicles entering and exiting Swaziland. This system or any other built in-house is connected with the MOHA and Interpol database and enables relevant units to perform controls of wanted persons and stolen vehicles entering and exiting Swaziland. It also provides the possibility to assist in identifying potential victims of trafficking.

The Border Control Information System (BCIS) is another available IT system suitable for IBMS environment that enables the recording of all vehicles and persons entering and exiting Swaziland through BCPs. The information collected from the BCIS is usually an excellent risk analysis tool to assist all police units.

Border police should be equipped with IT and encrypted communication equipment in order to guarantee fast and secure communication and transmission of orders and instructions.

viii. Infrastructure and equipment The infrastructure and equipment related to border police is in dire need and require immediate replacement with modern tools and facilities. In other stations such as Ngwenya and Lavumisa, office space for RSP personnel is being provided for sharing with customs. The majority of the existing premises used by the RSP were improved through state funding but do not facilitate intra-service cooperation with other MOHA structures especially Immigration department. Further Action Needed; Any future construction of new premises, changes to existing premises, or reallocation of

facilities should take intra-service cooperation into account to accommodate MOHA structures. For instance, at Lomahasha and in eight other border control posts, RSP has well-structured housing and office facilities but are unable to accommodate immigration officials. RSP is carrying out Immigration roles and responsibilities at all those BCPs.

Basic tools of trade such as copiers, computers, scanners, fax machines, internet equipment, intranet telephony, cell phones, etc. were enumerated as absent and frustrating their performance by the RSP border officials during our visit to the borders.

Cooperation involving facilities and equipment for document examination, vehicles (4X4) for border inspection/ patrolling, border surveillance thermal cameras, night vision binoculars, etc.) paralyze the officials capability to enforce their mandate effectively.

6.2.1.2. Swaziland Revenue Authority - Customs & Excise Department

(i) Current Situation SRA-Customs has placed itself as a strong advocate and promoter for establishing IBMS project in Swaziland. Customs is projecting itself as an equal partner with the other interested border agencies to be involved in IBMS and procedures. Given the strategic positioning of CED above regarding other agency’s systems capability to interface with it, a more litmus-test assessment was carried out to determine its readiness and the aggregated results below (figure 25) were ascertained. CED is on average formidable with regard to institutional framework, communication and information exchange; and medium on the infrastructure. Fig 25: SRA-CUSTOMS: Results from Respondents

Source: Primary Data from Respondents questionnaires

ii. Legal and Regulatory Framework The legal framework for collaboration within the CED derives from the Customs & Excise (CE) Act 1971 and the implementing provisions, MoUs with other border and government agencies, internal regulations of respective sectors as well as orders and instructions from the Minister of Finance and then the regional and international protocols, conventions and charters. At the time of the study, all presumed enabling draft laws to support the establishment of IBMS was work and process-in-progress. The legal scan results below suffice mention:- The current Customs Laws were drafted as a national legislature which requires changes to

cater for the dynamic trade facilitation regimes. Nevertheless, the CE Act 1971 is being re-

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SRA- CUSTOMS & EXCISE DEPARTMENT- Results from Respondents on Readiness to establish IBMS in Swaziland

SRA- CUSTOMS & EXCISEDEPARTMENT

drafted to update it to comply with regional SADC Customs Act and other international conventions e.g. KYOTO and SAFE-FS. For instance, the mandate laid down for customs under the SAFE Framework of Standards requires the collection of information on international supply chains in advance of the transaction. This framework requires advance information to be supplied to regulatory agencies at export and import respectively in the form of pre-departure and pre-arrival goods and cargo declaration. It is not being applied.

The SRA – Customs initial relevant legal drafts4 were said to be due for tabling to His Majesty Legislative Parliament (HMP) for consideration through the office of the DPP and MOF. The CED has made great strides to intra-service cooperation internally at the headquarters, regional and local levels.

At the moment there is no direct IBMS supportive legal framework in place to firmly support the pilot phase. Even the existing enabling regional and international legal regimes are unenforceable and inoperative till they are enabled through national domestication process.

Unfortunately, most MOU’s do not render and offer the necessary cooperation agreement regarding IBMS environment between SRA and other agencies such as DDP/RSP, Immigration, NAM Board, MNRE and Mozambique (see appendix 1). The MOU with South Africa Revenue Services (SARS) is fairly flexible notwithstanding the limitations of the Swaziland domestic laws and elaborate requirements of both host government’s consent. As one of CED Directors put it, “MOUs are not legally binding instruments”. What is apparent is the internal perceived cooperation and later with other border agencies. Further Action Needed;

Commence preparation and drafting of appropriate legal framework for IBMS as addendum, if it was not sufficiently covered in the earlier legal draft submissions to the DPP & MOF.

Continued pursuit and lobbying to have revised draft legislation in place for the support of piloting and establishing IBMS.

All of the legal documents / orders must regulate relations and formalize procedures for cooperation at all levels and between all structures and border posts of the CED.

iii. Institutional Framework The CED institutional framework is currently capable of supporting establishing IBMS in Swaziland following the ongoing institutional reforms since 2011. The structure of the CED is flat-organised in three levels:

Headquarter Level:- Commissioner General, Commissioner & Directors of CED Regional Level:- Regional Managers overseeing other smaller Customs border

posts Local Level:- Managers/Supervisors for inland ports and border posts

Currently, the CED is structured into four directorates:- Operational Policy, Inland Operation, Border Operations and Legislative

The Department performs key functions below at thirteen BCP for the country's development including: To collect the revenues due - Enforcement of controls to protect society Prohibitions, restrictions and regulatory (for example, narcotics, unlicensed medicines,

arms and ammunitions, pornography etc.)

4 Both Commissioner General and Commissioner Customs confirmed, through interviews, having made great

strides in the SRA necessary legal reforms which drafts were forwarded through the relevant Ministry for consideration by His Majesty Parliament. It is expected that the drafts laws will incorporate relevant IBMS provisions for attachment as addendums since submission then was done prior to the IBMS envisioned project.

To identify and interdict illegitimate trade (for example counterfeit or substandard goods; trade in endangered species - CITES obligations)

Collection of trade statistics Trade facilitation

CED Administration is actively retooling its human resources to enhance its managerial capabilities at managers and supervisors levels. The on-going capacity building measures generally were not yet fully aligned and focused to an IBMS environment.

Salaries and allowances of the CED staff were said to be short of the market competitive salary scales at home and in the region with regard to IBMS requirements. If the salary disparities obtains, due diligence must be done to address them before the project.

The CED may need to request for more investment and other operational funds for piloting and into future border modernization initiatives for establishment of IBMS.

iv. Procedures The current of CED procedures are still under-going process reviews cannot support the immediate establishment of IBMS. However they can enhance the pilot phase of IBMS. The good news is that CED5 has engaged an international consultant to re-engineer and

map their business processes suitable to support IBMS and ready the department to interface with other agencies after going through a similar business process re-engineering (BPR). Further Action Needed;

Urgent completion of process reviews by the consultant to pave way for piloting IBMS. It is anticipated that the completion and roll-out of BPR will greatly simplify and standardize

the procedures at border control points which will minimize current clearance challenges related to trade facilitation.

Simplification of procedures in order to increase efficiency and effectiveness is one of the key modernization objectives of CED to prepare for IBMS. The modernization projects related to procedures are urgent needed to support holistically IBMS pillars. These include; upgrading of the current ASYCUDA++ to ASYCUDA World version, introduction and piloting of AEO, PCA, Risk Management System, Trade Portal/Single Window, OSBP, etc.

At the moment, CED border posts lack standardization in the implementation of existing procedures. In this regard, development of provisional or draft SOPs guidelines for use under these circumstances must be sent to all the border control posts.

v. Human Resources and Training The current human resource staff deployed at the three BCPs of Ngwenya, Lavumisa and Lomahasha was found not to be knowledgeable and equipped with IBMS practices and principles. The supervisory levels had some knowledge but no practice. Effective border management and control can only be realised through improvement of

infrastructure and a well-trained and professional staff. Several training funded-initiatives have been introduced in different management fields

mainly targeting managers and supervisory levels. Training is further scheduled for all other CED staff including attachments with SARS.

5 Whereas the overall objective of this consultancy is to assess other border and government agencies’ systems capabilities to

interface with the Customs system, the findings credits CED on huge strides to run the IBMS pilot with regard to institutional framework, communication & information exchange and infrastructure/equipment. CED is still limited on readiness and capability, to a greater extent, to interface with other agencies on legislative framework, procedures and human resources. Overall score is 50:50 interface capabilities with BGAs on IBM pillars.

Overall CED has ambitious and futuristic training programs that will enable it position itself to permanently maintain a cadre of well-trained specialists and professionals. A bonus system has been introduced to motivate staff based on appraised work results.

Currently, there is no training delivered to encourage collaboration within and between other structures of the SRA in the framework of IBMS. Further Action Needed;

The current training strategy should incorporate IBMS related training programmes Training of all SRA staff to include both strategic and operations levels must begin. There is a need to develop new initiatives where other SRA departmental staff benefits in

the joint training programs with CED. vi. Communication and Exchange of Information CED is fairly networked and interconnected between its headquarters and the three border posts and inland ports, making it averagely ready to participate in the piloting IBMS. Some BCPs were found inadequately facilitated with communication infrastructure.

Managers and some Supervisors were given mobile phones with loaded airtime. However, operational staff in all the border posts is not.

The communication is done in a horizontal way among Directorates, Regions and border stations of the same level. In this type of communication the current practice of sending electronic message copies using Outlook internet platform to direct supervisors and managers has provided satisfactory results. Further Action Needed;

It is necessary to create conditions that encourage the periodic sharing of information with the Public Relations and the Risk Analysis Units to border staff and stakeholders. Until now this has been regulated by electronic, internal correspondences and notices.

Motivational information exchange could become more efficient by improving regular visits and teambuilding sessions with the CED Commissioner & Headquarter staff, as well as inter-regional exchanges including sports, games and other wellness activities.

More is needed to disseminate information through TV/Radio talk shows, websites, brochures, billboards, posters which inform the public/stakeholders about its rights and obligations. Such public engagement may precede IBMS pilot exercises.

Other cheaper steps should be taken towards radio and intranet/intercom communication by providing cost-effective connections throughout the border post staff/teams.

vii. Infrastructure and Equipment The existing BCP’s premises at the assessed stations of Ngwenya, Lavumisa and Lomahasha are owned by Government of the Kingdom of Swaziland. The inland ports were owned by the hosting agencies which are both government (SR & SWACAA) and private (AGOA) Only Lavumisa provided a state-of-art office and well-furnished premises suitable to

accommodate IBMS intra-serviced CED. There was adequate furniture and office equipment in all visited sites to support staff/clients sitting arrangements and business transactions. Further Action Needed;

The physical infrastructure and office facilities of the other two border posts (Ngwenya & Lomahasha) do not adequately facilitate cooperation and this should be taken into consideration when re-modeling and renovating their premises layout for future IBMS pilot implementation.

There is a need to draft a realistic investment plan in order to ensure that proper infrastructure and equipment are available, supportive of IBMS pillars in the joint-sharing

arrangement. These plans should be drafted for the BCPs to include staff quarters, lighting system, scanners (goods/smart-body), X-ray machines, CCTV surveillance cameras/circuits, E-gates, examination sheds and designated parking areas.

As regards the ASYCUDA++ system, the CED is planning to upgrade to ASYCUDA World version. It is web-based platform and planned for roll-out by end of 2014. The latest versions have capabilities of hosting intelligent system platforms including Single Window.

CED should maintain the momentum of providing for modern equipment and facilities that support border cooperation to a satisfactory level within its all border posts and subsequently to other agencies.

6.2.1.3. Immigration Department i. Current Situation The Ministry of Home Affairs (MOHA) and Immigration in the Kingdom of Swaziland is custodian, protector and verifier of the identity and status of citizens and other persons resident in the Kingdom. This makes it possible for people to realize their rights and access benefits and opportunities in both the public and private domains. It should also be noted that the MOHA directly controls, regulates and facilitates immigration and the movement of persons through the Kingdom’s formal ports of entry. During the interview with senior management at their head office – Mbabane, it emerged that most of the border crossings are supervised under delegated authority from the Immigration department. There are eight border posts superintended by RSP, two said to be manned from MOHA offices; and two borders are directly supervised by Immigration department: - Ngwenya and Lavumisa. Other immigration similar border services are directly managed at the headquarters. The result from the respondents in figure 26 attests to the reality of being not prepared for IBMS. The Immigration senior management expressed a high and positive attitude to supporting any future plans and project for establishing IBMS. Fig 26: IMMIGRATION DEPARTMENT – Results from Respondents


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6 The rest of the respondents results other border agencies (NAM Board, Diary Board/Vet, Anti-Car Theft, Army,

Health) were similar to Immigration with the current status below 1 in real figures.

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Immigration Department - Results from Respondents on Readiness to establish IBMS in Swaziland

Immigration Department

ii. Legal and regulatory framework The laws on Immigration do not have an article on intra-service cooperation. A scan in the legal area, have shown that the legislation was last drafted and amended in 1982. There are a number of gaps in the legislation that are out of date and inconsistent with the current modern border management trends here and in the region. The Acting Chief Immigration Officer brought it out correctly, “The Immigration legislation was last amended in 1982. It outdated to meet and match with our current times and best practice of border clearance of people”. Further Action Needed; There is urgency to change and/or amend legal provisions to address huge gaps, as well as

to draft new laws, inconsistent with the modern cross-border trade facilitation regimes including IBMS; and border modern management practices.

Specifically, it is necessary to update internal civil service orders to regulate cooperation, exchange of information, joint operations, training and use of infrastructure and equipment.

iii. Institutional Framework The current structure of the Immigration department does not ensure proper intra-service border management of the human, financial and logistical resources as well as the required cooperation within its ranks and with other MOHA structures. As mentioned earlier in the Royal Swaziland Police wishes to hand-over to Immigration the earlier delegated authority and overseer responsibilities on the eight border posts. According to the Ag CIO, “Immigration department is not prepared to assume its mandate role due to absence of resource readiness including personnel, facilities/equipment and funds. At the moment Immigration has less or no direct presence at about eight strategic entry and exit border posts partly due to limited resources in all aspects”. The ten border posts are supervised directly under Ministry of Home Affairs and Royal Swaziland Police. Ag CIO further attributed corruption amongst the border personnel “to be going high and is attributed to lack of direct supervision, low salaries and porous/manual borders”. Further Action Needed; Urgent need to formally regularize and reorganize the Immigration, RSP and MOHA

structures into an integrated and operationally efficient border structures. Immediate resource allocation to aid decentralized services and placement of personnel

from head office to all entry/exit border post offices. Commence organizational re-structuring to allow effective implementation performance

tasks that support intra-service cooperation and communication. Review policy measure on corruption to revert directly under the IBMS-CWG structure for

sanctioning errant immigration officers. iv. Procedures The Ag CIO pointed out that “the currently procedures carried out at the border by the officials have never been reviewed nor re-engineered. IOM once sponsored the department on the one-off capacity building and training session on integrated border management procedures in 2011”. Further Action needed was provided by CIO; “The procedures on borders are based on control rather modern management; and must be

immediately reviewed and adapted to best practice”,

“A manual of Standard Operating Procedures (SOPs) has never been developed. She contends to the urgent need for the development of SOPs and share it amongst staff”,

SOP will provide for the necessary guidance to carry out tasks in an efficient, unified and professional manner at all levels and improve the cooperation within the department; and between the Immigration and other MOHA structures, thus avoiding duplication of tasks.

v. Human resources and training Save for the one-off short-term training that was conducted by the International for Immigration, two years ago, no in-house training has been done according to the Ag CIO. The Immigration department does not manage human resources and training of its personnel. The current situation is not in compliance with IBM intra-service standards. Currently, no training to enhance cooperation within Immigration and between Immigration and other structures of the MOHA exists. Some joint training has occurred once between Interpol, immigration and police. There is a skewed training that emphasizes more on the lower cadres and less or no refresher courses and training to middle and senior management. Further Action Needed; Any future training should consider all levels of management and supervision Training programmes should be coordinated in such a way that it cooperates with the border

agencies as a joint effort rather than standalone training interventions. The training plans should be developed taking into consideration cooperation between

internal Immigration and other MOHA structures. For instance, RSP has a fully-fledged training academy which would be available and shared for capacity building support. However, there is little or no direct structural cooperation between the two intra-service agencies in MOHA.

vi. Communication and exchange of information It was established during the interview with the Ag CIO, which eight of the borders are still operating under inadequate and manual facilities. Data extraction and information from border stations such as Bulembu, Gege, Lundzi and similar offices, is still difficult and cumbersome to timely transmit to other government agencies especially Statistic Office. In the border stations that are fairly facilitated and structured such as Ngwenya, Lavumisa. Lomahasha, “we are able to share and exchange data and information with others at ease and with speed for instance, tourism and customs” said the CIO. Intra-service information communication and exchange for example within the ministry of home affairs and police is unfortunately still low and slow. Further Action Needed; She went on further to express lack of communication among the top-level principals and suggested a top-level forum, “We need to start communicating with each other at the top level. We hardly have the

meeting to discuss matter pertaining to border critical matters. It is important that we establish discussion forum at the top”.

vii. IT systems The information from Ag CIO, the current eight border posts performing and offering Immigration services under RSP are not automated. The Immigration offices are not interlinked and interconnected between the headquarters IT system support and the border posts. Further Action Needed;

The integrated border management IT system is recommended for immediate installation of Immigration systems such Immigration itself, visa system and asylum system.

The installed system must supports the whole immigration process from pre-warnings, presentations at the border gate, capturing all supporting documentation, authorization and entry clearance or refusal, stay of the person to the exit from country.

The IBMS oriented system supports travel and identity document verification functions including special features verification and document verification database, scanning and managing all information linked to the immigration case.

Such a system would be able to track all arrivals and exits of people in/from Swaziland with all required information details.

The system also provides all necessary supportive policy and other information for immigration decisions (e.g. black lists, lists of people overstaying in the country etc.).

The system also provides the capabilities of linking information from consecutive visits of the same person.

It must also support the tracking of relationships between immigrants (e.g. family relationships, tourist groups etc.).

viii. Infrastructure and equipment The clarity that SRA-Customs will take charge the border facilities has come as a huge relief to Immigration and perhaps other border agencies with less or no resources. It critical though that Customs is equally enabled by Government and external assistance through legal and resource support to rise to the challenge of refurbishing and modernizing the border infrastructure and facilities. The good news is that the recently renovated facilities are being shared proportionately by Customs with Immigration and other agencies. This was evident at Lavumisa, Ngwenya and Lomahasha border stations where the infrastructure and buildings are jointly occupied and shared. At the moment there is still some challenge of maintenance costs. In Lomahasha at the time of this study, the storm had disrupted the station facilities, Immigration/Police has not made some repairs of their allocated areas, but CED has. The Ag CIO expressed inability to extend some internet and automation capabilities available at the head office to major border posts mainly due to lack of trained staff, adequate computers & furniture, dilapidated and old premises. Further Action Needed; In the meantime, it will be necessary to ensure the proper maintenance for existing

equipment and other available facilities that are in joint-use with Customs. Any future equipment needs analysis should take into account the available equipment but

also the latest modern tools available on the market for effective support to excellent service delivery standards at the border.

Any common usage of border post infrastructure, facilities, equipment should be established through the issuance of service level agreements between Customs as gradual recognized lead-agency with the rest.

6.2.1.4. Ministry of Defense (Umbutfo Swaziland Defense Forces - USDF)

Ngwenya border has the Army active presence in the border activities and operations. The Army was found to be active and well represented to engage and participate in joint border management committee meetings between Swaziland and South African. The Army representative indicated readiness to support efforts of establishing IBMS within the confines of JBMC. The following brief came out of the discourse during the assessment. The Army

conducts surveillance of borderlines between the Kingdom of Swaziland and the neighboring countries of South Africa and Mozambique. The Army with regard to border controls comes in to; Prevents illegal crossing of state border out of defined border crossing points; Guaranties life and property of citizens living and exercising activity near and within the

borderline; Prevents border incidents and provocations; Controls and provides surveillance of the Kingdom of Swaziland; Organizes and participates in the operations of support to the national security forces as

regards the securing of the national borders and in asymmetric threats

Further Action Needed The support and cooperation with other border agency structures involved in the envisaged

IBMS should develop in accordance with its reviewed laws and legislation. All the border reviews and reforms should comply and align themselves to the supporting

role which is based on the Army’s strategic defense overview and the commitment to the development of the system of defense and integrity of national borders, all of which must be rooted and defined in the Constitution.

6.2.1.5. National Agriculture Marketing Board i. Current Situation During assessment visits to the three borders, the staff presented themselves as agricultural officials. National Agricultural Marketing (NAM) Board facilitates in the agricultural production, processing, storage, transportation, distribution and sale of both baby and conventional vegetables. NAM Board purpose is to simulate local production by providing technical service and the marketing of agricultural produce in the country, and particularly to support the small farmer. The parent Ministry of Agriculture supervises and guides NAM at national policy framework. The agency is mandated to collect fees on the permits issued by the board. ii. Legal and regulatory framework In terms of the National Agricultural Marketing Board Act of parliament No. 13 of 1985, the Board according to sections 6(a) and 6(d) respectively require: Any person wishing to engage or who is engaged in importing and obtain and exporting

scheduled products to register with and obtain a permit from the Board From any person information relating to source, type grade, quality and price of scheduled

products. This legislation determined the organizational structure as well as the duties and main technical responsibilities of NAM Board structures at all levels. The NAM Board Act is standalone with regard to IBMS pillars and does not have special articles for intra-service cooperation within the Ministry of Agriculture. Further Action Needed; There is need to cause amendments to provide provisions that regulate border cooperation

issues within the MOA and other border agencies. In order to implement the requirements of IBMS, it is indispensable to update main Act and

the present MOU complement it with relevant detailed by-laws mandating necessary cooperation in the three levels related to communication and exchange of information in NAM Board activity.

iii. Institutional Framework The NAM Board needs consider the process of reorganization. The general objective in this would be to improve the intra-service cooperation between the structures of the NAM Board in the horizontal and vertical plan by fulfilling the all-round needs of their internal service delivery (i.e., offices, necessary inspection areas, standardizing procedures, equipment, staff training, etc.) in all levels (central, regional and BCP). This will enable a faster and efficient control, taking preliminary measures to prevent entry and spread of harmful organisms for plant and plant products and to eliminate unnecessary obstacles in their circulation in the national and international market. The existing MOU between CED and NAM Board is specific to working relationship regarding operations. It is necessary to revise the MOU which will encapsulate cooperation agreement and arrangements commensurate with IBMS environment. iv. Procedures The general procedures related to plant health, plant products and other objects of inspection performed by NAM Board BCP inspectors are policy regulated through Ministry of Agriculture. In order to realize a fast and qualitative NAM Board control for intra-service activities, it is necessary to implement standardized and clear procedures. For this purpose, apart from the review and update of existing legal norms for the procedures, inspectors’ manuals should be drafted in order to describe the detailed procedures for NAM Board inspection based. There are should be a deliberate program plans to re-draft these process and procedural manuals with detailed descriptions for all their inspection procedures. Apart from drafting the manuals, implementation of the procedures cannot be realised without creating the necessary capacities for the NAM Board agency. v. Human resources and training Currently, there is no official training program for the inspectors of the NAM Board related to IBMS. Nevertheless, the NAM Board administration organizes periodic meetings with the regional

inspectors and BCPs officials where experiences are exchanged. Regarding the qualification of the Phytosanitary inspectors related to the performance of

controls on plants and plant products in the internal and international market, it is necessary to implement a regular training system in accordance with determined plans and programs.

The objective is the development of train of trainers program during which a certain number of inspectors shall be qualified to train the other inspectors of the PS unit.

Training manuals should be drafted in order to ensure quality and uniformity in performing duties. Any training developed should include information on the responsibilities within the agency and those related to other agencies.

vi. Communication and exchange of information Communication within the NAM Board service follows the organizational structure of this service and is based on its internal policy statements and instructions. Communication between the headquarters, regional, BCP levels is realised mainly via

correspondences, notices and telephone through the office of the CEO. However, this communication is absent between the structures of the NAM Board and MoA at regional and local level (BCP). Exchange of periodic information is realized mainly via mail. This level of communication and exchange of information cannot ensure an efficient cooperation within the intra-service of the agency.

Lack of communication equipment and especially of the technology of information represents an obstacle to fast and efficient communication, or information exchange between border inspection posts, Ministry and other relevant services in the plant protection field.

Currently, there is no IT system for the NAM Board and MoA border inspectors. As a result, there is a need to analyze the organizational needs related to IT systems.

It is also necessary to harmonize rules for communication and exchange of information to national and regional standards and their description in manuals for their border inspectors.

vii. Infrastructure and Equipment The majority of existing premises are either temporary structures or uniports and do not facilitate border cooperation. Any future planned construction of new premises should take into account the joint-sharing

with Customs that is soon taking custody of the border post facilities. Ensuring appropriate equipment starting from the office where this equipment should be

placed will significantly improve communication and exchange of information among all relevant subjects.

The BCPs that have the highest volumes of traffic should be subject to investments for the improvement and strengthening of NAM Board inspection capability in compliance with regional and international standards.

6.2.1.6. Veterinary Inspectorate The main role of veterinary inspection at the border is to control international and regional trade of livestock, bio-products, products and sub-products of animal origin, in order to protect the general public as well as animal health. i. Current Situation

The current situation of the border veterinary service and inspectorate, despite recent updates is still not yet at the required standard because its structure has never been well organised between the Ministry of Agriculture and border services. Logistics and financial support has been inadequate resulting in ineffective service. Exchange of information is not timely and in many instances incomplete. This is because the current organization has many obstacles that delay providing and transmitting information. ii. Legal and Regulatory Framework Based on the law “On Veterinary Service and Inspectorate” no. 9308, dated 04.11.2004, as well as on by-laws, regulations, ministerial orders and BCP manuals, the Veterinary Directorate in the Ministry of Agriculture is the central authority that is responsible for the veterinary activity throughout the Kingdom of Swaziland. In the above mentioned law no specific article exists to regulate directly intra-service cooperation. Nevertheless, intra-service cooperation is regulated through regulations which describe

everyday activities as well as actions that should be undertaken in specific cases in central, regional and local level.

In order to ensure internal cooperation and coordination of the Veterinary service it is necessary to adopt and implement new regulations and to issue new orders and instructions. Existing international veterinary agreements should be reviewed, signed and new agreements ratified as necessary.

iii. Institutional framework Veterinary Inspection is a part of the unit in the Veterinary Directorate within the Ministry of Agriculture. At a regional level the veterinary chief-inspectors are within the Regional Directorates of Agriculture and have the border veterinary inspector subordinated to them. It is important to mention that there is no direct command and control from the veterinary

Directorate of the Ministry of Agriculture over the Regional Inspection structures of the BCPs. For this reason, information and orders do not go directly from the structure at a central level to the regional and local ones.

The organization and allocation of the budget, legal gaps and necessary procedures for the efficient allocation of it, exacerbates the lack of appropriate financing for the veterinary inspectorate at all three levels and negatively affects its development.

Within this framework, a review shall be undertaken on the manner and use of budget resources in order to ensure restructuring and efficiency commensurate for establishing IBMS.

This will be supported by drafting acts and regulations that shall ensure distribution and efficient use of the budget.

iv. Procedures Currently, the procedures employed at the borders by the border veterinary inspectorate are based on cooperation acts of intra-service. The day to day activities have shown gaps in the cooperation procedures in the two levels of the organization, MOA headquarter and local levels. In this framework procedures should be prepared and regulations and other bylaws should

be drafted in order to improve cooperation. Once the responsibilities of different agencies operating at the border shall be divided, more

simplified procedures of the border veterinary inspectorate should be drafted based upon a situational analysis to suit the IBMS environment.

Border veterinary control and inspection procedures should be reviewed for consistency and compliance with IBMS requirements that will enable it to interface with Customs.

A manual should be prepared and updated with standard procedures for the border veterinary inspectorate. This would give personnel at all levels the necessary instructions to perform their duties in a unified and professional manner.

v. Human resources and training The Border veterinary inspection and service exercises duties provided for by law in 3 BCPs. Human resources and training of the border veterinary inspectorate has never received any

refresher courses or additional training. The current situation in veterinary services is not in compliance with IBMS requirements. Training should be organised by the Veterinary Directorate close to the Ministry of

Agriculture, to include basic and specialized retraining in compliance with IBMS requirements.

Once duties are assigned, the veterinary inspectors should receive refresher training in order to maintain a high scale of professionalism.

vi. Communication and exchange of information Currently, the border veterinary inspectorate does not possess a communication and information system which would enable communication at vertical - MOA and horizontal- other offices at other border posts. The same happens for exchange of data and information.

Regarding the monitoring of transit cargo, the information system should enable the border inspection post in entrance to warn the border inspection post at exit.

It is important that the veterinary directorate creates guidelines or manuals for communication and exchange of information among structures.

Currently, there is no electronic communication system between the structures of veterinary inspection.

vii. Infrastructure and equipment Currently, no BCPs in Swaziland have adequate facilities for the performance of veterinary inspection services. At Lomahasha border for instance, the veterinary inspection officer revealed challenges in acquiring vaccination drugs, tools and equipment from the center. It is not easy to detect epidemic of infectious and contagious out-breaks in livestock. This situation has brought about huge gaps in border veterinary inspection capability. The responsible unit for the management and organization of veterinary inspection is incapacitated due to lack of resource support from head office to mitigate the existing gaps and challenges. 6.2.2. Inter-Agency Cooperation

The study assessed to establish whether inter-service cooperation exists within every agency operating at all the three borders of Ngwenya, Lavumisa, Lomahasha and Matsapha ICD: RSP/Security, SRA – Customs, Immigration, Agriculture – NAM Board and Veterinary inspection. In order to ascertain the current status under the pillar of inter-agency legal, institutions, procedures, personnel, communications and infrastructure, the respondents were answering to, “does your agency have the capability of interaction with all of the involved agencies to cooperate, share information and coordinate their work while fulfilling your mandate?”. The result follows in figure 27 below. Fig 27: INTRA-SERVICE COOPERATION –Aggregate Response Results

Source: Primary Data

6.2.2.1. Legal and Regulatory framework

At intra-agency level, enabling and operational legal mechanisms containing elaborative cooperation modalities that are supportive to IBMS environment are still limited to say the least, between border agencies. As pointed out earlier on, the existing inter-agency MOU’s were drafted based on targeted and specific cooperation arrangements and were limited to include border management principles as detailed by IBM inter-agency pillar. Take for instance the MOU entered into and between RSP and SRA and DPP represented by Commissioner of Police, Commissioner General and Director respectively. It attempts to address aspects of working relationship with regard to the contravention of any revenue laws. Quote, “That the purpose of this MOU is to establish, encourage and strengthen a unified working relationship between the parties in regard to the parties operations and ensure that the relationship remains a collective working relationship when it comes to the detention, seizure, investigation, arrest and prosecution of offenders who contravene any Revenue laws or such other laws as may be applicable in any given case”. During an interview with the Commissioner of Police, he said “From what IBMS is and intends to do, in effect the MOU does not render and offer cooperation agreement holistic to IBMS environment amongst the two agencies – Customs, DDP and RSP. It is narrowed to enforcement activities and prevention of cross-border crime between the two agencies”. (see appendix 1) Further Action Needed;

A basic legal framework related to interagency cooperation is developed so that clear definition of respective tasks and competencies of individual agencies are provided.

In order to carry out the above recommendation it is necessary to analyze and harmonize laws, subsidiary laws and agreements with IBMS concept requirements, aiming to ensure facilitation of cooperation among agencies at all levels, unification of control at the borders and including at least, the following issues:

Clear allocation of responsibilities;

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NGWENYA LAVUMISA LOMAHASHA

INTRA-SERVICE COOPERATION -Agencies Respondents on Establishing IBMS in Swaziland

Immigration 1

Police 2

NAM Board 3

Army 4

Health 5

Customs 6

Security 7

Diary Board/Vet 8

ACT-RSP 9

Simplification and harmonisation of procedures; Joint activities and controls; Information and data exchange; Joint use of premises and equipment; Joint training activities; Joint contingency and emergency plans; and Handling confiscated goods.

The initiative at Ngwenya BCP of establishing a framework of cross-border cooperation

using JBMC through an added agreement arrangement is a laudable tool to support the foundation to initiate a process of inter-agency process cooperation. Other border posts are encouraged to plan to replicate a similar cooperation initiative.

In order to improve the efficiency of border procedures, existing interagency agreements must be reviewed for compliance with the SADC -CBM and AU IBM standards. New agreements must be developed, approved and implemented. All existing and new agreements must clearly determine and formalize competencies and fields of operational responsibility at the border.

6.2.2.2. Institutional Framework

For the purpose of future establishment of IBMS in Swaziland, a coordinating working group7 (CWG) must be set up to monitor and facilitate cooperation among agencies responsible for border management. It is recommended thus; The aim of the CWG, at this moment, should be to study the outcome of the feasibility study

on establishment of IBMS and map-out the next course of action, improve communication among the participating agencies in border management to start an engagement forum on IBMS next steps of action, and to ensure coordination in terms of the development of new ideas, activities and infrastructure.

The CWG must have clear terms of reference and be of a sufficiently senior and executive level to allow for proper decision making authority going forward.

Concrete tasks of the CWG could, among other things, include the following: Ensure that agencies organize regular contacts/meetings at the headquarters levels with

heads of border agencies and relevant government Ministries/Departments the aim to solve current border challenges, agree to establish continuous improvements and value-additions to the trade facilitation activities, provide mutual assistance for the accomplishment of tasks and carrying out joint actions;

Ensure that the process of reforms on relevant legislation, institutional framework, procedures, infrastructures/equipment needs, communication and exchange information/data of mutual interest for agencies responsible for border management is started and progressed.

Ensure that political support sought earnestly; and budgeting planning and resource mobilization is done

6.2.2.3. Procedures Once the development of an appropriate legal framework above is established (for a proper IBM system), all authorities involved in border issues need to cooperate closely at all levels by

7 The previous TRS Working Group could form a foundation to kick-start the initial discussions amongst all the

relevant border and government agencies; upon which an agreed coordinating structure can be agreed-upon or decide to approve/modify the existing one.

following clear and aligned procedures. Analysis of current procedures8 at three border posts led to the development of prototype IBMS business processes and procedures. We suggest that; Standardization and unification of procedures is carried out in accordance with the

competencies provided for by reviewed laws. The SOP manual should be prepared to describe procedures and order of actions in

accordance to the nature of the BCP, border type and establishment of mobile joint groups. The CWG should take responsibility for coordinating the activities of agencies involved in

IBM, both in central and local level. Joint actions, based on risk analysis, should be organised and implemented, with the aim of

achieving results in the fight against cross-border crime and illegal activities. Information obtained from risk analysis systems could serve as a basis for selective controls.

Joint emergency plans should be drafted and continuously updated (on all forms of terrorism, epidemics, etc.).

The proper conditions to achieve qualitative controls and implementation of respective agency regulations must be established.

6.2.2.4. Human Resources and Training

All relevant agencies that participated in the study indicated total absence of any organized training activities based on IBM pillar - inter-agency concept. What should be done? Reciprocal and joint training would, in the circumstances, be provided by all training service

centers to establish a sound basis for general knowledge about the border management. All participating border security and control agencies shall cooperate and coordinate

activities related to human resources and in particular: To select proper personnel based on transparent and sound selection process with

clear criteria Joint training curriculum and joint training activities Joint training center Joint advanced trainings Joint periodical professional performance test Transparent appraisal and carrier system

Once that selection and training of the personnel is correctly accomplished, the management of IBM agencies shall be able to plan, organize, motivate and control human resource management system across all pillars of IBM (intra-service, inter-agency and international).

6.2.2.5. Communication and Exchange of Information

A regular exchange of information (to include day to day cooperation at BCPs) is non-existent save for specific circumstances provided in the MOU’s between CED and a few agencies. In the interest of preparing for the IBMS environment, the following is recommended; Success of agencies operating at the borders crossing posts must depend on the quality

and quantity of information exchanged and on the way this information is analyzed. All agencies involved must determine the information due to be exchanged, modality of

exchange and time. All exchanged data/information among agencies must be compliant with the legislation on

data protection and with international obligations.

8 Inter-agency procedures were developed and mapped in section seven to reflect the relationships and interface

with customs and excise department.

The other form of communication prevailing was accomplished through the informal contacts and regular briefings/meetings at all levels.

All agencies should publish requirements and restrictions relating to crossing the border legally. Information relating to border crossing requirements should always be available to the public and stakeholders through booklets/fliers, bill-boards, web-sites, etc.

6.2.2.6. Information Technology Systems

Currently, there is no information system to enable communication among agencies involved in border management. As a consequence, every agency possesses its own system of internal communication. The CED possesses an internal communication system using Internet Outlook platform that is installed in 3 Customs border posts and interconnected with headquarters. Other agencies do not possess any IT and internal communication system. Information collection is carried out through forms, correspondences and verbal communication. It is recommended that; All efforts should be done to share current systems and those systems due to be built in the

future, so as to achieve an efficient and less expensive exchange. All necessary measures must be taken to install IT systems and shared amongst all

agencies in the border post. 6.2.2.7. Infrastructure and Equipment

Prior to designation of the border post new facilities and buildings, or reconstruction of the existing ones at the three, the implementing body – Ministry of Public Works never consulted agencies participating in the border control. It was noted for instance that Lavumisa BCP, was designed and constructed by the Ministry of Public Works and Infrastructure without any participation of relevant border stakeholders. We therefore recommend that; BCPs must be built and equipped in accordance with cooperation and coordination

standards to facilitate border passengers, traffic flows and proper checks. There should be adequate and standardized facilities for the activity of all agencies working

at the BCPs in accordance with the requirements IBMS environment. Furthermore, it is necessary to define standards and enable common use of technical

equipment while carrying out border checks efficiently. Besides common use of technical equipment, agencies should aim at a common usage of

defined premises, with the purpose of improving efficiency and reducing costs. Lack of financial resources was the main reason offered by station managers for the poor

development of most of the border posts’ infrastructure in Swaziland. Save for the three BCPs under study which were said to have better infrastructure and equipment compared with other BCPs which are in dire need of reconstruction and face-lift.

Most of the existing infrastructure relating to facilitating transportation does not support IBMS environment (e.g., separation of traffic, division of border-check areas, placing of signs in the BCPs, etc.). Phased-up reconstruction and upgrading projects are attractive to fund.


i. Current national status

The study assessed to establish whether regional and international cooperation exists within every agency operating at all the three borders of Ngwenya, Lavumisa, Lomahasha and Matsapha ICD: RSP, SRA – Customs, Immigration, Agriculture – NAM Board and Veterinary inspection.

Swaziland was found to have ratified and she is signatory to the various international conventions and regional instruments on Customs, Immigration, Police matters but have not domesticated them for operationalization (Appendix 5). Instead the national legislation has remained the principle law applicable. International cooperation is a corner-stone for quick gains if the host of international/regional legal documents and regime above is domesticated to warrant appropriate application. Respondents were answering to, “Does your agency have capabilities to enable cooperation take place at central level (between ministries or agencies), regional level (between regional offices) and local level, involving BCPs on both sides of the border?” 6.2.3.1. Royal Swaziland Police and Migration Department

These two agencies have been combined due to their complementary roles and activities they render to each other. They belong to the same institution-MOHA; and are affecting the same. i. Legal and regulatory framework Royal Swaziland Police and Immigration are party to a number of international agreements that represent the legal framework for international cooperation, readmission, opening of BCPs, facilitating local border traffic, cross-border cooperation and fighting against cross-border crime. Swaziland has signed bilateral agreements with all the neighbouring countries: Agreements with Mozambique and South Africa on cross-border police cooperation; fight

against crime; procedures of road and railway traffic; border traffic; Swaziland has readmission agreements with all SADC and COMESA countries. Furthermore, agreements were reached with local institutions on exchange of information and cooperation on anti-corruption as well ii. Institutional Framework Activity and working methodology of MOHA structures involved in information collection and

processing should be fitted to the operational needs of international police cooperation. Information exchange procedures should be in compliance with SADC -CBM guidelines and

good practices of other countries. Internal regulations on the functioning of border services should contain and reflect

international standards of information exchange, while considering safety measures and the aim to improve time of reaction.

The organization and performance of joint patrolling services along the green border should be started to ensure a more efficient use of police forces and equipment so that a higher effectiveness in border control may be realized. Joint patrols should be extended and institutionalised based on mutual experiences of this kind.

The IBMS should draft joint plans for emergency situations and natural disasters with neighbouring countries.

In cases (based upon a risk analysis) when a neighbouring country is facing similar problems and as a consequence is interested in joint actions; meetings can be organised to discuss planning and implementing these actions.

iii. Procedures Border joint controls should be accelerated by establishing one stop principle controls with

neighbouring countries wherever possible. Joint controls with Mozambique and South Africa

can range from general border controls, one-stop control, patrols, searches, forensic examination, to surveillance and special operations.

RSP representatives of all border control posts should regularly be enable to take part in meetings of relevant regional or international organisations or forums, such as Interpol, the United Nations Office on Drugs and Crime (UNODC), UNHCR, the International Organization for Migration (IOM), the WCO, the OIE

iv. Human Resources and Training Potential candidates for the IBMS training must be selected, in order to allow

professionalism and skillfulness at the required levels, as a precondition of having a positive effect on cross-border and international cooperation.

Joint training should be determined through standard curricula in order to ensure a high level of professionalism and awareness on the importance of international cooperation.

Furthermore, special manuals for field training on cross border and international cooperation and exchange of information should be drafted; referring to SADC good practices.

Introduction of language courses and joint training activities with other countries will further facilitate cross-border cooperation.

Representatives of border agencies shall continue to participate and contribute to international conferences and forums.

v. Communication and information exchange Regarding information exchange, meetings with counterpart agencies at the regional level

should take place. Such meetings will facilitate implementation of agreements and will increase cross-border

cooperation. The IBMS project should enable data exchange of risk analysis information with South

Africa and Mozambique; and introduce an early warning system, in order to anticipate and effectively fight new forms of crime and illegal immigration.

The need to assign additional liaison officers with other countries should be taken into consideration.

Wherever exchange of information is based on personal contacts this should be institutionalised.

Airline operators should provide advanced passengers information (API) electronically. Connection with international systems of exchange of information should be established. Where these connections currently exist they should be strengthened especially in the case

of the UDSF, INTERPOLs, automatic research unit, and databases of stolen travel documents and databases of stolen vehicles.

vi. IT Systems In order to facilitate a direct exchange of information between neighbouring BCPs, special

telephone communication systems, which are currently nonexistent, should be installed. This type of communication system will improve information exchange with the Mozambique

and South Africa; and also help to better manage situations occurring at the BCPs. This will also contribute to a reduction of communication costs, since direct lines will avoid

communication through national telecom operators in the international network of the neighbouring country and also will increase network stability and its safety.

Use of Internet telephone applications should also be explored. A definition of the type of information to be exchanged at the BCP and assignment of persons involved is indispensable. Data protection measures should always be taken into consideration.

vii. Infrastructure and Equipment While planning the construction of new BCPs, the possibility of building joint facilities with

Mozambique and South Africa must be considered. It would be advisable that facilities in the BCP be according to the SADC -CBM guidelines

and should be defined through joint agreements. Planning to introduce stringent biometric identification and technology with fingerprint sensor

accuracy for both Immigration and security officials for effective risk profiling wrong elements crossing borders.

6.2.3.2. Customs & Excise Department

Putting an emphasis to international cooperation in the field of CED will contribute towards the improvement of the CED system, strengthen competitiveness of the national economy, and will provide a precondition for a sound system capability with other border agencies. i. Legal and regulatory framework CED would comfortably apply some of the key legal documents –customs control (see appendix 4) and use them to get going on the IBMS front. Take for instance the International Convention on Mutual Administrative Assistance in Customs Matters- commonly referred to as the Johannesburg Convention. It provides for the legal basis for internal cooperation between customs administrations. CED would be in a position to a safe position cooperate and coordinate bi-laterally with Mozambique and South Africa without any legal national recourse. Then there is International Convention on Mutual Administrative Assistance for the Prevention, Investigation & Repression of Customs Offences – commonly referred to as Nairobi Convention, which serves the same purpose. Customs is yet to take full advantage in the utilization of the above and many other Customs related conventions and agreements. On the regional aspect, Swaziland has not aligned her Customs Act to the SADC Model Customs Act, in spite of being a signatory to the SADC protocol, leading to disparities in customs procedures and processes across borders with South Africa and Mozambique. Then you have the regional conventions on Customs Cooperation of the SADC Protocol on Trade, signed various bilateral MOUs for cooperation on Customs matters between South African. Despite the legal cooperation instruments of SADC on the ground, hardly a good amount of exchanges of information, joint investigations and other actions have taken place. The explanation of non-application hinges on lack of legal domestication to render them applicable and enforceable. ii. Institutional Framework Intensification of cooperation with the SADC, COMESA and other international organisations dealing with international trade and CED cooperation is an objective that ensures quick and qualitative exchange of necessary information, especially regarding risk analysis. Another goal of this intensified cooperation is the efficient coordination of joint operations to prevent any form of illegal trade and other forms of cross-border crime in order to protect the financial interests and the security of Swaziland and the external SADC border. This coordination promotes operational capacities, similar to those of the SADC Member States.

Participation in international operations organized by CED administration, WCO, SACU, SADC, COMESA, WTO and other organisations keeps the CED up to date on regional and international trends. The Commissioner CED demonstrated additional international cooperation through the SRA staff attachment to WCO headquarters in Brussels -Belgium. iii. Procedures Border controls should be accelerated by establishing one stop principle controls with Mozambique and South Africa wherever possible. In light of the strong membership of Swaziland to the SADC, it is necessary to get practical to the closer cooperation with CED administrations of immediate neighbors, but also SADC countries, as well as with third countries in order to facilitate border crossings and fight against criminal activity. iv. Human Resources and Training Participation in joint training activities and workshops sponsored by the WCO, regional organizations in the Customs field as well as with other enforcement agencies are being intensified to cover border officials. At the moment, customs officials did not exhibit sufficient knowledge on IBMS pillars and their application in the border management environment. v. Communication and Information Exchange At BCPs, direct contact with South Africa and Mozambique Customs administrations and

other agencies with competencies at the border should be intensified thus achieving a better quality of information exchange as well as fostering a more rapid flow of goods and passengers.

Information on international trade, information on procedures, risk analyses, and other activities in BCPs are easily accessible to CED personnel through internet links on existing sites of other Customs administrations. Additional information can also be, accessed via networks related to the CED field and to the international transit network, etc.

Increase communication and Information exchange would also be a benefit for both freight forwarders and Customs administrations in South Africa and Mozambique since information on international forwarders would be easily accessible and clearances would thus be performed more rapidly.

Customs administrations in South Africa and Mozambique would not need to be directly contacted in instances where only basic information is required.

It would be useful to exchange Internet links with Customs administrations of South Africa and Mozambique; and also with current international systems in the Customs field to gain insight into existing databases for relevant information.

Promotion of regional initiatives in every field of Customs service would constitute a very good basis for the regional integration.

6.2.3.3. NAM Board

Improvement of working capacity and working conditions of the PS Inspection Service is sought according to IBMS standards. The purpose is to improve plant health control and plant product controls according to IBMS standards, both in the domestic, region and international commerce.

i. Legal and Regulatory Framework

No international cooperation is provided for in the NAM laws governing and regulating on plant protection services in Swaziland. The International Plant Protection Convention (IPPC) that regulates the movement of plants and plant products and their protection against harmful

organisms are not yet helpful. Recently in the field of plant protection cooperation agreements have been initiated with South Africa and Mozambique. Other cooperation agreements such Phytosanitary Convention for Africa (OAU, 13 September 1967) exist, but they are in need of domestication and review. ii. Institutional Framework Cooperation with SACU, SADC and neighbouring countries related to plant health should be intensified, by ensuring a fast exchange of necessary information, especially related to risk analysis. Another goal is efficient coordination of controls and joint operations aiming at preventing the entry and spread of harmful organisms for plants and plant products. In order to achieve regional cooperation and coordination among the SADC/COMESA countries, a regional institutional platform of border agencies should be established. iii. Procedures Procedures for the Phytosanitary inspection regarding international and cross-border cooperation should take into account of international good practices. A manual on regional cooperation system capabilities and activities should be developed to aid cross-border agency coordination. iv. Human Resources and Training Swaziland NAM inspectors should have the possibility to take part in international/regional seminars or to receive training on practical procedures/working methods of border crossing NAM Board inspectors. Joint training events, workshops and exchange programmes are a good way to learn about other Agriculture inspection services and their border administration, tasks, powers and executive practices. The introduction of language training for NAM Board inspectors would be useful. v. Communication and Information Exchange Lack of communication equipment and especially of IT equipment represents a barrier to the rapid and effective communication or information exchange between border inspection posts, the Ministry of Agriculture or other relevant services with Mozambique and South Africa. It is necessary to ensure access to specific databases; for example, conventions, agreements, international or regional organizations and other countries legislation, standards, condition of harmful organisms and document samples, which are necessary for BCPs operations. 6.2.3.4. Veterinary Inspectorate

i. Legal and Regulatory Frame The main objective is to harmonize the legal and regulatory framework regarding cross-border procedures with regional and international legal regime. At the same time, veterinary legislation should be adopted to enlarge the current legal basis for international cooperation. Agreements with neighbouring countries on veterinary issues can be regulated by agreements between institutions and counterpart structures, where technical procedures and mutual obligations for their implementation are defined. Currently, the Veterinary department of GKS has not yet signed any agreements with South African and Mozambique.

ii. Institutional Framework Another main objective is to harmonize the border veterinary inspection framework with that of South African and Mozambique, with the aim of facilitating information exchange and cross-border cooperation. To this end, the status of border inspection posts, on both sides of the border should be coordinated in respect to capacity and category of veterinary border inspection. iii. Procedures Procedures of border veterinary inspection regarding international cooperation and cross-border activities should be adapted to international standards (e.g. OIE) and good practices. Cross-border cooperation is still hampered by lack of facilitated by agreements with South Africa and Mozambique. International cooperation with cross-border agencies will be further facilitated with the initiation of agreements and introduction of standardized procedures. iv. Human Resources and Training Training activities on international cooperation and cross-border activities is non-existent. It should be organised according within a pre-defined program, and organised by the CWG in cooperation with counterpart agencies in South Africa and Mozambique. Training of veterinary inspectors in the BCPs must include procedures regarding cross-border cooperation, information systems, foreign language, etc. Training should be based on an IBMS training manual. The training manual should include a module of joint training with the counterparts in South Africa and Mozambique. The need for adequate language training should also be taken into account. The final objective is to ensure that Vet border officials are professionally capable and available at every level as required by national and international cooperation. v. Communication and Information Exchange Opened and active communication should be established in all levels between border Veterinary Inspectors and those in the neighbouring country services. Meetings can be arranged through a JBMC to facilitate efficient communication on risks regarding public and animal health, and changes in legislation and the institutional framework. Information and recommendations should be exchanged on legislation, risks, warning systems with the SADC and international organizations (i.e. World Animal Health Organization, OIE and FAO, etc. vi. IT Systems Currently, work to provide access for the main veterinary inspection posts to a common high technology information network and intranet should get started. In order to ensure fast access to information, a modern and standardized system of equipment should be installed, which will allow access to international databases. Any IT system should enable the use of ASYCUDA ++ or ASYCUDA -World, at a later stage. vii. Infrastructure and Equipment Infrastructure and equipment facilitate cooperation with Mozambique and South Africa by allowing an equal regime of border veterinary inspection on both sides of the border. In particular, capacity and categories of BCPs should be harmonized. Facilities and veterinary border inspection posts should meet IBMS requirements regarding their size and functions.

Where there is lack of facilities, temporary room/space must be established, for instance in the form of containers for border veterinary inspection taking into account IBMS requirements. The sharing of BCP facilities should be envisaged in cases where it would be beneficial. 6.3. Overall Priority Policy and Procedural Changes This section presents the essential and overall priority policy and procedural changes necessary for establishing IBMS in Swaziland generally by every participating agency. The format and outlook presented below follows the assessment criteria – questionnaire, that considered the pillars of IBMS (intra-service, inter-agency, international cooperation and anti-corruption measures) with its seven thematic (legal framework, institutional frame work, procedures, human resources/training, communications/information exchange, coordination of stakeholders and infrastructure/equipment). Therefore the presentation follows the same aspects in that order. 6.3.1. Intra-service Cooperation

Intra-service cooperation as the foundation for all the other cooperation levels, namely, interagency and international cooperation will require to embrace the following policy and procedural changes below; 6.3.1.1. Legal and Regulatory Framework Main Change: Commence enabling Legislation process that empowers border and government agencies to legally fulfill their mandates within IBMS environment. Priority Policy and Procedural Changes: To all relevant ministries, departments and agencies (public & private) on IBMS pilot at Ngwenya, Lomahasha and Lavumisa. Deliberate amendments to all the existing national laws or draft new legislation to address

gaps and inconsistencies in different agencies’ legislations that regulate and control border activities.

Reform and adopt national laws on the relevant aspects of the border agencies activities and mandate to align with IBMS (e.g., for lead-agency, laws on border policing/security by RSP/USDF roles, on foreigners, on national border, on guarding and controlling the state border, on asylum, on trafficking and other transnational crimes).

Strengthen national laws with regional and international IBMS framework to regulating migration, trafficking, smuggling, including through the creation of clear, transparent categories for admission/detention/expulsion of people, confiscation and elimination of illegal and harmful goods/plants/animals, clear eligibility criteria for the protection of asylum seekers, refugees, victims of trafficking, etc.

Introduce and incorporate into national policies and law instruments allowing periodic security sector, governance and judicial reforms with border agencies.

Develop legal and regulatory framework for a more efficient collection, dissemination and exchange of data and information on migration and related issues.

Strengthen trade facilitation laws with trade liberalization initiatives in order to enhance external competitiveness and become better integrated with the global economy.

Border agencies should adopt and implement regulations that ensure the compliance, participation and collaboration of national and international private sector land and air transport operators in the effort to enhance security.

Border agencies should adopt and implement international and regional conventions that apply to land and air transport to enhance the security of these modes of transportation—vehicles, cargo and personnel—as well as how these transport modes are operated.

All none tax revenues due at border crossings hitherto being presently collected by OGAs – NAM Board, Immigration, etc. through legislation should be centralized and collected by SRA using to extent possible the banking online facilities and its various products.

6.3.1.2. Institutional Framework Main Change: Commence restructuring and relevant reforms on the internal system alignment of each agency organizational structures that establishes an effective implementation of tasks and efficient intra-service cooperation and communication. Priority Policy and Procedures: To all participating border agencies on IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Implement uniform organizational structure wherever possible within each agency. Determine clear duties and responsibilities for all management positions. Strengthen the management systems by abolishing multiple accountability and chains of

command and control. Empower agencies to manage their own resources through delegation of resources and

decisions. Restructure the agencies at all levels in such a way that they will handle personnel, training,

logistics and budget issues on their own. Improve the planning system from the central level down to the border level. Establish focal points within relevant ministries and devise national contingency plans in

order to enhance capacities to address situations of mass displacement as well as mass return in a timely, efficient and appropriate manner.

Establish transparent procedures for corrective action to be taken in case of irregularities, including punishment for perpetrators by border committees.

Provide risk analysis units with all relevant information from the field, starting from High Commissions and diplomatic missions through the pre-frontier area and all the way inland. The case in point is the High Commission of South Africa which is always invited to attend the Joint Border Management Committee at Ngwenya border post.

On the basis of regular risk assessment, define a risk containment strategy, set priorities, gear operational details toward these priorities, and effectively and efficiently deploy resources.

Formalize the deployment of mobile units to different locations depending on fluctuating needs: (i) to carry out border surveillance and to support BCP staff in times of high cross-border traffic, for example during peak times (start/end of school holidays, cultural or tourist seasons), or in case a BCP may temporarily need particular specialists to respond to a specific need; and (ii) to conduct targeted checks of persons and/or goods inland and at the border along known smuggling routes.

Seek and initiate, whenever necessary, cooperation and coordination with other governmental mobile surveillance units and border committees as well as with mobile units and mobile committees with South Africa and Mozambique.

6.3.2. Procedures Main Change: Commence reviews and re-engineer processes and procedures of all the participating agencies to ensure the application of standardized and uniform approaches, steps

or systems that enhance efficiency and effectiveness at all designated BCPs and BIPs by all border agencies. Priority Policy and Procedures: To all participating border agencies in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa. Develop procedures covering all relevant tasks at all levels of a border agency for all types

of borders and comprising control procedures, contingency procedures, documentation, and information flow at and between the central, regional and local levels.

Assign clear responsibilities so that the person in charge should be identifiable at each step in the workflow through the use of stamps or signatures, or in the case of electronic processing through user names and passwords.

Ensure the absence of gaps in information exchange to prevent loss of necessary information, incompleteness, lateness, delay of response, and unreliability, for instance, of risk analysis results.

Replenish and update regularly regional and local level staff with new developments, expected events, a new modus operandi of smugglers, traffickers, irregular migrants, new types of document forgeries, etc.

Develop information exchange procedures that cover topics such as periodic reports, analytical reports, collection of statistical data, and early warning.

Develop procedures at the central level defining which information goes where, in which form and how often.

6.3.3. Human Resources and Training Main Change: Initiate and draw internal competence development programmes and target professionalizing staff on specialized capacity building schemes for establishing IBMS. Priority Policy and Procedure Changes: For all training institutions/Academies participating in the IBMS pilot. 6.3.3.1. Human resources Promote professional excellence, ethics, teamwork and organizational belongingness. Develop and issue detailed job descriptions for all staff, based on the terms of reference of

the agency. Implement objective and transparent procedures (written) for merit-based recruitment, taking

job-related skills and education into account, and transparent procedures for termination of employment.

Establish effective rules for a system of rotation within the border management agency, regarding both duty station and tasks, either through volunteering or on obligatory assignment in order to expose the border officers to different tasks and duties and thus increase their experience and areas of expertise.

Determine and regularly update the required numbers and categories of staff (management, operational, administrative, specialist, etc.).

Deploy the necessary numbers of staff for the agency as a whole and for each individual location (in line with risk analysis).

6.3.3.2. Training Design and implement specialized, advanced and appropriate training to reinforce existing

capabilities.

Clearly establish codes of conduct (rights and duties), employ transparent and appropriate staff monitoring and evaluation mechanisms, and apply just and merit based compensation and promotion systems.

Promote the recruitment of personnel based on testing educational level and physical suitability, and meeting moral and legal requirements (criminal/judicial records).

Ensure the reflection of the highly specialized border management tasks in the training plans, basic and advanced theoretical and practical classroom-based training as well as on-the-job training, complemented by coaching and mentoring in the field.

Ensure that training becomes a continuous element for staff throughout their careers (refresher, specialization and new skills/information training), and is based on regularly updated curricula and manuals.

Broaden and strengthen the capabilities of staff by incorporating in border management training courses on management skills, languages and computer skills.

Encourage joint training of officers with different profiles in order to encourage cross-fertilization of ideas.

Establish centralized training facility—and depending on size and resources of the country—other ‗satellite ‘training institutes, academies or centers.

Employ training of trainers (ToT) system in order to quickly cascade knowledge down the field level.

6.3.4. Communication and Information Exchange Main Change: Commence process and procedure that enables internal sharing, free exchange and rapid flow of data, information and effective documentation. Priority Policies and Procedural Changes: For all participating border agencies in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa. 6.3.4.1. Communication Develop a communication system through which relevant and up-to-date information is

made available for operational staffs of border patrol and control agencies to properly fulfill their duties and respond to threats and emergencies in an appropriate way.

Develop a communication system through which statistics and data as well as information about the activities of other units flow smoothly, since this forms the basis for budget, resources, instructions, planning and strategy formulation, and helps monitor the work of the regional and local level.

Ensure both vertical and horizontal information flow within each agency. Collect, collate, analyze and disseminate information about the hazards and consequences

of drugs, crime and criminality on citizens, their families and societies, including the severe cost of drug abuse and crime on sustainable development.

Ensure access by women, children and youths to information about their rights, and warnings about the modus operandi of human traffickers, including traffickers in human organs, and recruitment syndicates into crime, prostitution and pornography.

The tourism office and its activities should be shared by all border agencies so that at every stage of processing there is a possibility of providing tourism information on Swaziland.

6.3.4.2. Information exchange Acquire and utilize IT to improve transparency, greater efficiency and enhanced security.

Adopt IT solutions that, if possible, are available off-the-shelf, and most appropriate for the country‘s operating environment, resource base, telecommunications infrastructure, and realistic development ambitions.

Adopt operational instructions or manual in which the system of information exchange is clearly described and standardized forms and templates for the reporting of statistical data or information are incorporated.

Ensure a harmonized system of data collection in order to facilitate data exchange and cooperation with other services.

Ensure data protection regardless of the method used, (tailor-made or basic IT system, and exchange of information via hard-copies or phone).

Ensure automated information exchange within the border management agency through a unified system, for example database, intranet and emails.

Provide for a system of collecting, processing and distributing data and information with real-time access for authorized users.

Ensure interoperability with the IT systems of other relevant public and border authorities. 6.3.5. Infrastructure and Equipment Main Change: Provide adequate and sufficient facilities and equipment to enable the operational staff to efficiently perform their duties. Priority Policy and Procedures Changes: For all participating agencies in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Ensure the adequacy and sufficiency of equipment—both basic and specialist equipment—

and infrastructure in relation to the flow of passengers and vehicles at each BCP, ICS and BIP.

Formalize standards of equipment and infrastructure used by each agency in connection with an overall investment and procurement policies,

To ensure economies of scale in the face of budget restrictions, develop investment plans that allow the procurement of adequate infrastructure and equipment in a timely manner; the plans should cover BCPs, border surveillance units, BIPs, search equipment, infrastructure, communication tools, vehicles, roads, parking space, etc.

Ensure decision making regarding quantity or amount and suitability of equipment and infrastructure for allocation—e.g. how many and what kinds of cars, motor cycles, etc. to assign for patrolling the border line,

Facilitate maintenance systems and procedures for equipment and infrastructure, and allocate budget based on the mode of maintenance, i.e., whether to outsource or to train and employ maintenance staff.

Develop and implement early warning systems for conflict in order to better manage migration movements and to ensure national and regional stability.

6.3.2. Inter-agency Cooperation Inter-agency cooperation level eliminates the risks and failures associated with the ―right hand not knowing what the left hand is doing. The following policy and procedural changes are recommended to inform the decision and roadmap of piloting to establishing IBMS in Swaziland; 6.3.2.1. Legal and Regulatory Framework

Main Change: Commence urgent pro-IBMS reforms in the national legislation regime to enact the laws that determines the content and scope of the cooperation and information exchange between the different and participating border agencies and stakeholders.

Priority Policy and Procedural Changes: For all ministries and agencies participating in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Implement or enact laws that empower and enable agencies to cooperate with other actors,

and that oblige them to provide assistance to other agencies in specific cases. Ensure consensus among ministries and agencies on the scope of their cooperation

(including the delegation of authorities) through formal agreements or MoUs, copies of which are distributed to each signatory and later on shared with border officials.

Ensure that inter-agency cooperation agreements or MoUs9 covers all relevant agencies and areas such as information and data exchange obligations and mechanisms (e.g. focal points, common use of databases), including; Reference to data protection; Joint risk analysis and/or sharing of risk assessment reports or intelligence; Day-to-day cooperation procedures at BCPs and inland points, including joint operations

and controls, e.g. detecting persons attempting to cross the border illegally; Preventing or detecting customs crimes and offences; Detecting smuggling of protected species, drugs and stolen vehicles, and illegal

transportation of waste, harmful chemical substances and other dangerous items across the border;

Joint training; sharing of equipment/facilities and joint procurement; Early warning and contingency plans.

Enact national data protection law which clearly defines the standards to be applied in information collection, exchange and storage.

Establish national boundary commissions, composed of representatives of all agencies involved in border management, with mandates to enhance peaceful, safe and prosperous borders.


Main Change: All the participating border agencies must get well-structured (e.g. through JBMC) and established to enable them to interact with each in the performance of their tasks of managing borders. Priority Policy and Procedural Changes: For all ministries and agencies participating in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Strengthen the established coordination structure (CWG) in the form of a high-policy level

inter-agency working group; That is mandated to meet at regular intervals, Be composed of high-ranking officials from each ministry and agency, Supported by operational border management experts from each agency (lawyers,

management, etc.) Controlled by a supervisory group or steering committee, which is directly under the

auspices of the political leadership,

9 The list, but not limited to, of inter-agency cooperation ingredients that should constitute the scope and content

of the standard MOUs and agreements.

Whose functions are to resolve problems and challenges of cooperation, Identify areas where increased information exchange would be beneficial and where

other joint interests exist. Establish units within national coordination working group to undertake specialized tasks

such risk management that cut across agencies. Exchange liaison officers between agencies whenever possible and applicable. Set up joint agency offices to undertake tasks such as threat, surveillance, contingencies

and risk analysis. 6.3.2.3. Procedures

Main Change: Establish an overall process workflow and system capability in which the activities of all relevant border management agencies are included for immediate reviews and re-engineering to interface with IBMS procedures. Priority Policy and Procedures Changes: To all ministries, departments and border agencies participating in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Identify and describe existing workflows of each agency at central, regional and local level,

wherever the area of competence of another stakeholder is touched upon, especially with regard to responsibilities, sequencing and processing times at the BCP.

Jointly resolve identified overlaps and delays, and amend the relevant procedures accordingly.

Develop procedures and utilize instruments to provide transparency and ensure that all required checks are completed—e.g., routing slips that list the controls of goods performed by the customs and inspection services at the BCP, and are stamped and signed after each step of the procedure has been completed.

Develop and issue standard procedures that guide officers and inspectors at a BCP, ICS, BIP or in a mobile control unit how to act if they find items relevant for other services; and that include provisions for lists of consignments, definitions and standards of goods, including which service starts the procedure and which type of specialized equipment is needed.

Develop a common risk strategy that identifies and addresses the strengths and weaknesses of the current border management system to implement as a response specific activities; e.g. identifying adequate inland control points on major transit routes or joint mobile units of customs officers and border officials.

Consider the options for joint or coordinated controls at BCPs to shorten processing times; e.g. the one-stop control and single-window concept.

Provide for joint operations in which targeted, high-impact operations on specific groups of people, vehicles or cargoes can take place at the BCP, in the border zone or inland.

Develop at central level contingency and emergency plans to clarify the division of responsibilities in case of imminent threats to national security or public health, or extreme situations such as natural disasters, pandemic diseases, mass influx of irregular migrants or refugees, terrorist activities or major accidents and fires in the border zone; adjust them for the regional and local levels; and inform each BCP about the distribution of responsibilities and tasks among the services present.

6.3.2.4. Human Resources and Training

Main Change: Introduce shared curriculum and institutional knowledge centers that promotes the understanding of the IBMS tasks and responsibilities which creates multi-tasking border management professionals. Priority Policy and Procedural Changes: To all ministries, department and border agencies participating in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Design joint training activities that involve staff from all border management agencies to

enhance confidence-building, information exchange function, and efficient use of resources. Target—for continuous, in-service training—operational and management level personnel

from all agencies as well as new recruits. Adopt various forms of interagency training including training on rules and procedures which

deal with or involve cooperation with other actors; joint training with other agencies on issues of common concern; training to familiarize staff with the tasks and activities of their counterparts and to raise general awareness about the importance and benefits of inter-agency cooperation—areas of such training should include organizational structure, legal framework, basic tasks and competencies, and areas of joint interest.

Establish or strengthen common national training institutes in order to reduce costs for individual agencies, facilitate the cross-fertilization of ideas, provide situations in which staff from different agencies can come into contact, informally and formally, and reinforce the concept of a nationally cohesive approach to border management.

6.3.2.5. Communication and Information Exchange Main Change: Establish a national inter-agency forum that brings together border agency principals/CEO’s an engagement mode that will ensure continuous flow of information, regular communication and interaction. Priority Policy and Procedural Changes: For all ministries and agencies participating in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Establish a three-level interagency communication approach, namely, local (shift

managers/leaders in daily contact; BCP managers’ meeting regularly, e.g. on a weekly basis); regional (heads of regional office conducting regular—e.g. monthly—meetings and ad hoc); and central/headquarter (representatives of all agencies meeting regularly, for example on a monthly basis, as well as ad hoc; representatives of the IBM interagency working group meeting on a regular basis—e.g. twice yearly).

Clarify in a formal agreement what information will be shared between all participating agencies and with whom; then decide how the information will be exchanged, and meeting protocols and minutes (also for ad hoc meetings) drafted, distributed and filed.

Develop new or upgrade existing IT systems taking into consideration compatibility with other systems in use and planned; security (data protection, access regulation); accountability (records of access, usernames etc.); and adaptability (adding/amending components/modules, users etc.).

Create joint systems, such as one overall operating system with sub-modules allocated to each border agency to facilitate authorized information exchanges.

Establish an effective early warning system to be in place, be it through a system of contact points in individual agencies or through IT solutions.

6.3.2.6. Infrastructure and Equipment Main Change: Customs should be formally mandated as a lead-agency and further facilitated to host and take responsibility to share jointly the existing physical infrastructure and equipment for enhanced cooperation between agencies at all BCPs. Priority Policies and Procedural Changes: To all ministries, departments and border agencies participating in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Assess regularly existing facilities and equipment, and select priority BCPs (Ngwenya,

Lavumisa & Lomahasha) in coordination with all border management agencies—and other possible outlying stakeholders—where resources should be focused; consult South Africa and Mozambique and take their BCP development plans into account.

Promote sharing border management infrastructure and facilities to achieve enhanced capacity utilization and reduce costs.

Establish an inter-ministerial joint procurement office for border agencies purchases to save costs by making use of economies of scale.

6.3.2.7. Cooperation with Other Stakeholders Main Change: Initiate an all-inclusive cooperation platform that will enlist and taking into account the activities and interests of all state and non-state actors at the BCPs with a view that ensures greater effectiveness and efficiency. Priority Policies and Procedural Changes: To all ministries, department and border agencies participating in the IBMS pilot at Ngwenya, Lomahasha and Lavumisa:- Ensure clear division of responsibilities, and precise procedures for cooperation, information

sharing and follow up to enhance cooperation between state actors with overlapping responsibilities as, for instance, in the case of RSP, immigration and Customs authorities who are mutually responsible for inland controls and for fighting against trans-border crime.

Use agreements and MoUs to enhance cooperation between border agencies and other state actors who could be involved in border management related matters. This could also be done by involving them in the national coordination working group.

Enhance customer satisfaction and facilitate trade by communicating simplified versions of relevant procedures to private sector stakeholders such as Swaziland airline, road and transit cargo carriers, Swaziland and Transnet railway companies, postal company, freight forwarders and importers.

Provide easily understandable, accessible and up-to-date information on border related issues including standards, regulations and procedures to all stakeholders, including the general public, to eliminate corruption and inconveniences.


International cooperation should takes place between agencies in South Africa and Mozambique to enhance bilateral, regional and international relations on border management matters. The following policy and procedure changes below are suggested to precede the on-going efforts and any future decisions to pilot and establishing IBMS; 6.3.3.1. Legal and Regulatory Framework Main Change: Commence urgent adoption and implementation of the existing regional and international protocols/conventions where applicable and are consistent with the national legislation. If not, enact appropriate and lay down adequate national legal regimes that will permit domestication of the existing regional and international relevant laws, conventions and protocols. Priority Policies and Procedural Changes: Regional, continental and international cooperation mechanisms. When success to cause border legislative reforms at earlier IBM pillars has been achieved,

then enact further to harmonize national-level legislations regulating the powers and responsibilities of border management agencies and corresponding ministries to cooperate and coordinate on border matters at bilateral, regional, continental, and international levels. This means that Ministry of Foreign Affairs will have formally agreed to play a coordination role but allow delegated authorities to border agencies to initiate contacts and cooperate

Lobby and influence the national legislation to get aligned into regional and international treaties/agreements that enhance regional, continental and international border management best practices.

Bilateral Cooperation With support and delegated authority from MOFA, enter into new and revised bilateral

treaties/agreements to establish joint-border cooperation commissions to deal with broad bilateral and/or trilateral border issues such as security and trade with Mozambique and South Africa.

Draft broader and all-inclusive legal frameworks for approval that allow bilateral cooperation between all agencies in border management across Mozambique and South Africa.

After securing a legal mandate, expand bilateral cooperation to include as many areas as possible—designation of official contact points or liaison officers or establishment of contact offices, joint training/exercises, joint patrols, cross-border surveillance, exchange of information, harmonisation of day-to-day work practices at the BCP, etc.


Main Change: Support and further strengthen the organizational structures such as Joint Border Management Committees to exists at international level for the key BCPs to effectively implement tasks related to border management and modernization. Priority Policies and Procedural Changes: After strengthening the national working group, move-on to engage for the establishment of

the regional working groups to generate or revise regional policies on border security, cross-border trade, border infrastructure development, data exchange, and other regional border issues.

Ensure information on border management generated in meetings of regional and international organisations such as Interpol, the UN agencies, the IOM, and the WCO is received and utilized to enhance border management in Swaziland.

Enter into more MoUs with international organizations with mandates on border management to share best practices and technical expertise, and to collaborate on areas of mutual interest.

6.3.3.3. Procedures Main Change: Engage and motivate participating border agencies through JBMC to agree to review and re-engineer their business processes to establish process and system capabilities to enable cross-border inter-agency interface and interconnectivity. Priority Policies and Procedural Changes: Motivate to harmonize processes, procedures and systems at the BCPs so as to ease the

flow of goods and people across borders, undertake joint operations, and gather and analyze data.

Develop and share common guidelines for joint controls, patrols, searches, forensic examination, surveillance and other operations at the borders.

6.3.3.4. Human Resources and Training Main Change: Joint staff training programmes must be designed and designated to enable border officials perform cross-agency tasks where appropriate, eliminating redundancy, reducing duplication and creating integrated multi-tasking skills. Priority Policies and Procedural Changes: Encourage border management personnel to participate in cross-border training workshops,

study visits and exchange programmes to sharpen and update their skills and knowledge on modern border management techniques

To increase further mutual understanding between South Africa and Mozambique, the training curriculum for newly recruited border personnel should include modules on the general knowledge, as well as the institutional frameworks and operational procedures, of the countries in SACU and SADC/COMESA regions.

Harmonize training curricula to ensure they are based on similar bench marks, best practices and training material and equipment with cross-border agencies.

Identify regional centers of excellence and support them to offer regular courses in both countries – Mozambique and South Africa.

Develop a regional pool of trainers’ cross-border management in the two countries. Design comprehensive curricula that include practical training, knowledge acquisition and

theoretical foundation to IBMS principles. Besides being trained in specialized equipment use, procedures and thematic subjects,

participants in courses must also acquire basic skills in regional and international languages. In this case, Portuguese and cross-border principle dialects should be considered.

6.3.3.5. Communication and Information Exchange Main Change: Ensure that the infrastructure for communication and relevant systems are in place to enable efficient and reliable sharing of information between agencies, governments and international organizations.

Priority Policies and Procedural Changes: Establish effective external communication mechanisms in order to create functional

interfaces between border agencies in Mozambique and South Africa. Give priority of communication to countries of origin of significant flows of migrants,

strategically relevant exporting and importing countries, industry representatives within these countries as well as relevant international organisations.

Ensure communication between BCPs (local level), between regional headquarters, between ministry/agency (government level) and at bilateral/multilateral/regional level.

Ensure regular central and regional level meetings between representatives of border agencies from South Africa and Mozambique at all levels.

Ensure regular contact and day-to-day working relations of heads of BCPs with their operational counterparts across the Mozambique and South African borders.

Allow periodic systematic exchange of national reports and statistical data between the authorities of Mozambique and South Africa.

Encourage border control professionals to utilize membership of international professional and think-tank networks to capitalize on experience and knowledge sharing.

6.3.3.6. Infrastructure and Equipment Main Change: Carry out audit and needs assessment under JBMC to prepare procurement separately on each side of the border for eventual joint sharing, usage and the efficient utilization of resources and effective performance. Priority Policies and Procedural Changes: JBMC should coordinate the grading, designing, remodeling of BCPs with Mozambique and

South Africa to ensure that a similar level of infrastructural layout is in place at both sides of each BCP.

Promote joint use of BCP facilities and equipment on condition that there are agreements or MOU facilitating the settlement of relevant cost-sharing, responsibility, maintenance, and other issues.

Ensure direct and efficient Internet, radio and telephone communication access within the precincts of BCPs in order to make certain the easy availability of information infrastructure.

6.3.4. Anti-corruption measures Corruption is “the abuse of power for private gain”. (World Bank &UN, 2012). The agencies active at the border are no exception and are particularly vulnerable to corruption: crossing the state border illegally, fraudulently obtaining a visa, trafficking in human beings, smuggling of persons, goods, weapons or drugs are all activities facilitated by corruption. The following policy and procedure changes below are suggested to precede the on-going efforts and any future decisions to pilot and establishing IBMS; 6.3.4.1. Legal and regulatory framework Main Change:- Developing policies to guide the ethical behaviors and practices of border officials Priority Policy Procedures Each border agency should have a code of conduct reviewed specifying the standards of

integrity expected of officers Developing policies to guide the ethical behaviors of border officials namely;

The revised Code of Conduct

Review the Risk Management Policy Whistle blowing Policy The Rewards and Recognition Policy

The core parts of the code of conduct should be published, to make clients aware of the agency’s anti-corruption policy.

All partner agencies at the BCP and local level of the Mozambique and South Africa should also be informed and motivated to participate.

Adopt legal mechanisms that provide little discretion to border staff/officials and that have built-in accountability mechanisms to reduce both the opportunity and incentive for corruption.

6.3.4.2. Institutional framework

Main Change:- Building corruption resistance mechanisms within all participating border agencies Priority Policy Procedures Building corruption resistance mechanisms within all participating border agencies Publically declaring zero tolerance to corruption in all agencies The national and institutional political will must not only be heard in pronouncements but

also be seen to act and sanction. Introduce a whistle-blower and reward system that motivates the public in the fight against

corruption with a toll-free telephone line or websites to receive complaints and information about corrupt practices.

The anti-corruption unit in liaison with the national anti-corruption should have culprits prosecuted and their assets confiscated to by courts of law.

6.3.4.3. Procedures Main Change:- Ensure re-engineered processes and systems are made known to the border agency officials and clients Priority Policy Procedures The border agencies’ SOP should be developed into a hand-manual for all officials that

describe the activities and limitations. They should be displayed to the public domain. As a matter of law, all collection of government revenue, road tolls, fines and fees should be

paid through the banking system or/any other electronic money transfer to avoid handling of cash at the BCP by cashiers whenever possible. Banks should be motivated to open branches or collection points at all BCPs. When this is not possible, the four-eye principle should at least be introduced, which requires that all sensitive financial decisions are also checked or co-signed by a second person or station supervisor.

Enforce strict procurement rules with several layers of controls, including public tendering, excluding all names in tender documents, selection of the winning tender through a panel, and personnel division of functions between those ordering goods and services and those controlling their quality.

Both internal and external audits should be carried-out on the work of each border and government at regular intervals, financially and operationally.

Care should be taken to identify possible irregularities both during routine controls and unannounced checks.

Specialized audit mobile units could be hired by the CWG to carry out unannounced operations, independently of local management, in areas where corruption is a common phenomenon.

6.3.4.4. Human resources and training Main Change:- Carry out sensitization training of all border agency officials on integrity, compliance and fraud risk awareness Priority Policy Procedures Carry out sensitization training of all border agency officials on integrity, compliance and

fraud risk awareness Border officials should be sensitized on the benefits of integrity and compliance with all the

developed IBMS policies, procedures and guidelines. Develop an integrity, compliance and fraud module and later incorporate it in the agencies

induction curriculum for all new staff. Initiate open communication platforms both internally and externally. Border staff should be

given an opportunity to nominate integrity focal persons from border management levels, with a rallying theme e.g. “light the integrity candle at the border”

Carry out continued engagements with external stakeholders such as clearing agents, service providers, order communities, tax payers, etc.

Consider regular rotation of staff and a gender balance at the various duty stations useful to forestall the development of corrupt networks.

Align the new staff skills with the new business processes and performance standards. 6.3.4.5. Equipment and Facilities Main Change:- Open office layout with less partitioning and equipped with modern technologies that support transparency and efficiency in service delivery. Priority Policy Procedures Computerized systems for the border RSP and Immigration, which are linked to Interpol or

national databases of search warrants, or specialized Customs systems which give an automatic alert when trucks from blacklisted companies arrive.

It is often overlooked that these systems can only enhance transparency if every person/truck at the border is actually entered in the system.

Planning to acquire and introduce modern and high-tech security systems three BCP under study as part of their infrastructure development such as:- Comprehensive lighting saving-system CCTV (closed-circuit television - surveillance camera & video)

Ultrasonic Barrier-Gate Recording Sensors

Wireless Outdoor Parking System

Parking Data Concentrators at gates and in the parking lanes

Traffic signalization and Detection Systems

Relatively simple technical systems are available to randomly select persons who should undergo intensive checks, reducing the possibility for an officer on duty to give preferential treatment to people of his/her choice.

Counters and booths for border checks could have shaded windows so that passengers cannot choose lines depending on the identity of the booth officer.

7. IBMS PROCESSES AND PROCEDURES

7.1. Introduction

IBMS concept foresees coordination and cooperation between all actors involved in border management. Customs plays a key economic role in relation to managing the international supply chain, providing social protection, maintaining streams of revenue, and generating valuable statistics for policy making. Customs is interested in processes that are efficient and effective to satisfy its dual mission of security and trade facilitation but more important to interface with border and government agencies. The findings from the assessment indicate that SRA-CED has recently launched process and procedure reforms, other border agencies have not yet. It is a fact those other agencies: Rely linearly upon customs for enforcement of their laws and regulations. Participating

border agencies’ that engage in the future single window will have a more clearly defined and visible role in the import and export process which will create efficiencies for the trade community

Are interested in processes that enable them to interface with customs systems but also be able to fulfill their missions in the regulation and management of imports and exports

Are looking for data to be provided electronically, the ability to target shipments as early in the process as possible, the ability to carry out their authorized responsibilities and the assurance that effective control over the cargo is maintained throughout the import and export process

In this section, we will develop and present IBMS processes and procedures that will form a central basis and linkage for a single window in Swaziland. Customs process-mapping and layout is generally linear and where all other participating agencies align themselves in fulfilling their border functional mandates.

7.2. Purpose

The purpose of the centralized integrated border management system process and procedures is to guide the handling and clearance of goods, passengers and traffic (vehicular) that arrive into/exit Swaziland. This is to facilitate the fast clearance of goods through border control posts such as Ngwenya, Lavomisa and Lomahasha amongst others. 7.3. Scope of Application This process shall be applicable to the clearance of goods, people and traffic at the entry/exit points regardless of the means of conveyance. The process describes the management of arrivals, efficient control in the border control area and exit. Documents shall be prepared at owners premises or Data Traders Input (DTI) and lodged electronically through the trade portal (Initially) and later to the single window platform process before cargo, traffic and passengers arrive. This process will involve all registered parties; and participating border agencies. Parties will be informed of an immediate release status where applicable before arrivals. 7.4. Cross Reference The Relevant Legislation for IBMS The relevant Laws and Regulation (sub-Acts) for all Border Agencies ICT Trade and Reference Manuals Border Management IT Systems Standard Operating Procedures for border management Any other Laws, Acts, Regulations, MOU/agreements, conventions, etc. not specified.

7.5. User Obligation All relevant authorities involved in the border management shall ensure that all policies and processes set-out in this manual are adhered to and honoured. 7.6. Process Narrative 7.6.1. Declaration process

The process starts when pre-arrival information is received by the clearing Agent

The agent makes a Pre-entry using the pre-arrival information

The agent assesses and uploads10 the declaration with the relevant documents 7.6.2. Border and Government agencies11 will conduct a face vet on-line on the lodged

declaration

If the documents do not conform then they will be queried and forwarded to the agent for correction

If the document conforms then selectivity will be triggered in (ASYCUDA World)

After selectivity is triggered then there will be concurrent clearance by Customs and OBGAs for yellow lane entries. This is an on-line documentary checking. Where any agency requires further submission of any document skipped or left-out by omission, there will be message exchanges between the parties through inspection texts.

Issuance of certificates of compliance/conformity by OBGAs such Health, NAM Board, Veterinary, Standards, etc. will be done.

The declaration will then be Passed/Released 7.7.3. Goods arrival at the border

Green and blue lane entry goods will be exited immediately they arrive at the border

Red lane entries goods will undergo a joint verification with circulated on-line notification to all interested parties.

If the goods do not conform according to any concerned party, then the offence process will be triggered

If the goods conform then they will be released.

The goods will then be exited in the system

Final exit from the border

10

It is assumed that SRA-Customs will by then have procured and installed ASYCUDA World which is web-enabled to permit declaration and document uploads for any border agency to access. 11

Border and Government agencies business process mapping will require a separate and elaborate activity outside this assignment. This BPR exercise is critical but possible after the decision to move to the next stage of implementing IBMS in Swaziland. The phased BPR should commence after the decision to pilot is agreed.

Pre arrival information

Document acceptance by customs

Cargo sent to Joint Physical examination Bay or scanner yard

Red

9 Cargo exits

Does cargo conform ?

5 Offence

Management

No

INTEGRATED BORDER MANAGEMENT SYSTEM – IBMS CENTRIC

PROCESS-FLOW CHARTING FOR BORDER AGENCIES IN SWAZILAND

Do Documents Conform ?

Upload of Declarations on the Single

Window .

Agent Preparation of Declaration in

ASYCUDA/using

DTI

No

Online query

Selectivity is triggered in the customs system

Release of green Entries

Concurrent processing

YES

Cargo arrival

Immediate release for Green

& Accredited clients

Goods Release and Exit

YES

Certification and Clearance by Border &

Government Agencies

Trade Portal or

Single Window

Immigration

Passengers

Arrives

Conform?

Passengers Exits

Yes

No

8. PRE-REQUISITES OF ESTABLISHING IBMS

Details of system capability that must be developed by other border agencies in order to effectively participate in an integrated border environment include but not limited to; compliance management, delegated authority, preferential treatment for AEO clients, legal and policy, human resource management, procedure and processes, communications and information technology, infrastructure and equipment, etc. 8.1. Compliance Management Integrated border management systems enables a fundamental shift in the primary focus of border agencies from physical approach to control and facilitation graduating towards a highly facilitated and optimized compliance management system. IBMS is grounded in the efficacy of compliance management but recognize that the vast majority of travel and trade is legitimate. It is the implementation of a compliance management system that encourages voluntary compliance while maintaining a foundation or fallback position of enforcement. Therefore, border agencies must start developing systemic initiatives such as trusted partnership/accredited clients’ arrangements to improve both regulatory control and customer service delivery, intergovernmental and interagency networking arrangements that initiates free-will cooperation in accordance with common and agreed standards. Single window kind of arrangements of centrally locating information into a single view for its customers is critical. 8.2. Delegation of Authority

The existing border agency institutional framework in Swaziland is on standalone basis. At the level of border officials for different agencies, a cross-border clearance transaction that is supposed to be handled by the relevant agency cannot take place in his/her absence. In fact all efforts are taken to recall him/her in case one had fallen back on other official engagements. This usually takes not less than one-three days of waiting before final clearance is sanctioned. IBMS arrangement demands that all agency officials at the various levels are empowered to make decisions with a certain degree of autonomy. Delegated authority would permit the appointed agency to proceed with due clearance process. Empowerment allows senior management to focus on their core tasks and not predominantly on administrative issues, and also allows faster and more relevant decisions to be made at an operational –border level. Although policy and oversight is retained by headquarter principals, micro-management of all border agency units and officials is not tenable since it causes delays in decision making. 8.3. Preferential treatment for authorized traders

Under most preferential cross border control arrangements, traders who meet certain requirements are authorized to receive operational or fiscal benefits. The requirements can vary but normally include a good compliance record and an assessment of the traders’ compliance capabilities and systems. Operationally, such arrangements allow border agencies to shift administrative responsibilities onto authorized traders rather than require declarations for every cross border transactions. CED in Swaziland is introducing post clearance audits (PCA) and accredited economic operators (AEO) schemes into its clearance procedures. The preferred traders conditional authorizations for preferential treatment and let such clients benefit from simplified import clearance procedures, clear goods at premises located outside and away from borders, make declarations periodically, rather than for each consignment, and pay duties periodically, using self-assessments to do so. Other border agencies will have to get motivated to cooperate with CED into authorizing traders usually through a joint audit based control

regime. Authorization is conditional on maintaining a good compliance record and on meeting the set requirements for systems and administration. 8.4. Policy and legal framework All border agencies must review and analyze their current national policy and legal framework for trade, and of related areas that will govern the functions and operations of IBMS is the first critical area. The legal basis for accepting and recognizing cooperation transactions, the legal admissibility of these transactions, and the legal ability of border agencies to accept and process cooperation transactions should be clearly established. The analysis should then focus on identifying gaps and impediments in the laws, as well as regulations that would hamper the IBMS establishment. If the gaps or other impediments are identified, recommendations for corrective policy actions- including new amendments to laws and regulations, or new regulations- should be prepared, in consultation with government and other stakeholders as needed. The legal system for every border agency must provide the necessary basis in the law for the achievement of the range of administrative and risk management strategies it has chosen to adopt. The legal framework itself must be transparent and predictable to ensure that those who are the subject of the regulation know what the rules are. It should also be accommodative to allow delegation principles to other agencies. While ignorance of the law may be no excuse, poorly drafted or unpublicized laws explain many instances of noncompliance, and therefore various regulatory authorities, including border agencies, are increasingly realizing the need to provide meaningful advice to those who are being regulated. This is a policy of informed compliance. 8.5. Human Resource Management System Human resource management system is critical to border and government agency reforms. Border agencies must institute a change program to look at human resources early on. IBMS demands that border and government agency officials be well equipped with skills, knowledge, positive behaviors and attitudes and experience to manage and implement new BPR processes. An HRM system should begin to be developed through a comprehensive capability assessment of the administration capacity of each border agency. The assessment should deliver a set of transformation actions such as organizational and management change. During change, management should listen to staff member’s perspectives; and equip staff to do the job – while dealing with staff members whose performance does not meet agency standards. Change management requires leadership that is inspirational to encourage staff to help make change. 8.6. Resistance to Change. Resistance to change is an organizational behavior usually associated with transformation and reforms within any institution. It will require a core group of border agencies’ officials at the pilot BCPs who will have been convinced that management is serious and committed about reform, and that reform will be supported politically and bureaucratically in the long term, the group will support and work for change. Merit selection is a useful to reinforce the principle that recruitment and selection are based exclusively on merit. The alternative is not pleasant as all efforts to IBMS could end in futility. 8.7. Remuneration and Reward. Border agencies in Swaziland operate within the constraints of civil service terms and conditions. If border officials are required to carry out changes that reduce their informal income, they must be compensated. Due to salary and allowances ceiling policy as a result of scarcity of

resources to give officials incentives for participating in the border reforms, a novel approach to salary supplementation for IBMS, a formality service fee, is proposed. 8.8. Rotation and job mobility Regular rotation can build confidence, cultivates skills and confidence, and fosters a better understanding of how organization desperate parts fit together. Even if initially expensive, rotation is justifiable for staff members who come under outside pressure. It reduces the risk that they will commit rent seeking by making them less closely identified with particular clients. It motivates them by varying their work environments. There may be some exceptions to specialist staff such as investigators and laboratory technicians to stay at their posts longer, to ensure that the investment in their training yields a return. 8.9. Integrity Programs The first priority for every corporate is to have a comprehensive integrity policy statement and action plan that defines how each staff member is responsible for preventing corruption. Such responsibilities begin with self-assessment. Second, work unit staff should assess systems and controls to pinpoint areas of most vulnerable to corruption. Third, clients should be encouraged to develop clear, unambiguous standards of behavior put together in their code of conduct. Corporate values for border agency should be instilled staring with the induction process which should be revisited during all training courses. 8.10. Code of Conduct and disciplinary codes Every border agency must put in place a code of conduct that spell out the behavior and attitude standards expected of officials and prescribe sanctions for those who fall short. A code of conduct should go beyond integrity and cover behavior to reflect the values an organization expects staff to demonstrate. Disciplinary codes set for the detailed procedures for extreme and persistent poor performance. 8.11. Performance Management Appraisal System. A management performance appraisal system should be developed and performed for every reporting period by border agencies. Each staff member is expected to agree with his/her supervisor about tasks and standards in the period under review. The staff member’s progress should then be reviewed at regular intervals of not more than six months. During the regular reviews, any excellent performance should be rewarded or at least recognized. Similarly, poor performance by staff members should be discussed openly. Its causes and possible solutions should be identified and recorded. 8.12. Training and staff continuous development Human resource management has been identified as one of the common weaknesses within all border agencies. Selection of personnel with unclear selection requirements, unsatisfactory training and incomprehensive deployments/transfers of personnel are areas that need to be addressed urgently. As mentioned in the previous sections, human resources are one of the main factors that are to be taken into consideration as far as IBM pilot and concept implementation is concerned. Once that selection and training of the personnel is correctly accomplished, the management of IBM agencies shall be able to plan, organize, motivate and control human resource management system across all pillars of IBM (intra-service, inter-agency and international). A training and staff development policy that systematically sets out types and levels of training is critical. During the assessment, it was only SRA – Customs that was noble in this strategic direction. Training programs should be based on assessed organizational need and on staff

future needs. A training master plan that is capable of attracting resource support, should be adopted to ensure that all staff members, including new recruits, are equipped with the basic technical skills their jobs demand. A fully training system must allow all staff members equal opportunity to participate- and especially those in border stations. Management must support these broad training approaches by developing and putting in place individual plans for each officer. These plans should be reviewed and adjusted each year as part of continuous performance management and evaluation. 8.13. Procedures and processes IBMS requires border and government agencies to define outcome based processes, such as increased customer compliance and greater export competitiveness, rather than outcome based processes, such as the volume of transactions processed. Systems and business processes across border organizations should be interoperable. Continuous business process and systems reviews are mandatory for development to make it compatible to interface with reforming border agencies such as SRA - Customs. 8.14. Communication and Information Technology IBMS promotes the technological development and interaction that is needed for more effectively sharing information and identifying risks. This development can be achieved through technological systems that share and link information. In addition, bilateral, regional and multilateral agreements may be required that facilitate policies and strategies for collaborating, information sharing and developing interoperable systems. The current vast amount of data of border agencies may be erroneous, incomplete, non-specific and created without international standards. Therefore, the aim of timely, effective clearance and border operation interoperability are difficult to meet using databases and database queries. Linking both structured and unstructured information across border agencies prevents redundant processing and averts the inefficiencies inherent in standalone, or stovepipe, information silos. 8.15. Infrastructure and equipment The existing infrastructures and equipment at border control posts and headquarters (save for a large extent Customs agency) have designs and facilities that predate today’s security, trade and travel demands and priorities. Upgrading and giving a face-lift to these facilities, furniture and equipment, is an important step in cost effective trade facilitation and regulatory control improvements. IBMS enables the creation of a shared services environment where a collaborative operating model and facilities is established. The shared services approach would allow participating agencies to rapidly reach a capability level of most efficient agency and reduce their operating costs, while the lead agency would set the pace of modernization. Other systems for consideration by border agencies include outsourcing, public-private partnership, One Stop Border Post and Single Window to bring about shared and efficiency values. It is also important that the purchase of technical equipment be coordinated among border agencies in order to avoid duplicate purchases and ensure compatibility. Furthermore, coordinated and common acquisition of technical equipment requires joint user training. The coordinating working group shall have an important role to play regarding technical resource needs. 8.16. Trade Web-Portal The trade web-portal can be the most visible symbol of Cross-Border Regulatory Single Window solutions. To begin with, this web-portal can provide all relevant regulatory information ―under one roof― and serve as the information outlet and the virtual service interface between the trader and regulatory agencies. In fact such web-portal may act as the launching pad for the

Single Window solution in Swaziland. It should be planned and acquired through GKS by SRA – Customs. Gradually, as Customs adds transaction processing capability to the trade portal, it becomes an access point to services such as declaration processing, cargo release, and duty/tax payment processing and securities management. Further, as Customs systems establish online connectivity with the licensing and permit processing systems of other cross-border regulatory agencies, and the integration of business processes takes place, it marks the beginning of the Single Window. In fact, the current version of ASYCUDA World (2013) is expected to host an “intelligent Single Window portal/system”. Finally, as different portals in the Single Window environment could grow by addition of more complex services, the effect would be a transformation of the way these agencies deliver services. Portals could help Single Window initiatives make a beginning but with a potential to scale-up fast, propelled by new enabling technologies. 8.17. Financial Resources and System The most convenient and meaningful option for full coordination of international assistance is to delegate decision making authority to the IBMS coordinating working group (CWG). This financial system structure can ensure complementarily, avoid duplication and effectively exploit internal and external resources (refer to section 11). At the moment, all government border agencies are financed by the budget of Government of the Kingdom of Swaziland and they have their own budgets as approved by His Majesty Parliament at the beginning of the each fiscal year. In many cases border agencies are facing financial problems due to unclear division of budget lines or because budgets are not spent for anticipated purposes. For a quick start, some financial resource commitments from both the GOKS and development partners are necessary.

9. REQUISITE LEGAL PROVISIONS TO SUPPORT IBMS

9.1. Purpose The purpose of these legal provisions12 is to support and regulate cooperation between all border and government agencies involved in the Integrated Border Management System and to implement the joint strategies of such agencies so that the tasks laid down for these agencies and individual measures that are connected with the prevention, detection and investigation of criminal illegal activities, control and monitoring and related international cooperation are carried out in an appropriate, efficient and effective manner in the Kingdom of Swaziland. 9.2. Scope Provisions of these legal provisions will be applicable for all agencies involved in the Integrated Border Management System, as long as the tasks, responsibilities and their status is not regulated with other legal provisions.

9.3. Guiding Principles

While performing IBMS activities, the agencies involved in IBMS shall base their activities on the principles mentioned below: The principle of constitutionality and legality - activities carried out to prevent and fight all

forms of crime and illegal acts at the border, trans-border and beyond shall be based on

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Adopted and revised from Republic of Kosovo on cooperation between authorities involved on integrated border management 2013.

provisions prescribed in the Constitution of the Kingdom of Swaziland, drafted legislation on IBMS, regional and international agreements, protocols and conventions.

The principle of human rights and freedoms - this principle provides guaranteeing freedoms and rights to all individuals, during all stages of institutional engagement in preventing and fighting all forms of crime and illegal acts at the border, trans-border and beyond.

The principle of security – this principle indicates guaranteeing the right for security and protection for all citizens by preventing and reducing all forms of crime and illegal acts at the border, trans-border and beyond.

The principle of priority – prevention and fighting crime and illegal acts at the border, trans-border and beyond is a priority for institutions and agencies of Kingdom of Swaziland. Overall commitment to seriously deal with these problems is a crucial element.

The principle of professionalism – prevention and fighting crime and illegal acts at the border, trans-border and beyond, requires good experts, exchange of experiences, appropriate tools, best practices. This means combination of training, education and professional development for institutions and agencies of Kingdom of Swaziland and ensuring recruitment of best quality specialists only.

The principle of continuity - all foreseen activities must be considered as part of an ongoing strategy. This is particularly important due to the existence of administrative procedural time limitations and due to the various initiatives/activities, it is necessary to link actions which will endure for many years.

The principle of reliability - institutions and agencies responsible to prevent and fight crime and illegal acts should make sure to build trust and preserve integrity and prevent misuse of investigations, data and information from those who have access to them.

The principle of proportionality – means exercise of the authority of institutions and agencies involved in preventing and fighting crime and illegal acts, only to the extend required to attain legitimate objectives, by appropriate means and methods and in the shortest time possible.

9.4. Agencies Involved in IBMS Border Police and security, as a part of Royal Swaziland Police is responsible for state

border checks and surveillance pursuant to duties and responsibilities assigned by the Police Act, Defense Act on securing borders (The Umbutfo Swaziland Defense Forces) and other legal acts of Government of Kingdom of Swaziland (GKS).

The SRA – Customs is responsible for the implementation of the {Customs and Excise Act

1971, [to be amended 2014]}, its regulations 1971 [to be amended, 2014] for its implementation and other relevant legal acts of the GKS. Customs provides protection of the interests of the Kingdom of Swaziland related to imports, exports and transits of goods, regardless the mode of transport, concerning the international shipments, border crossing and the free movement of goods, people and their luggage.

Ministry of Agriculture superintends over Diary Board, National Agriculture Marketing Board

(NAM Board) and Veterinary department. These agencies are responsible for controls related to food safety, including animal feed, animal health, animal care and quality of food products of plant and animal origin. Additional duties and responsibilities as foreseen in the Law on Food, Veterinary Law, Law on Plant Protection and other legal acts of GKS.

While performing their duties, agencies involved in IBMS shall cooperate and coordinate their activities related to IBMS. Cooperation set out in this provision is achieved through IBMS Executive Board13 and other bodies established by this Board.

While performing their duties, agencies involved in IBMS shall cooperate with foreign

agencies, including agencies responsible for border checks and surveillance in Mozambique and South Africa, regional partner states and other international mechanisms that, within their scope, cover issues related to IBMS.

9.5. Other Participating Agencies

Besides agencies mentioned in Provision 5 of this Law, the following proposed government agencies, but not limited to, are included in IBMS project:

Ministry of Home Affairs; Ministry of Finance; Ministry of Public Works and Transport; Ministry of Health; Ministry of Natural Resources & Energy; Ministry of Agriculture; Ministry of Foreign Affairs; Ministry of Swaziland Defense Forces. Ministry of Commerce

Agencies from paragraph 1 of this Provision shall mainly offer support services to the agencies involved in the IBMS mentioned in Provision 5 of this Law, however in specific cases they may be involved in primary and operational functions related to the IBMS issues. Agencies from paragraph 1 of this Provision shall perform their duties and responsibilities in accordance with the drafted IBMS legislation and other relevant legal acts of the Kingdom of Swaziland.

Duties and involvement of agencies in primary and operational functions in IBMS issues, for certain cases, shall be set through a request to the IBMS National CWG, addressed to agencies involved in the IBMS and also with request of the agencies involved in the IBMS addressed to the National CWG and approval by the latter.

Beside agencies set out in paragraph 1 of this Provision, other ministries and bodies (state & non-state) of the Government of the Kingdom of Swaziland shall be involved when their involvement is necessary to manage specific situations and in other cases when this is considered necessary by the IBMS National Coordinator for the Working Group.

9.6. Intra-service

Intra-agencies cooperation for each of the agencies involved in the IBMS, if required, shall be performed at all levels, at the central and local level.

Cooperation set out in paragraph 1 of this Provision, if needed, shall also be performed between different departments and, units within each authority involved in IBMS in different regional units and different local units.

Agencies involved in IBMS, within their competency, shall approve necessary regulations and instructions, with the aim to perform IBMS activities as envisaged in this law.

9.6.1. Institutional Framework for the Cooperation between agencies involved in IBMS The Office of the National Coordinator for IBMS shall be responsible for coordination and

monitoring of cooperation between agencies involved in IBMS.

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The executive board is the policy and decision organ for the proposed IBMS Coordination Working Group (CWG)

IBMS National Coordinator shall be formally appointed by the Prime Minister, with a proposal and Secondment from by the Minister of Finance and Home Affairs.

IBMS National Coordinator, inter alia, is responsible to: Identify advantages in the field of IBMS; Provide sufficient financial resources – from the GKS Budget and foreign funds – for pilot

immediate activities, establishment and implementation of the reforms within IBMS; Approve official documents in regard to IBMS; Monitor the implementation of the IBMS overall strategy and the action plan; Coordinate IBMS strategy actions with neighboring countries and monitor the

implementation of activities linked to international cooperation in the field of IBMS coordination and cooperation with other high level coordinating bodies in the region;

Monitor the work of the IBMS Executive Board. In fulfilling his duties and responsibilities, the IBMS National Coordinator is supported by the

IBMS set-up Secretariat, which is responsible for observing activities of the agencies involved in IBMS and informing the IBMS National Coordinator on such activities.

Authority involved in IBMS delivers reports to the IBMS Secretariat regarding their activities in the field of IBMS and implementation of the IBMS strategy and action plan. The IBMS National Coordinator establishes reporting periods and methods through a special decision. In accordance to reports and information regarding IBMS, the IBMS Secretariat shall draft analytical reports and make proposals to the IBMS National Coordinator on certain issues.

The IBMS National Coordinator approves Standard Operating Procedures governing cooperation and coordination of inter-agency activities and agencies involved in IBMS.

9.6.2. IBMS Executive Board Integrated Border Management Executive Board functions for the purpose of coordination

and cooperation between agencies involved in IBMS. The IBMS Executive Board consists of the IBMS National Coordinator, Border Police

Department Director, Customs Commissioner, Chief Immigration Officer and the Chief Executive Officers -NAM Board and Diary Board and any other senior officials appointed by the Prime Minister. Upon invitation of the IBMS National Coordinator, other representatives of agencies and other bodies of Kingdom of Swaziland, international organizations or representatives from neighboring countries and other countries may attend the IBMS Executive Board meetings.

Board meetings shall be convened and chaired by the IBMS National Coordinator or his designated person.

IBMS Executive Board shall be responsible and take decisions on issues dealing with: Initiation and coordination of necessary reforms to ensure those administrative,

institutional and legislative terms are in place for the implementation of IBMS; Implementation of IBMS strategy and action plan, according to the IBMS pillars; Recommendations on improvement of cooperation and coordination between agencies; Regular update of the IBMS strategy and action plan; Cooperation with all state administration bodies and other local and international

regional bodies in matters related to IBMS; Providing assistance for state administration bodies on IBMS issues, including

coordination of activities or special projects; Review of the IBMS strategy and action plan; Establishing and coordinating of work sub-groups for the implementation of the action

plan; Provision of suggestions for resolution of matters of dispute between the agencies

involved in IBMS and legal persons involved in border traffic.

The IBMS executive board during its work shall be supported by the secretariat for IBMS as it is set forth in Provision 8 paragraphs 4 and 5 of this Law. The secretariat for IBMS provides technical support and compiles reports for implementation of the IBMS policies.

9.6.3. National Coordination Working Group The purpose of the National Coordination Working Group is to achieve effective

coordination, facilitation of exchange of information and data and greater efficiency of the system for IBMS, pursuant to the Legislation for IBMS.

The CWG shall be located at the SRA – CED and it shall be composed of RSP, CED, Immigration, NAM Board, Diary Board and Veterinary Agency officers and representatives from other authorized agencies in the Kingdom of Swaziland when necessary.

Border Police, Customs, Immigration, NAM Board and Veterinary Agency officers shall be present in the CWG center twenty-four (24) hours a day, seven (7) days a week. Representatives of other agencies shall be present when necessary and on regular basis (full time schedule) based on the preliminary approval of the IBMS Executive Board.

Joint Intelligence and risk analysis unit, inter alia, operates within the center. Centre duties and responsibilities shall be regulated through a special sub-legal act adopted

by the Government of the Kingdom of Swaziland, as provided for with the Law and Standard Operating Procedures adopted by the IBMS National CWG.

9.7. Inter-Agency - Cooperation

With the purpose of efficient cooperation a coordination of the agencies, agencies involved in IBMS, particularly Royal Swaziland Police, SRA – Customs, Immigration, NAM Board, Diary Board and Veterinary will establish mechanisms for cooperation at all levels.

Cooperation will be conducted via regular meetings (any other forum and communication platform) of the higher officials of the agencies involved in IBMS, responsible for Border Crossing Points.

The regular meetings will also be attended by other officials responsible for specific areas at the border crossing points, including border community leaders, officials for risk analysis and other officials from the private sector, depending on daily requirements.

Meetings will at the same time function as local boards for cooperation between agencies involved in IBMS and they will take decisions that are related to the effective and efficient functioning of the border crossing point.

In addition, the cooperation will be focused on: Exchange of operational information that are related to border security and control

issues; Planning of joint operations, surveillance and joint checks; Identification of joint requirements for equipment, trainings, improvement in

infrastructure, etc. Other issues related to improving and facilitating border checks and efficient

management, when this is necessary. 9.7.1. Agreements between agencies Agreements between agencies shall be signed by the representatives of two or more

agencies involved in the IBMS at every level, defining in details the ways of cooperation to be performed. Agreements between agencies shall refer in particular to the following fields, but are not limited only to them:

Information and data exchange obligations, collection and processing of data, use in the prescribed manner of different databases, access to data sharing and data transfer procedures.

Joint risk analysis and management

Exchange of risk analysis and intelligence reports at every level and harmonization of risk analysis systems;

Daily cooperation procedures at border crossing points, along the borderline and inland;

Joint training and capacity building activities; Joint sharing and use of equipment, facilities and infrastructure; Joint criminal intelligence and investigation.

Agreements between agencies mentioned in paragraph 1 of this Provision shall be, when required, complemented with precise instructions to the staff of the agencies involved in IBMS on their implementation.

9.7.2. Cooperation in combating cross border crime Authority involved in the IBMS may, on request, carry out a measure relating to the

combating of crime on behalf of another such authority in the area of responsibility of the authority in question, using the powers that it may use in its own crime-combating tasks in its area of responsibility.

Authority involved in the IBMS, may carry out an urgent measure relating to a crime-combating task, using the powers referred to in paragraph 1 of this Provision even without a request if the measure cannot be postponed. This authority in whose area of responsibility the measure in question is to be carried out shall be notified of the measure without undue delay. The measure shall be withdrawn if the authority on whose behalf the measure is to be carried out so requests or assumes the task.

If the authority involved in the IBMS mentioned in paragraph 1 of this Provision does not take the measure referred to in paragraph 2 of this Provision, it shall, without undue delay, notify the authority within whose area of responsibility the measure falls of the matter that has come to its attention, if the notification is important to prevent a criminal activity or initiate an investigation for such criminal activity or if it is necessary for other specific reasons of similar nature.

Authority involved in the IBMS mentioned in paragraph 1 of this Provision shall, without undue delay, make a notification for that criminal activity that has come to its attention and the measures undertaken relating to the authority within whose area of responsibility the matter also falls, by making an entry of the crime into a data file that shall be sent to the relevant authority.

The measures relating to the criminal activity referred to in paragraph 4 of this Provision are allowed on a case by-case basis so that cooperation will, from the point of view of criminal liability, produce the most appropriate outcome and is carried out in a manner that takes into account the main tasks and operational preparedness of each authority. Provisions on the decision-making procedure shall be issued by a sub-legal act issued by the His Majesty Parliament.

9.7.3. Exchange of Data and Information Agencies involved in IBMS, in discharging their tasks and joint activities shall exchange data

and information for which official records are kept. Exchange of data and information can also be done by interfacing information systems,

direct or indirect access to databases. Agencies involved in IBMS shall ensure effective protection of exchanged data and

information, especially personal data, with the purpose of preventing unauthorized access, change, or publication of personal data, pursuant to laws in force, provisions and specific rules regulating the field of data protection. Personal data protection shall be done pursuant to the relevant laws revised as a result of establishing IBMS.

The IBMS National Coordinator for the Working Group shall adopt the Standard Operating Procedure for data and information exchange pursuant to paragraph 1 of this Provision.

9.7.4. Joint Risk and Threats Analysis Agencies involved in IBMS shall, in prescribed period, prepare a Joint Risk and Threats

Analysis that shall be the basis for IBMS and better planning for conducting joint activities. Officials of the agencies involved in IBMS, responsible for Risk and Threats Analysis will

utilize capacities of the Secretariat center in order to draft Joint Risk and Threats Analysis. The tasks of these officials, inter alia, are to collect, evaluate, analyze, compare and harmonize data and information between all agencies involved in IBMS.

Risk and Threats Analysis, mentioned in paragraph 1 of this Provision, shall be made based on analytical and statistical indicators for a set period of time, and on the data and information, referred to in paragraph 2 of this Provision, for the purpose of border control, border security, protection of human life and health, prevention and detection of crimes and violations, and measures undertaken and results achieved in their implementation.

The IBMS National Coordinator for the Working Group shall adopt the Standard Operating Procedure for Joint Risk and Threats Analysis, pursuant to paragraph 1 of this Provision.

9.7.5. Joint intelligence and investigation teams Agencies involved in IBMS may establish a joint intelligence and investigation team for the

purposes of preventing, detecting or investigating criminal activities. A joint intelligence and investigation team may be established by the agencies that are wholly or partially responsible for dealing with the criminal case in question.

The decision on the establishment of and participation in the joint intelligence and investigation team shall be made by the agencies taking part in the work of the team. The decisions on the team leader, and acts on which intelligence is to be gathered and which are to be investigated shall be made during the establishing of the team.

In the joint intelligence and investigation team, a representative of an authority has the right to participate in the carrying out of intelligence and investigation measures that he is authorized to carry out within his own area of responsibility in combating illegal activities coming under the responsibility of the authority in question and which are required as part of joint intelligence gathering or the prevention, detection and investigation of the activities concerned and on which the team leader has made a decision under his powers. The representative of the authority participates in the carrying out of the measures under the command and necessary supervision of the team leader.

9.7.6. Technical and Professional Assistance With the purpose to enhance efficiency, operationalize and rationalize performing of their

duties and activities of joint interest, as well as joint actions in other fields of cooperation, agencies involved in the IBMS, mutually offer their specific expertise and technical assistance.

Unless it is not foreseen differently within this Law and other legislation in force, the authority involved in the IBMS is obliged to temporarily make available to another authority equipment, facilities, personnel resources or special expert services in its possession that are not available to the other authority for use in measures that are necessary for cooperation in crime combating, control and monitoring or for international cooperation. The assistance may only be provided on the condition that it does not jeopardize the carrying out of the tasks laid down for the authority providing the assistance.

The border and government agencies in the IBMS may provide technical equipment for joint use.

9.7.7. Capacity Building and Training Agencies involved in IBMS, with the purpose of capacity building of their personnel and

exchange of experience, shall organize joint trainings in the fields of interest for IBMS. Representatives from other official agencies and bodies of the Kingdom of Swaziland and

neighboring countries may also participate in trainings set out in paragraph 1 of this Provision.

9.8. International Cooperation

Coordination and cooperation will be with agencies of countries immediately neighboring to Kingdom of Swaziland – South Africa & Mozambique; and other interested countries & multilateral agencies. Agencies involved in IBMS, in performing their duties and responsibilities related to IBMS,

shall cooperate with other foreign agencies and bodies which within their scope of work cover duties and tasks related to IBMS.

Besides others the cooperation set out in paragraph 1 of this Provision is conducted with the aim to:

Enable faster movement of persons, goods and transport vehicles at border crossing points in Swaziland;

Prevent and detect trans-border crime; Collect, analyze and exchange data and information related to IBMS; Exchange experience and trainings; Coordinate activities and actions.

In conducting cooperation set out in this Provision, agencies involved in IBMS send their officers to respective countries and may accept foreign officers in their agencies, and may undertake joint operations with respective foreign officers.

Cooperation set out in this Provision shall be arranged through bilateral or multilateral agreements and in fulfilling these agreements and forms of cooperation, agencies involved in IBMS shall inform the IBMS National Coordinator.

Agencies involved in IBMS may arrange cooperation set out in this Provision through joint or special agreements.

The form and manner of cooperation in the territory of the Kingdom of Swaziland through bilateral and multilateral agreements with neighboring countries – South Africa and Mozambique, at the local level, shall be regulated by a sub-legal act.

9.9. National Strategy

Agencies involved in IBMS shall realize their actual cooperation through the National strategy for establishing IBMS without prejudice to provisions of this Law.

National strategy for establishing IBMS shall be drafted for a set period of time and the drafting shall be coordinated by the IBMS National CWG.

Following the legislation drafting and passing by His Majesty Parliament, National strategy for establishing IBMS shall be adopted by the Government of the Kingdom of Swaziland.

9.9.1. Respective sub-legal acts The Government of the Kingdom of Swaziland, if necessary shall adopt respective sub-legal acts for the implementation of this IBMS law and any regulations thereof.

10. CAPACITY BUILDING INITIATIVES TO SUPPORT IBMS

10.1. Introduction In this section, the outline of other capacity building or consensus building initiatives required for effectively running an IBMS will follow. It is important that the border and government agencies (BGA) develops and implements capacity building initiatives (CBI) that support IBMS vision, mission and strategic goals. The IBMS new systems and modern procedures we have developed require skilled and motivated employees to operate and implement them. Accordingly, the BGA will provide the necessary training investment in their employees, through the implementation of a new comprehensive capacity building initiatives that includes, but not limited to:- benchmarking, distance learning, attachment, e-learning, mentoring/tutoring, participative learning, etc. 10.2. Benchmarking This is the process of comparing border agencies' business processes and performance metrics to industry bests or best practices from identical or similar industries. In the process of best practice benchmarking, the CWG and management of participating agencies, identifies the best countries practicing IBMS or where similar processes exist, and compares the results and processes of those studied (the "targeted states") to one's own results and processes. In this way, you learn how well the targeted states perform and, more importantly, the business processes that explain why these national states are successful. Take for instance, CWG in conjunction with relevant agencies and GOKS, would approach the governments of Ghana, Mauritius, Macedonia, Kosovo, Albania, etc. with similar settings and related challenges to measure the dimensions of quality, time and cost in their IBMS implemented projects. This then allows border agencies in Swaziland to develop plans on how to make improvements or adapt specific best practices, usually with the aim of increasing some aspect of performance. Benchmarking may be a one-off event, but is often treated as a continuous process in which border and government agencies continually seek to improve their practices. 10.3. Distance education Distance education is also referred to as distance learning, dlearning, or D-Learning. This is a mode of delivering education and instruction by training academies/schools, often on an individual basis, to border officials identified and nominated through CWG who are not physically present in a traditional setting such as a classroom. For instance, WCO and IMF Distance learning provides "access to learning when the source of information and the learners are separated by time and distance, or both” to customs and trade officials. There two institutions have training centers in East and Southern Africa. Other institutions of professional training include; Canberra and Munster Universities, etc. 10.4. Field Attachment Field attachment (school practice, internship and industrial training) is a competency field, which is a based practical for trainers. In this capacity building initiative, countries that are deemed centers of excellence in the IBMS are selected and used to train border officials in training, to manage handling a preparation course. 10.5. E-learning The e-learning solution offers a wide variety of innovative educational methods, as well as some ideal alternatives to traditional methods. Used together, they can optimize the effectiveness of training very swiftly. The interactivity of the e-learning content improves learning performance by involving trainees in the process. E-learning offers training managers and course developers different types of possibilities. Customized use of this complementary training method by

training management will create opportunities to enhance the overall on-the-job training strategy. It will also achieve tangible results, allowing uniform training to extend throughout the administration, independently of geographic, economic or structural constraints. 10.6. Mentoring – twinning – coaching These three training methods are aimed at developing IBMS learners by having them gain the necessary knowledge and skills in a supported way. They involve a developmental relationship between two persons one of which is for instance an IBMS expert or specialist. Rather than simply giving the answers, the trainer’s role should be to help the learner discover the answers in the IBMS practice for him/herself. In these developmental schemes, the IBMS trainers need to facilitate the experience of discovery and learning. The trainer’s role is to help the learner discover their true self and experience their own attempts, failures and successes and, by so doing, to develop their natural strengths and potential. The difference between the methods lies in the person that supports the learner, Mentoring:- The mentor has more professional experience than the learner in the IBMS

field that he is to “teach”. Coaching:- The coach does not necessarily have experience of the learner’s professional

IBMS field, but will help him/her to develop in his/her job. Twinning:- The twin is usually a person at the same level as the learner, but from another

border or government agency. For example, it may be somebody from a parallel border agency in another country such as South Africa or Mozambique, or somebody doing the same job in a different border agency. In any event, it is important – as in the case of other types of training actions – to establish training objectives, create schedules and hold regular assessments in order to benefit fully from these kinds of capacity building programmes. 10.7. Tutoring Tutoring can refer to the same kind of relationships as those indicated in the previous paragraph, but within an online IBMS training environment. The IBMS tutor has an educational role, a social support/group development role, a managerial role and, usually to a lesser extent, a technical support role. Online tutoring implies a self-motivated and independent learner. Learning is the key focus of the process, as opposed to teaching. E-moderating usually refers to group online or web- based learning that: Is based on constructivist and social-constructivist principles Focuses on utilizing online dialogue and peer learning to enrich learning within the online

environment Focuses on achieving goals of independent learning, learner autonomy, self-reflection,

knowledge construction, collaborative or group-based learning, online discussion, transformative learning and communities of learning, as opposed to delivering online content via a transmission mode.

In a full online training environment, the role of the IBMS tutor is crucial as this person will be the only reference for the trainee and will guide him/her through the learning process. 10.8. Participative learning The concept of participative learning is not new and is used most of the time by training developers and trainers in IBMS field. It is based on the idea that trainees can learn not only from the trainer, but also from and with each other, sharing their experiences and building their knowledge through the experiences of others. The methods often used for participative learning in a lecture room environment are group discussions, case studies, group exercises, etc.

Nevertheless, the latest developments of Web versions 2.0 & 4.0; and the expansion of e-learning have created new tools for the use of participative training methods in the online environment. When integrated on the e-learning platform, these tools may complement the e-learning courses (above) very effectively by offering a blend of methods that help the IBMS students acquire knowledge or skills in greater depth. Among these tools, are: Wikis: these could be defined as online open encyclopedias to which each participant can

contribute and in which each can write articles, based on their own knowledge and experience.

Forums: these are online message boards where participants can share their views on different subjects, or ask for suggestions from other participants when facing a problem. It is advisable for a moderator (the tutor or trainer) to monitor the forums in order to guide discussions and answer the most difficult problems.

Blogs: these are online journals where participants can express themselves in an individual or collaborative way. They may reflect the development, doubts and achievements of learners during their training.

10.9. Outplacement Outplacement is the set of services and advice given to an employee by the employer with the objective of helping the employee find a new job outside the organization where he is currently employed. Examples are: providing help with job applications, finding out information about job opportunities and helping with self-assessment. In some cases, an outplacement agency may be called in. During the assessment phase above, restructuring and reforms are initiatives that will have to be introduced. When restructuring has taken place and the employee cannot be found a different post, or when an employee cannot meet the requirements of the job. Outplacement can also be used to stimulate organizational mobility or to stimulate the outflow of personnel. 10.10. Coordinating Working Group on CBI Four levels of capacity building initiatives (CBI) are presented for consideration to support IBMS:-

The CBI at level 1 is the national working group, which should meet routinely to discuss needed reforms, assess training needs and suggest further steps in priority areas: legal systems; strategic and organisational structures, leadership and management; logistical support; education and training; risk analysis, criminal intelligence and investigation; and green/blue border surveillance.

The CBI level 2 would be the development of a two-year advanced distance learning

course which ‘can be seen as a cornerstone for a future IBMS training institute. The target trainees here would be officers, supervisors, station managers and office-in-charges of different border participating agencies represented at the BCPs.

The CBI level 3 course development should focus on middle-level operational guidelines

and job descriptions appropriate for that level of management in the border organisational and leadership hierarchy. The target trainees here would involve participants at the levels of Directors and regional managers of relevant agencies and in government departments. The courses on coordination leadership, Communication and

stress management and Legislative framework, e-learning and border surveillance, with modules on IBMS Operational guidelines would be offered.

The CBI level 4, Coordinating Working Group would organize a bi-annual capacity

building conference for about 20 corporate CEOs’ and leaders, heads/academicians of high institutions of learning, private sector leaders/chairpersons, community/town councils leadership and other government heads relevant to IBMS objectives.

In accordance with this capacity building initiatives, a structured and formalised Training Needs Analysis (TNA), with a strong line management input, will be undertaken, to include a comprehensive review of border agencies training programmes and training material needs. In addition, the findings of this TNA and the Joint Training Unit will be supported with a ‘pool’ of fulltime trainers, along with a Training-of-Trainers programme to improve the quality and confidence of the trainers. Moreover a feasibility study on e-learning programmes with regard to IBMS trainees should be initiated. Other additional initiatives to be undertaken may include: Establishment of an adequate system of cadre planning for border services reinforcement. Harmonisation of the training system of border service persons with Swaziland and SADC

regional standards and best practices. Creation of plan and programme system for further improvement of gained knowledge

(continual education) via specialized courses, as well as foreign language courses. Modernization of educational and training centers to incorporate IBMS curricula. Organization of training for managers aimed at gaining managerial skills. Planning and realization of training mutual for two or more border services, as well as

induction courses with basic work of other border services. All the above activities can be implemented through a large number of workshops, working group meetings and conferences. 11. COST ESTIMATES FOR IMPLEMENTING IBMS PILOT The cost estimates that will ensure possible initiation of piloting IBMS have been consolidated in the range of US $716,000 in the table 2 below. The format deliberately took care of the summary action, activities, expected results, benefits and timelines which justify the value for money allocated to each IBMS thematic. The costing also considered various IBMS pillars of intra-service - $276,000, inter-agency - $205,000, international cooperation - $200,000 and Anti-corruption measures - $20,000. The exception is the figure for infrastructure that is estimated at $7.7 million that should be considered separately or in peace meal funding for all 13 BCPs. The pilot should as well follow a similar roll-out path. Considering that the five main border agencies that would get involved in IBMS pilot (RSP, CED, Immigration, Agriculture- Veterinary and NAM Board services) it is proposed that the pilot phase considers an inter-agency approach hence a consolidated costing method with Customs receiving funding and taking lead. Table 3: Estimates of the cost of initiating implementation of the pilot IBMS INTRA-SERVICE – RSP, CED, IMMIGRATION, AGRICULTURE-NAM Board/VETERINARY, HEALTH

S/No

IBMS Thematic & Cost Center

Proposed Actions

Activities Expected Result

Total Cost In US Dollars

Benefits Priority

Duration

Timelines

1 Legislative Framewor

1. Draft amendments and develop new

1. Conduct a detailed gap analysis of ALL the

New legislation is in place.

50,000 Draft of the legal framework

High 1 year Mid-2015

k

legislation as necessary 2. Draft regulations and internal orders related to IBMS communication, cooperation, exchange of information, joint operations, training and use of infrastructure and equipment.

legislation in the field of border control 2. Prepare draft amendments. 3. Hand them over to the DPP Directorate for comments. 4. Prepare final draft and forward It DPP Directorate for consideration and further actions.

for IBMS pilot and future implementation

2 Institutional Frame work

1. To prepare and submit for approval the new IBMS organizational structure 2. Prepare annual financial plans. 3. To implement the new structure.

1. To assess & audit the effectiveness of the existing agencies’ structures; and to address gaps and shortcomings. 2. Establish a working group for the restructuring of IBMS. 3. Prepare the new organizational structure and forward it for approval.

The legal grounds for the reorganization of border agencies are established.

40,000 Border agencies structures are aligned to the system capabilities of interfacing each other.

High 1 year Mid - 2015

3 Procedures

Develop inland and implement border control SOPs.

1. Establish a sub-working group on SOPs 2. Collect and analyze existing orders, directives, instructions and procedures. 3. Identify areas in need of SOPs. 4. Draft SOPs 5. Submit final drafts for approval 6. Implement SOPs.

1. SOPs exist for BCPs, green borders. 2. Responsibilities and duties are clarified.

45,000 IBMS works with defined and unified SOPs in compliance with IBMS requirements on IBM


4 Human Resources/ Training

1. Approval of training curriculum and establishment of specialized border police training structure at the Police Academy. 2. Conduct needs analysis for specialized and general training in consultation with Police Academy. 3. Develop new training programs or adjust existing training programs on the basis of training needs analysis for specialized IBMS topics.

1. Approval of training curriculum. 2. In consultation with the participating agencies seek to establish a specialized IBMS training structure; staff and equip this structure. 3. A joint group composed of all the participating border agencies officials will conduct a training needs analysis. 4. Submit analysis for approval.

1. Well trained professional staff of IBMS. 2. Training needs analysis conducted and approved.

120,000

1. Border agencies shall have a training center that promotes and conducts training programs in compliance with IBMS standards. 2. Increase cooperation with border agencies in identifying needs of IBMS for specialized and general training


5 Communications

1. Develop and implement SOPs

1. To assess the possibilities to

Information

21,000 IBMS communica

High 6 month

Mid- 2014

and Information Exchange

related to communication and information exchange. 2. Develop and implement SOPs related to risk analysis.

better integrate current and future IT systems. 2. To define means methods and specific data and level of access of information through IT systems within agencies. 2. Approve SOPs related to communication and information exchange. 3. Implement SOPs related to communication and information exchange.

exchange and communication in compliance with required standards.

tion and information exchange based on SOPs

s

6 Infrastructure & Furniture

1. Develop and upgrade key BCPs infrastructure in compliance with IBMS requirements. 2. Acquire appropriate equipment for all key BCPs planned for IBMS.

1. Establish working group on infrastructure and equipment. 2. Assess existing infrastructure & equipment needs at central, regional and local level, by consulting assessments conducted. 3. Determine priorities and develop recommendations. 4. Develop investment plan and forward it for approval. 5. Implement plan.

Infrastructure in compliance with required standards.

7,714

million [5 million for infrastructure, 2 million for equipment]

IBMS is provided with proper infrastructure and equipment

High Continuous

On- going

S/Total $276,000

INTER-AGENCY – RSP, CED, IMMIGRATION, AGRICULTURE-NAM Board/Veterinary, HEALTH

1 Legal frame work

1. Conduct a gap analysis of the existing legal and regulatory framework as compared to IBMS standards and prepare recommendations for amendments. 2. Draft necessary amendments and/or develop new legislation as necessary

1. Inter -agency legal working group collects existing national and IBMS relevant legislation 2. Analyze it. 3. Prepare recommendations and forward them to the Inter-Ministerial Committee

Approval by the Inter-Ministerial Committee of the prepared recommendations

50,000 Legal framework harmonized according to IBMS requirements

High 3 Months

On- going


1. To prepare an annual plan and topics to be discussed in planned inter-

1. Establish working group on management and organization 2. Identify contact

Annual plans developed and approved.

60,000 Interagency cooperation enhanced.

High 2 Month

On- going

14

The cost for infrastructure should be considered beyond the pilot phase. It is not included in the cost estimates. Note that the above costs have benchmarked against Turkish and Macedonia border agency activity plans.

agency meetings at local, regional and central levels. 2. Management of all agencies convene meetings according to plan and additionally according to needs

points for the development of the annual plan in each agency. 2. Identify topics to be discussed, terms of reference, and meetings scheduled in the annual plan. (draft annual plan) 3. Approval of annual plan by relevant principals or heads.

3 Procedures

1. Improve, harmonize and simplify procedures at BCPs, inland checkpoints and green borders based on inter-agency cooperation. 2. Draft, obtain approval and implement procedures manual for use by involved agencies.

1. Inter-ministerial working group to appoint working group for procedures 2. Review existing procedures in each agency. 3. Draft proposals to harmonize and simplify standard procedures in BCPs and inland checkpoints. 4. Forward proposals to responsible persons within involved agencies for approval

Staff implements harmonized and simplified procedures.

10,000 Procedures for joint operations exist Coordinated procedures to perform joint operations

High 6 Months

Mid- 2014

4 Human Resource/ Training

1. Harmonize and implement deployment plans of border agencies taking into consideration the categorization and prioritization of the BCPs as well as the actual work load (depending on the season and the time of day). 2. Continuous review of deployment plans.

1. All agencies compare human resources deployment plans with each-other to identify needs. 2. Draft proposals for the harmonization of deployment plans. 3. Seek approval for proposals and implement proposals.

Harmonized deployment plans for border agencies

40,000 Personnel deployed in accordance with the planned needs and tasks

High Every 6 Months

Mid- 2014

5 Communication/ Information Exchange

1. Identification of current gaps and development of appropriate ways of inter-agency communication at all levels. 2. Develop a manual for interagency communication 3. Implementation of the manual.

1. To set up the working group on communication and information exchange. 2. To identify gaps and define topics for information exchange. 3. To develop appropriate ways of inter-agency communication and information exchange at all levels. 4. To identify contact point at all

Appropriate ways of inter-agency communication at all levels are identified and accepted. Information is exchanged accordingly.

25,000 Necessary means and ways of communication identified.

6 Months

Mid-2014

agencies at all levels. 5. Approval of proposals.

Infrastructure/ Equipment

To prepare implementation plan for construction or upgrading of BCP based on Master plan for investments in Border Control infrastructure Gradual implementation of Master plan.

1. Inter-Ministerial Committee to appoint working group on Infrastructure and Equipment. 2. To assess Master plan for Investments in Border Control Infrastructure. 3. To draft a general survey providing data on current and expected future operations. 4. To draw a standard design for BCP taking into account the needs of the border agencies.

A complete overview, infrastructure needs assessment, priorities and investment strategy is available for investors.

As Above

Action completed by Master plan for BCP infrastructure. Tender is launched.

18 Months

S/Total $205,000

INTERNATIONAL COOPERATION – RSP, CED, IMMIGRATION, AGRICULTURE - NAM Board &VETERINARY

1 Legal frame work

Conduct and assess the gap analysis of the existing legal and regulatory framework for international cooperation compared to IBMS standards and draft and approve amendments or Legislation.

1. To analyze the legal framework for international cooperation and assess the possibilities for improvement. 2. To draft MoU and/or new legislation as needed. 3. Approval of MoU and/or new legislation.

Legal and regulatory framework for international cooperation is based on IBMS good practices.

100,000

Legal and regulatory framework on international cooperation in compliance with IBMS requirements.

High On going

1st

quarter 0f 2015


1. To prepare an annual plan and topics to be discussed between agencies within Swaziland BCPs and later jointly from both sides of the border. 2. To convene meetings according to plan and additionally according to needs.

1. To create a working group consisting of representatives from agencies on both sides of the border at each BCP. 2. To research areas of common interest. 3. To prepare a plan with topics for discussion at joint meetings. 4. Obtain approval of plan.

Plan for intra-agency meetings and cross-border international meetings is developed

35,000 Communication, coordination, cooperation between all border agencies in Swaziland and cross – border agencies improved.

High 6 Months

1st

quarter of 2015

3 Procedures

Improve, harmonize and simplify procedures at BCPs and green borders for international

1. Create international working group for cross border procedures. 2. Review existing

Harmonized, standardized and simplified procedures in BCPs being used in

15,000 More effective & efficient service delivery in BCPs

High 6 Months

On - going

cooperation. procedures between piloting border agencies first, then through JBMC motivate border agencies of South Africa & Mozambique do the same 3. Draft proposals to improve, harmonize and simplify procedures in BCPs and green borders. 4. Obtain approval from all participating border agencies of S. Africa & Mozambique. 5. Familiarize personnel with new procedures. 6. Implement the BPR procedures.

daily work.

4 Human Resources

1. CWG to organize workshops and exchange programmes with international participation where necessary. 2. CWG to organize foreign language training in order to facilitate international cooperation. International actors such as the British Council and Portuguese Embassy should be approached regarding support in language training.

1. Conduct training needs analysis relating to international workshop and exchange programmes. 2. Develop training programme, curriculum and schedule. 3. Organize training of Portuguese for border posts along Mozambique border line. 4. Implement joint training program for pilot BCPs.

1. Improved international cooperation by CWG personnel. 2. Indicators Training plan developed. 3. Workshops and exchange programmes implemented.

25,000 Border officials trained in IBMS specific areas and improvement of cooperation.

High 6 Months

2014

5 Communications / Information Exchange

1. Identification of current gaps and development of appropriate ways of international communication at all levels. 2. Ensure the integration of current and future IT systems operating at the border in order to permit international access and

1. To set up a sub-working group in contact with international counterparts in other customs administrations. 2. To identify gaps and define topics for information exchange. 3. To develop appropriate ways of international

Appropriate ways of international communication at all levels are identified and accepted.

10,000 Prevention of illegal trafficking, cross border crime and avoidance of delays.

High 1 year 2014

information sharing as necessary. 3. Develop and implement guidelines for international communication.

communication and information exchange at all levels. 4. To create contact points at all levels. 5. Approval of proposals.

6 Infrastructure /Equipment

1. Ensure usage of infrastructure for joint use identified. 2. Joint use of infrastructure takes place where appropriate.

1. To create a sub working group with international participation. 2. To assess the possibilities for the joint use of infrastructure. 3. To define priorities and to develop recommendations. 4. To develop agreements (e.g. MoUs) and joint investment, implementation and maintenance plans and to forward for approval. 5. To implement the joint plans.

International cooperation is improved. Where appropriate BCP infrastructure is used jointly.

As Above

Facilitation of trade and faster controls

Low 18 Months

2015

S/Total $200,000

ANTI-CORRUPTION MEASURES – RSP, CED, IMMIGRATION, AGRICULTURE- NAM Board & Veterinary

Legal, Institutional frameworks, procedures, human resources/training, communication/information exchange.

To identify causes and factors that affects the corruption of IBMS personnel. To take measures to fight corruption, annually review and adapt anti-corruption measures as necessary.

1. To complete the necessary legal framework based on the gaps identified 2. To draft standard operating procedures (SOPs) to regulate IBMS activity at all levels 3. To take the necessary disciplinary measures against personnel who are involved in corruption cases. 4. To create mechanisms for public information related to the legal rights and duties regarding borders activities. 5. To create a mechanism to

Appropriate measures to fight corruption taken.

20,000 To minimize corruption cases within IBMS and to increase public confidence for the Police.

High Continuous

On- going

denounce corruption 6. Annually review and adapt anti-corruption measures as necessary.

S/Total $20,000

In order to carry out IBMS pilot effectively, the CWG must prioritize activities in the area of IBMS and set up a specific budget line for each scheduled activities. The most convenient way is to establish pool fund IBMS pilot at the national level. For the period of the pilot, CED could be permitted to have the initial lead-agency responsibility and operate through the CWG to lead the pilot and manage the funds. CWG would proceed to break it down to the budget sub-lines for each agency taking part in IBMS for cash-flow disbursement and accountability purposes. The IBMS pilot budget line should be separated from the common budget that is allocated to CED on a regular basis and in a regular work plan. Furthermore, spending the IBMS pilot budget should be coordinated and agreed among by all agencies. 12. CONCLUSIONS It is acknowledged that there is variety and multiple of tasks performed at the five border control posts (three border posts, in-land and airport). There are considerable numbers of key participant’s involved, huge gaps and discrepancies between the current and desired IBMS state of affairs. In spite of the existing unfeasibility state of establishing IBMS at the moment, there is huge ray of hope on the attitudes, positive reception towards the concept and to a great extent the enabling infrastructure at Ngwenya and Lavomisa to support the initial stages of the pilot. It is clear that during the period ahead, the IBMS project will remain one of the most important projects for the efficient border security and clearance service delivery in Swaziland. In the end, IBMS specific manifestations will hinge entirely on the outcomes of future political processes and decisions made on its roadmap. 13. APPENDICES Appendix 1:Legislative Analysis on Laws, Acts, MOU’s, Protocols/Conventions in Swaziland Date Title Implementing Agencies MOU Purpose Evaluation Remarks Country/

Region

14/02/2013 MOU between Swaziland Revenue Authority (SRA) and MOHA :- Royal Swaziland Police/Department of Public Prosecution/ Immigration department

That the purpose of this MOU is to establish, encourage and strengthen a unified working relationship between the parties in regard to the parties operations and ensure that the relationship remains a collective working relationship when it comes to the detention, seizure, investigation, arrest and prosecution of offenders who contravene any Revenue laws or such other laws as may be applicable in any given case

MOU does not render cooperation agreement regarding IBMS instead cooperation is specific to a working relationship on offenders contravening Revenue Laws.

Swaziland

17/04/2013 MOU between SRA and Ministry of Natural Resources & Energy.

To establish a mutual and operational relationship between SRA and the Ministry of Natural Resources and Energy in respect to their operations at all points of entry into the country in regard to Fuel and Energy sector and in respect to the exchange of information in regard thereto.

The MOU is cooperation specific fuel and energy sector and information exchange (hope data is inclusive)

Swaziland

08/04/2013 MOU between SRA and National Agriculture Marketing Board

To establish a mutual and operational relationship in respect to their operations at all demarcated points of entry into the country so as to ensure proper monitoring and compliance with each organizations respective legislations and regulations.

MOU is specific and tailored to monitoring and compliance.

Swaziland

27/07/2011 MOU between SRA and South African Revenue Services

The parties agreed that their cooperation shall include, but not necessarily be limited to: (i). Regular exchange of ideas, proposals and experiences (ii). Sharing of information on new developments (iii). Exchange of information on general matters of revenue and enforcement (iv). Exchange of experts on short-term as well as on operational personnel as and when mutually required (v). Capacity building and training

MOU’s is more accommodative and flexible for future inclusion of cooperation aspects. This MOU is IBMS compliant and can accommodate its principles upon request and mutually agreed. It can benefit Lavumisa to start JBMC

Swaziland & South Africa

26/10/2005 Addendum on e-data 22/11/2012

MOU between the Customs Administrations of Swaziland and Mozambique.

MOU will afford mutual assistance with regard; (i). To ensure that their respective laws are respected and observed (ii). To prevent, detect, investigate and repress, customs offences (iii). Cases concerning delivery of documents regarding application of customs laws.

MOU is limited to Mutual and administrative assistance. It is operation is rendered in accordance with the domestic laws

Swaziland & Mozambique


Appendix 2: Some Legal Instruments, Memoranda of Agreement and International Agreements TYPE OF AGREEMENT 3rd PARTY

Double Taxation Avoidance Agreement Republic of Seychelles

Tax Information Exchange Agreement States of Guernsey

Tax Information Exchange Agreement Isle of Man

Co-operation Agreement South African Revenue Service

VAT Refund Agreement South African Revenue Service

Co-operation Agreement Anti-Corruption Commission

Exchange of Information Agreement Central Statistics Office

Cooperation Agreement Ministry of Natural Resources & Energy

Cooperation Agreement Royal Swaziland Police

Cooperation Agreement National Agriculture Marketing Board

Mutual Administrative Assistance Mozambique

The tripartite MOU:- ii. The Immigration Act, 17 of 1982 and Regulations of 1987(under section18). iii. The Swaziland Constitution sect.29 of 2006 – powers vested to police security (law enforcing agents). iv. Criminal procedure and evidence Act, 67 of 1938. v. The Customs and excise Act, 1971 and Regulations as amended. vi. The VAT act, of 2011 vii. The Money Laundering and Financing of Terrorism (Prevention ) Act, 2011 viii. The ICAO Convention annexure 17 and 19 of 1944 ix. Swaziland civil aviation authority Act, 2009 and SWACAA (AVSEC) Regulations.

Ministry of Home Affairs Immigration Chiefs, SRA Commissioner General National Commissioner of Police (RSPS).

Source: SRA Annual Report 2012

APPENDIX 3: STAKEHOLDERS INTERVIEW SCHEDULES KEY STAKEHOLDERS

PARTICIPATING INTERVIEWEE

ADDRESS, CONTACTS AND INTER VIEWER PLACE DATE

Designation Name Mail/ Address Contact, location Name Site Month

SWAZILAND REVENUE AUTHORITY

Commissioner General

Mr Dumisani E. Masilela

Tel: +268- 24064000 Email: [email protected], Cell +268 76063021

Charles Nuwagaba Mbabane December 2013

Commissioner Customs & Excise

Mr. IV Mazorodze Tel: +268-24064000, E-mail: [email protected], Cell: +268-76063085


Director Legislative Khauhelo Mawana Tel: +268 24064000 Email: [email protected]; Cell: +268 76063056


mailto:[email protected]



Director – Customs Projects & CWG

Mary Dube Tel: +268 24064000, Email: [email protected], Cell: +268 7606 3074

Charles/ Cyprian L Mbabane December 2013

IBMS - Project Coordinator & Manager – Ngwenya BCP

Cyprian Lukhele Tel: 24064000, Email: [email protected], Cell: +268 76063147

Charles Nuwagaba Mbabane/ Ngwenya

December 2013

Manager – Lavumisa

Bertina Simelane Tel: +268 23046002, Email: [email protected], Cell: +268 76063145

Charles/ Cyprian L Lavumisa November 2013

Manager – Lomahasha

Archel Mavuso Tel: +268 2323626, Email: [email protected], Cell: +268 76063334

Charles/ Cyprian L Lomahasha November 2013

Matsapha ICD/AGOA Doreen Hlatshwako Tel; +268 251 85739, Email: [email protected], Cell: +268 76063153

Charles/ Cyprian L Mbabane November 2013

Senior Customs Officer – Matsapha Airport

Hlophe Lomakhonkhosi

Charles Nuwagaba Matsapha November 2013

IMMIGRATION DEPARTMENT

Chief Immigration Officer

Zodwa Mkhwanazi Tel: nil, Email: nil, Cell: +268 76048123


Manager – Ngwenya (Senior Immigration Officer)

Gugu Dlamini Email: nil, Tel: nil, Cell: +268 76154936

-do- Ngwenya November 2013

Manager - Lavumisa Phesheya Mavimbela Mxolisi Sibiya

Cell: +268 76071285 Cell: +268 76573415

-do- Lavumisa November 2013

Manager – Lomahasha (RSP in charge)

RSP-O/C – Philip B. Mamba

-do- Lomahasha November 2013

Manager – Immigration Matsapha Airport

Sipho Mohale Makhosi Simelane

Cell: 76044907 -do- November 2013

AGRICULTURE DEPARTMENT –NAM Board / Diary Board / Veterinary

CEO - NAMBOARD Dlamini Siphephiso Tel: +268 2505 5314 or :+268 2505 2547 [email protected], Cell: +268 7602 8567


OIC- Dairy Board Dr Tony Dlamini Cell: 76025566 -do- Ngwenya November 2013

OIC – Lavumisa – Agriculture O/C - Veterinary

Mduduzi Simelane Melusi Mabuzi

-do- Lavumisa November 2013

OIC - Lomahasha Invited on call -do- Lomahasha November 2013

OIC – Matsapha ICD/AGOA

Not available at border

Invited on call November 2013

HEALTH DEPARTMENT

Department of Health Not available at border


OIC - Ngwenya Teenage Muzi Khumalo

Done Ngwenya November 2013

OIC - Lavumisa Not available at border

Invited on call Done Lavumisa November 2013

OIC - Lomahasha Not available at border

Invited on call Done Lomahash November 2013

OIC – Matsapha ICD/AGOA

Not available at border

Invited on call -do- November 2013

ARMY – UMBUTFO SWAZILAND DEFENSE FORCES

Ngwenya - Commander

Captain Dlamini Charles/ Cyprian Ngwenya November 2013

DEPARTMENT OF POLICE

Commissioner of Police

Isaac M Magagula Charles/ Cyprian L

OIC – Ngwenya – Post Commandant OIC – Border Security /Intel - Inspector

Phumzile Maseko Inspector Dube

Cell: +268 76231680 Cell: +268 76053262

-do-

Ngwenya November 2013

OIC – Lavumisa – Joseph Fondololo -do- Lavumisa November






Assistant Supritendent O/C – Anti-Car Theft

Mabuza Jerome M. Mahlaba

2013

OIC – Lomahasha –Post Commander O/C – Anti-Car Theft

Philip Boy Mamba Hezewah Mamba

Tel: +268 23236221, Cell; 76342277 -do- Done

Lomahasha November 2013

OIC – Matsapha Airport – Post Commandet

Happiness Shongwe (Msibi)

Cell:+268 76077734 -do- November 2013

FREIGHT FORWARDERS

President of Freight Forwarders

Veli Dlamini Email: [email protected], Cell: +268 7602 5743

Charles Nuwagaba Mbabane November 2013

Branch Representative - Ngwenya

Thobile Mhlanga Email; [email protected], Tel: 24424734, Cell: +268 78188986

Done Ngwenya November 2013

Branch Representative – Lavumisa Interfreight

Zanele Mathebula Nelisa Zeeman

Cell: +268 76022635 Done Lavumisa November 2013

Branch Representative – Lomahasha

Veli Dlamini Nokuphiwa Ndizimandze Celumusa m Ndlangamandla

Email: [email protected], Cell: +268 7602 5743

Done Lomahasha November 2013

Matsapha ICD/AGOA – Sharp Freight

Jabu Vilakati +268 76044405 Done November 2013

SWAZILAND INVESTMENT PROMOTION AUTHORITY (SIPA)

Executive Director Phumelele Dlamini Email; [email protected],sz, Cell: +268 76023141

Charles/ Cyprian L Mbabane

MINISTRY OF TRANSPORT – Manzini - Matsapha Airport

Civil Aviation - Manager

Sabelo Dlamini Mr. Lukhele Mr Magagula Mr Mnisi

+268 76094276 +268 76064282 +268 76064286 +268 76064278

Charles Nuwagaba Manzini December 2013

Customs - OIC Lomakhonkhosi Hlophe

Email; [email protected], Tel: +268 25184400, Cell: +268 76124123

-do- Manzini December 2013

Immigration - OIC Mr Mohale Sipho -do- Manzini December 2013

Others – DHL International

Themba Dlamini +268 76086617 -do- Manzini December 2013

DATA TRADER INPUT

Lavumisa – Shift O/C Dlamini Hlobole Charles Nuwagaba Lavumisa November 2013

Lomahasha – Shift O/C

Simangele Mahlalela Charles Nuwagaba Lomahasha November 2013


APPENDIX 4: KEY LEGAL DOCUMENTS15

SADC Instruments for Cooperation

1. Treaty of the Southern African Development Community 1992 (Entered into Force in 1993) 2. Charter of the Fundamental Social Rights 2003 (EIF Aug 2003) 3. Charter of the Regional Tourism Organization of Southern Africa (RTOSA) 1997 (EIF Sept 1997) 4. Declaration on Regional Cooperation in Competition and Consumer Polices 2009 (EIF Sept 2009) 5. Mutual Defense pact 2003 (EIF Aug 2008) 6. Protocol on Corruption 2001 (EIF July 2005) 7. Protocol on Culture, Information and Sport 2001 (EIF Jan 2006) 8. Protocol on Development of Tourism 1998 (EIF Nov 2002) 9. Protocol on Education and training 1997 (EIF July 2000) 10. Protocol on Energy 1996 (EIF April 1998) 11. Protocol on Extradition 2002 (EIF Sep 2006) 12. Protocol on Finance and Investment 2006 (EIF Apr 2010) 13. Protocol on Fisheries 2001 (EIF Aug 2003) 14. Protocol on Forestry 2002 (EIF July 2009) 15. Protocol on Health 1999 (EIF Aug 2004)

15

Adopted from SADC draft guidelines for coordinated border management - 2011



mailto:[email protected],sz


16. Protocol on Illicit Drugs 1996 (EIF March 1999) 17. Protocol on Legal Affairs 2000 (EIF Sept 2006) 18. . Protocol on Mining 1997 (EIF Feb 2000) 19. Protocol on Mutual Legal Assistance in Criminal Matters 2002 (EIF March 2007) 20. Protocol on Politics, Defense and Security Cooperation 2001 (EIF March 2004) 21. Revised Protocol on Shared Water Resources 2000 (EIF Sep 2003) 22. Protocol on Trade 1996 (EIF Jan 2000 23. Protocol on Transport, Communication and Meteorology 1996 (EIF 1998) 24. Protocol on Tribunal and the Rules of Procedure 2000 (EIF Aug 2001) 25. Protocol on the Control of Firearms, Ammunition and Other Related Materials 2001 in SADC (EIF Nov 2004) Other Instruments for Specific Areas of IBMS Border Checks

1. Convention of 7 December 1944 on International Civil Aviation (ICAO Convention, Annex 2, 9) 2. Convention on Facilitation of International Maritime Traffic (FAL, 9 April 1965) 3. Convention against Trans-national Organised Crime (UN, Palermo Convention, 15 November 2000, including two protocols) 4. UN treaties against international terrorism can be found on the following portal:http://www.un.org/News/dh/latest/intrea¬terror.htm Customs Control

1. Convention establishing a Customs Cooperation Council (WCO, 4 November 1952) 2. Revised International Convention on the Simplification and Harmonisation of Customs Procedures (WCO, revised Kyoto Convention 3 February 2006) 3. International Convention on the Harmonisation of Frontier Controls of Goods (UN, 21 October 1982) 4. International Convention on Mutual Administrative Assistance for the Prevention, Investigation and Repression of Customs Offences (WCO, Nairobi Convention, 21 May 1980) 5. Convention on Nomenclature for the classification of goods in Customs tariffs and Protocol of Amendment thereto (WCO, 11 September 1959) 6. Convention on the Harmonized Commodity Description and Coding System (WCO, 1 January 1988) 7. International Convention on Mutual Administrative Assistance in Customs Matters (WCO, Johannesburg Convention, 27 June 2003, not yet in force) 8. SAFE Framework of Standards to Secure and Facilitate Global Trade (WCO, 23 June 2005) Inspection of Plants and Plant Products

1. The International Plant Protection Convention (IPPC) regulates the movement of plants and plant products and their protection against harmful organisms 2. Other international standards related to the inspection of plants and plant products can be found on the following portal: http://www.ipfsaph.org/En/default.jsp 3. Convention on International Trade in Endangered Species of Wild Fauna and Flora (UN, CITES Convention, 3 March 1973, amended 22 June 1979) 4. Phyto-Sanitary Convention for Africa (OAU, 13 September 1967) Inspection of Live Animals and Foodstuff

1. The OIE develops normative documents relating to rules that Member Countries can use to protect themselves from the introduction of diseases and pathogens, without setting up unjustified sanitary barriers. The main normative works produced by the OIE. 2. The Terrestrial Animal Health Code and the Manual of Diagnostic Tests and Vaccines for Terrestrial Animals The Aquatic Animal Health Code and the Manual of Diagnostic Tests for Aquatic Animals 3. Other international standards related to the inspection of live animals and foodstuff can be found on the following portal: http://www.ipfsaph.org/En/default.jsp Human Health Check

1. The second edition of the International Health Regulations (IHR) (WHO, 15 June 2007) 2. International Classification of Diseases (ICD) (WHO, May 1990) Asylum and Other Forms of International Protection 1. Universal Declaration of Human Rights (UN, 10 December 1948) 2. African Charter on Human and Peoples’ Rights (OAU, 21 October 1986) 3. Geneva Convention relating to the Status of Refugees, (UN, 28 July 1951, amended 31 January 1967 4. Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (CAT), (UN, 10 December 1984)

http://www.ipfsaph.org/En/default.jsp

5. Guidelines and Measures for the Prohibition and the Prevention of Torture, Cruel, Inhuman or Degrading Treatment or Punishment in Africa (OAU, 2002) 6. Declaration on Territorial Asylum (UN, 14 December 1967) 7. African Charter on Human and Peoples Rights (AU, 26 June 1981) 8. African Union Convention Governing the Specific Aspects of Refugee Problems in Africa (AU, 10 September 1969) Migration

1. International Convention on the Protection of the Rights of All Migrant Workers and Their Families (UN, 18 December 1990) 2. Convention concerning Migration for Employment (ILO, Revised 1949) 3. Convention for the Suppression of the Traffic in Persons and of the Exploitation of the Prostitution of Others, UN, 25 July 1951) 4. Protocol Against the Smuggling of Migrants by Land, Sea and Air, supplementing the United Nation Convention Against Trans-national Organized Crime, 15 December 2000 5. Protocol to Prevent, Suppress, Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nation Convention Against Trans-national Organized Crime, 15 December 2000 6. Ethical and Safety Recommendations for Interviewing Trafficked Women (WHO, 2003) 7. Inter-American Convention on International Traffic in Minors (OAS, 18 March 1994) Visa and ID Documents ILO Convention on Seafarers’ Identity Documents (No 185) 19 June 2003 Anti-corruption

1. United Nations Convention Against Corruption (2005) 2. The UN Declaration against Corruption and Bribery in International Commercial Transactions (1996) 3. The UN Convention against Trans-national Organized Crime(2003) 4. UN: International Code of Conduct for Public Officials (GA resolution 51/59, 12.12.1996) 5. WCO: The Arusha Declaration (July 1993)

Appendix 5: Assessment and Evaluation Questionnaire for Border Agency study Respondents Respondent for the Border Agency - self assessment and evaluation the feasibility of establishing Integrated Border Management System In Swaziland. Preamble

The World Bank has commissioned the feasibility study on establishing the Integrated Border Management Systems (IBMS) in Swaziland. Among the key goals of the study is to:-

i. Assess and evaluate the feasibility and pre-requisites of establishing an IBMS in Swaziland; ii. Develop IBMS processes and procedures that will form a basis for a Single Window in Swaziland; iii. Identify and, where applicable, recommend requisite legal provisions and capacity building initiatives to support the IBMS.

This survey instrument16is tailored to obtain border agency user input to the study. The agency (at the headquarters and BCP) is expected to provide this input by completing the questionnaire and return it for purposes of synthesis and analysis to the consulting team on the study. This is therefore to request you truthfully respond to the question. We are grateful for your contribution and invaluable time.

The first three sections are divided according to the three IBMS pillars i.e. intra-service, inter-agency and international cooperation; the last section assesses anti-corruption measures. Each key management aspect depicts the study purpose

1. PERSONAL PROFILE: i. Name………………………………………………………… ii. Organization/Agency…………………………………….. iii. Position…………………………………………………….. iv. Department (where applicable)………………………… v. Area of Deployment……………………………………… vi. Period of Experience with Agency work………………

Exists Current Status Comments, explanations and/or measures to be taken

Key in ascending strength: 1.Weak, 2.In development, 3.Medium, 4.Developed, 5.Advanced, 6.Excellent

A. INTRASERVICE COOPERATION is the IBM pillar that describes the cooperation and coordination between different departments, stations or units within one institution/agency. Does your agency located at the BCP of Ngwenya, Lavumisa and Lomohasha) have and exhibit such all-round cooperation and coordination?

Yes No Or N/A

1 2 3 4 5 6

Legal and Regulatory Framework The study purpose is to assess that each agency involved in border management is

Legal instruments supportive of border controls mandate (Act of parliament, statutory instrument, Bills, Agreements, etc.) are available and have been provided by Hqtrs.

Legal Acts numbered and highlighted

16 Questionnaire was adopted with adjustments on ‘IBM Self-assessment grid’ from Guidelines for Integrated Border Management in EC External Cooperation, November 2009

legally empowered to fulfill its mandate. That it determines its authority, tasks and responsibilities on central, regional and local level, including internal communication and cooperation.

What actions your station is empowered to do have been clearly described in individual legal act.

Legislation (if available) is compliant with related legislation such as regional/ international protocols e.g. SACU, SADC, WCO, IMO, WTO, FAO, etc.

There is a clearly spelt-out division of tasks within your station and the other border agencies.

Acts defined as offences are clearly defined and corresponding penalties and jurisdiction have also been clearly stated in a legal act.

. .

The structure of the your station and its place in the government institutional framework, has been clearly outlined in a legal act

Exactly what tasks that staff at all different levels of the your station should perform are defined

Your station documentation is defined and elaborate.

Access and ownership of databases relevant to the work of your station have been clearly described

How individual units/sections/stations should cooperate and communicate (vertical/ horizontal) has been clearly described, including monitoring thereof

Institutional Framework The study purpose is to assess that the agency has the necessary organizational structures to allow an effective implementation of the agency’s tasks, as well as efficient intra-service cooperation and communication

The chain of command between the policy and operational levels has been formalized (procedural manuals, monograms, etc.)

All staff members at your station understand their own and their unit’s role and responsibilities within the agency

There exist monitoring mechanisms to ensure compliance and effectiveness

The station has its own activity management strategy well-articulated and published

Your office routinely monitors the implementation of the institutional strategic policy

Decision-making powers are devolved within the station (levels of empowerment) to your staff

There is proper delegation of authority, clear delineation of responsibilities and effect lines of command and reporting

Procedures for integration The study purpose is to assess the agency’s procedures and how they define its work done by identifying responsibilities and giving a step-by-step description of how to implement a specific task.

The station has written standard operating procedures (SOPs) or similar internal instructions describing working procedures, work flows & mapping, etc.

Your stations’ procedures, processes and systems have been reviewed and are robust for interface (e.g. with Customs system).

All staff members have access to manual(s) that describe and provide guidance on all procedures in their area of responsibility

The existing control procedures simplify the workflow processes at the BCP, including the comprehension by staff, frequency/duplication to clients and methods/types of procedures.

There are clear instructions and objectives for risk analysis, including the procedure for sharing of Risk Assessment results with other agencies

All staff are aware and familiar with contingency/ emergency situation (work-overloads, congestion, pile-ups) procedures in your station and their role therein

You are satisfied with the agency that there is a code of conduct (and ethics) to deal with errant staff on corruption.

All staff knows their individual responsibilities, as well as the procedure for disciplinary action in case of irregularities.

Disciplinary or corrective actions are taken by a unit specialized in external auditing

Human Resources and Training The study purpose is to assess the competency ingredients supportive of staff at the border and how it is essential to the quality of the service delivered.

You are satisfied that the agency has a clear human resource policy (recruitment, training, deployment, performance evaluation, promotion policy, etc.) in place tailored to the BCP operations and staff.

You are satisfied that the human resource policy is regularly evaluated and updated to accommodate border management needs and requirements.

The station has adequate staffing human resources proportionate to work-load/ volumes

There are detailed job descriptions and desk instructions available for and accessible to all staff in your station to follow

The procedure for staff rotation and delegation roles are objective and transparent; and applied uniformly throughout the your station

Staff are regularly trained and monitored on complying with the agency’s code of conduct

Refresher and specialist training courses are available to you and your staff on a regular basis

Inter-departmental/unit training and team-building activities are held and involve your teams.

Foreign & local language training is provided to your staff to cater for border language barriers

Communication and information exchange The study purpose is to assess the existing communication and information exchange goal is to regulate and standardize an efficient and rapid flow of information and effective documentation.

Operational instructions on information management, including the flow and exchange of information were availed to your staff

The type of information that has to be gathered at the border and the methods for doing so is clear to you and staff.

Public information concerning border crossing and increasing public awareness in border management and security is being done to promote public trust and support

Standardized forms and templates are used throughout the agency and the station

IT and Data support and inter-connected system to/from the headquarters to your BCP exists (e.g. Intranets, service-providers)

Name IT system platform

Authorized users have real-time access to information on relevant border activities and modes of communication, e.g. SMS messaging system, dash boards

Information is exchanged through regular reports circulating upwards in the agency (vertical communication) from/to your station

Baseline IT support system equipment and infrastructure to support business in your station have been procured and provided.

Instructions and information are regularly passed down through all levels of the agency (vertical communication) and BCPs

BCPs/units at all levels in the agency have access to the right information when they need it

Regular (weekly/monthly) meetings, agreed in advance, take place within the same unit/station.

Regular (weekly/monthly) meetings, agreed in advance, take place between different stations/units at the region level (horizontal communication)

Regular (weekly/monthly) meetings, agreed in advance, take place between the station and

headquarters (vertical communication)

Staff working in different units meet regularly for joint activities

There is exchange and rotation of staff between different units in order to improve their understanding of the other unit’s function

Infrastructure and Equipment The study purpose is to assess the existing Infrastructure and equipment supports operational staff and is adequate for performing their respective duties.

All staff in your station have clearly labeled uniforms and associated personal equipment and other tools of trade

Your station has the basic furniture and office supplies needed to function properly

Your station has the basic equipment needed to carry out their tasks.

Itemize key office equipment missing

The station owns/has regular access to a sufficient number of specialist equipment needed to carry out its tasks e.g. scanners, CCTV, etc.

E.g. Scanners, X-ray machines

There is a sufficient number of staff who know how to operate specialist equipment (if you have)

The station owns the infrastructure (buildings, roads) of the BCPs

In case the station does not own the BCP infrastructure, the station has a functioning agreement with the owner/property landlord.

The infrastructure at the BCPs includes an adequate number of building(s), parking yards, sheds, etc. for the staff to conduct their work-in

The infrastructure at the BCPs includes an adequate number of control lanes, signage’s, etc.

The infrastructure at the BCPs includes secure interview room(s) and detention space

The infrastructure at the BCPs includes adequate facilities for asylum seekers if any

The infrastructure at the BCPs includes adequate communication equipment (e.g. Public phone booths, internet points/portals and cafes, etc.)

The infrastructure at the BCPs includes secure facilities (impound sheds) for seized goods

The infrastructure at the BCPs includes separate and adequate facilities for staff (accommodation, leisure room)

Baseline equipment and infrastructure standards for the station have been formalized in a strategic and procurement plan

B. INTER-AGENCY COOPERATION for your agency covers cooperation and coordination with different border agencies, ministries and non-state actors. You agency recognizes that all border management agencies share the same core goals: Protection against threats to national security, order, economy and public health; Prevention of trans-border crime and irregularities; Facilitation of legal cross-border movements. In order to fulfill these goals, does your agency have the capability of interaction with all of the involved agencies to cooperate, share information and coordinate their work while fulfilling your mandate?

Legal and Regulatory Framework The study purpose is to assess the status of legal and regulatory framework for inter-agency cooperation and how it determines the content and scope of the cooperation and information exchange between the involved stakeholders.

Tasks, competencies and areas of responsibility of all border agencies are clarified in law or MOU’s established (if any).

There are no duplications, inconsistencies, overlaps or loopholes between the above legislation or MOU.

Legislation/MOU at all levels is reviewed and revised to ensure harmonization and compliance.

Your border agency is empowered by law/MOU to cooperate with other actors nationally.

Details of how and when inter-agency cooperation will occur are defined in legislation/ MOU.

Your border agency has formalized cooperation

with other agencies through formal agreements or MoUs (Memorandums of Understanding) for defined border support or joints efforts.

The MOUs/ agreements have included or been supplemented with precise instructions on how to implement them, and have been made available to all staff of the signatory agencies.

National data protection law in the MOU defines the standards which are to be applied for information collection, exchange/usage, confidentiality and storage

Institutional Framework The study purpose is to assess inter-agency cooperation and how it is ensured through interagency working group effort.

There exists a centralized inter-border agency working group which meets regularly.

Your border agency meets regularly with the other border agencies at both the central and local levels.

Your border agency coordinates with the other border agencies on upgrading or downgrading any BCPs

Procedures for Integration The study purpose is to assess an overall workflow in which the activities of all relevant border management agencies are included, which ensures a smooth processing at the BCP and coordinated border joint/ surveillance activities.

Your border agency’s workflow at the BCP has been done and synchronized with the other border control/inspection agencies.

Existing workflows and processes are documented and assessed.

Business process re-engineering and automation has occurred i.e. process reviewed, re-engineered, automation, joint inspections, connectivity, etc.)

Formal procedures are in place for your station to inform and be informed by other agencies of necessary information

Your border agency can delegate authorities to other agencies and be delegated to act on behalf of others.

Joint controls, such as the one-stop control and single-window concepts, or joint inland control, are known and practiced.

Joint operations are conducted, for example, examinations, surveillance at the border, in the border zone or inland through mobile units

Share similar border opening and closing business hours amongst border agencies.

Joint contingency plans exist which clearly define individual agency tasks and responsibilities.

Human Resources and Training The study purpose is to assess Inter-agency training and its potential contribution to a better understanding of the tasks and responsibilities and needs of other border management agencies.

Border agency Training Needs Analyses are regularly conducted

Training on inter-border agency cooperation and coordination takes place.

Joint training with other border agencies takes place.

Staffs are sometimes exchanged between different border agencies in order to improve their understanding of the other agencies’ functions.

Staffs with certain skills (languages, IT etc.) are available for use by other border agencies.

Communication and Information Exchange The study purpose is to assess Inter-agency information exchange layout and existing formalities.

Your station has a contact person(s) for information exchange with the other border agencies.

Your station exchanges data with other border agencies on a regular basis

Non-routine/ad hoc information is exchanged promptly with the relevant border agencies.

Your station shares one or more databases with other border agencies

Your station’s IT system is compatible with the IT systems of other agencies.

Your station takes part in an early warning system with other border agencies (e.g. through

contact points)

Your station shares risk analysis, risk indicators and intelligence with other agencies

Databases are password protected and access is only granted according to need (and not rank!)

Infrastructure and Equipment The study purpose is to assess any shared facilities, joint use and procurement of equipment obtains.

Your station facilities and infrastructure are shared with other agencies.

Your station equipment is shared with other agencies.

Joint procurement of facilities and equipment is used.

Cooperation with other stakeholders (include state and non-state actors) The study purpose is to assess the additional governmental and private sector stakeholders

Your agency prevents trans-border crime, through close cooperation with the state prosecutor’s office (ministry of justice).

MoUs have been signed with Railways, Airport authorities or the ministry of transportation regarding working hours and the use of infrastructure if need be.

Your agency shares the require information on procedures and requirements for crossing the border, including opening hours, guidance on tariffs, rules and procedures for import, transit and export, documentation to be provided and fees to be paid to the general public via public notices, internet publications, newsletters, leaflets or as a handbook

Your station has made visible progress in utilizing web communication and the media for both provision of the public information and increasing public awareness on border management and security

Your station has made easy communication with the general public and encouraged with the provision of toll-free (free call) telephone numbers, joint web portal and simplified internet contact methods.

C. REGIONAL/INTERNATIONAL COOPERATION refers to the cooperation with international organizations and forums, as well as with other states at the bilateral and multilateral level. Does your agency have capabilities to enable cooperation take place at central level (between ministries or agencies), regional level (between regional offices) and local level, involving BCPs on both sides of the border?

Legal and Regulatory Framework Delimitation and demarcation of national borders is clarified and clear (no existing frontier disputes and tensions).

Your agency facilitates international cooperation according to the national foreign policy strategy (usually prepared and coordinated by the respective ministry of foreign affairs) and strategic risk analysis

Regional and/or bi-lateral agreements/protocols exist with neighboring, regional and other relevant countries are known and available to border staff.

The basis for cooperation and communication exists in relevant legislation and is known and familiar to all station staff.

Legislation at all levels is reviewed and revised to ensure harmonization and compliance.

Institutional Framework Official border crossing points are adequately categorized with a neighboring country (status of BCPs, prioritization and related upgrading, as well as the coordination of opening and closing hours, mutual recognition aspects)

Common contact offices or focal points exist (for example at strategically relevant BCPs)

Your station has deployed (or is represented by) liaison officers to neighboring/strategically important countries.

The station is represented on a bi-lateral inter-agency joint cross border working group which meets regularly.

Procedure for Integration Operational procedures are harmonized with other relevant border agencies [in neighboring country (ies)] e.g. Common External Tariff, manuals on AEO, Risk Management, PCA.

There are joint controls, such as general border controls, patrols, searches, forensic examination, surveillance, taking place etc.

Joint contingency plans exist in case of border emergencies, pile-ups, congestions, epidemics.

Documentation required of and provided to those crossing the border are standardized with other states/international Organizations e.g. bill of entries, control copies, passports, etc.

Human Resources and Training IBMS training for all levels of border staff is conducted jointly with other agencies and other countries.

Training on specific international cooperation subjects (such as cross-border official language, IBM, IT and international standards/procedures) is provided to staff.

Joint training with border agencies from other states occurs (including multiagency/multi-national participants and/or trainers, and practical exercises).

Training standards and curricula are harmonized bi-laterally and regionally.

The number of staff at BCPs is coordinated with the neighboring country.

Communication and Information Exchange

Regular meetings (agreed in advance), weekly/monthly, between representatives of border agencies from neighboring country (ies) are held at the border or regional level.

Bilateral, regular meetings (agreed in advance) between representatives of border agencies from neighboring country (ies) are held at the local BCP level.

Your station is involved in regional/international initiatives (conferences, meetings, seminars etc.) from time-to-time.

The station exchanges information with other relevant border agencies (in other states) on a regular basis and upon request e.g. customs pre-arrival data, Interpol clearance

Information is used and analyzed in cooperation with other relevant border agencies and other authorized bodies

Infrastructure and Equipment Common control areas within the BCP precincts have been identified in cooperation with other neighboring states.

Facilities and infrastructure are shared with other states (joint use and sharing)

Equipment is shared with relevant border agencies of other neighboring states when in need.

Joint international procurement of facilities and equipment is used.

D. ANTI-CORRUPTION MEASURES (ACM) - corruption is “the abuse of power for private gain”. (World Bank &UN). The agencies active at the border are no exception: crossing the state border illegally, fraudulently obtaining a visa, trafficking in human beings, smuggling of persons, goods, weapons or drugs are all activities facilitated by corruption. Does your agency possess ACM?

Legal and Regulatory Framework Is corruption mentioned in the criminal laws, including criminalization in the penal code in your country?

Is the sub-legal framework (regulations)

concerning corruption in place?

Is your country an UN Convention Against Corruption (UNCAC) signatory?

Are you aware that your country signed and ratified any other international anti-corruption instrument?

Institutional Framework Is there political will to fight corruption generally in the country?

Does a national anti-corruption strategy and action plan exist?

Does an independent anti-corruption body with investigative powers exist in your country?

Is corruption acknowledged as negative for your agency?

Procedures for Integration Are officers of your station required to handle money?

Is the need to prevent corruption reflected in your agency’s procedures?

Is the 4-eye principle17 in place for financial procedures?

Is your station audited on a regular basis?

Is every person with decision-making power controlled?

Are border checks carried out on a random basis or based on personal profiling?

Does a procedure exist on how to investigate corruption?

Are there transparent procurement procedures and are they followed?

Does your station have a black list of companies which tried to bribe or engage in corruptive tendencies?

Human Resources and Training Is the problem of corruption reflected in the training curricula of your agency?

Does your station have a code of conduct?

Do clear terms of reference for each position and staff exist?

Is there a selection panel for the hiring of a person?

Are background checks carried out before somebody is hired or recruited into your agency?

Do applicants pay for being hired for a position?

Is the entrance level salary level for your service proportionate with actual living costs?

Are whistle-blowers from within your station protected against retaliation?

Are sanctions in place for civil servants involved in corruption?

Are station staff found corrupt banned you’re your agency service for life?

Have any staff from your station been brought to court and sentenced for alleged corruption?

Is there a regular turn-over of staff, to avoid corrupt networks from developing?

Is it legal for staff members of your station to receive presents or invitations from clients?

Is there a maximum amount for present’s staff members can receive from clients?

Is there more or less a gender balance among the staff of your agency?

Do staff members of your station have to declare their assets and are these declarations verified? Does asset recovery exist?

Communication and Information Exchange

Is the image of your station predominantly positive or negative in the public mind?

Is the public well informed about the rights of

17

A 4-eye principle requires that all sensitive financial decisions are also checked or co-signed by a second person.

your agents and the fees to be paid?

Do information brochures, signs, websites (in all national languages and English) exist, which inform the public about its rights and legal obligation not to bribe?

Does an ombudsperson for complaints against your service exist? Do people know about it?

Is it possible to lodge anonymous complaints against staff members of your station?

Are your relations with the media on a positive footing?

Do you use the public as an important ally in the fight against corruption; and a toll-free telephone line or website have been established to receive complaints and information about corrupt practices.

Appendix 6: Assessment and Evaluation Questionnaire for Headquarters’ Agency study

Respondents

Respondents’ Questionnaire for Headquarter Border Agency Principals- self assessment and evaluation on the feasibility of

establishing Integrated Border Management System in Swaziland.

Preamble

The World Bank has commissioned the feasibility study on establishing the Integrated Border Management Systems (IBMS) in Swaziland. Among the key goals of the study is to:-

iv. Assess and evaluate the feasibility and pre-requisites of establishing an IBMS in Swaziland; v. Develop IBMS processes and procedures that will form a basis for a Single Window in Swaziland; vi. Identify and, where applicable, recommend requisite legal provisions and capacity building initiatives to support

the IBMS. This survey instrument18is tailored to obtain border agency user input to the study. Customs & Excise Department as an agency (at the headquarters) is expected to provide this input by completing the questionnaire and return it for purposes of synthesis and analysis to the consulting team on the study. This is therefore to request you truthfully respond to the question. We are grateful for your contribution and invaluable time.

Part 1: Personal Profile

i. Name…………………………………………………………………………………………………………

…………

ii. Organization/Agency……………………………………………………………………………………………

…..

iii. Position…………………………………………………………………………………………………………

……..

iv. Area of Deployment…………………………………………………………………………………………………

v. Period of Experience with Agency Leadership ………………………………………………………………………

Part 2: INTRASERVICE COOPERATION is the IBM pillar that describes the cooperation and coordination between different departments, stations or units within one institution/agency e.g. SRA. In this study, agency located at the Border Control Posts (BCP) of Ngwenya, Lavumisa and Lomahasha). (i). Does your Department has and exhibit an all-round intra-service cooperation, coordination and system capabilities necessary for IBMS? (Yes/No) If yes briefly

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Questionnaire was adopted with adjustments on ‘IBM Self-assessment grid’ from Guidelines for Integrated Border Management in EC External Cooperation, November 2009

elaborate………………………………………………………………………………………................................................................ (ii). Are you satisfied with your institution internal readiness and preparedness to establishing IBMS in Swaziland? (Yes/No) If yes, briefly elaborate with regard to legislative, institutional framework, procedures, human resources & training, communication/Information exchange, equipment/infrastructure and Anti-corruption measures…………………………………………………………………………………………………… ............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................. (iii). What are in your estimation the principal challenges facing Customs & Excise Department in establishing IBMS. How can the Department address those challenges?

Challenges Mitigation

(iv). Are there challenges beyond Customs & Excise Department (e.g. infrastructure/equipment’s, enabling legislation, procedural, Adequate staff salaries, etc.)? How can these be addressed?


Part 3: INTER-AGENCY COOPERATION for your agency covers cooperation and coordination with different border agencies, ministries and non-state actors. You agency recognizes that all border management agencies share the same core goals: Protection against threats to national security, order, economy and public health; Prevention of trans-border crime and irregularities; Facilitation of legal cross-border movements. In order to fulfill these goals, all of the involved agencies must cooperate, share information and coordinate their work (i). Does Customs Department has the capability of inter-agency interaction with all of the involved agencies to cooperate, share information and coordinate their work while fulfilling your mandate? (Yes/No) If yes elaborate with regard to legislative, institutional framework, procedures, human resources & training, communication/Information exchange, equipment/infrastructure and Anti-corruption measures ……………………………………………………………………………. (ii). How often do you interact with other government border agencies (OGBAs) in your leadership role as Commissioner? .................................................................................................................................................................................................................................................................................................................................................................................................................................... (iii). How prepared are you to assist co-location, joint operations and sharing of regulatory facilities at your border posts with other border and Government agencies?................................................................................................................................................................ (iv). What are in your estimation the principal challenges facing your department in interacting and interfacing with OGBAs. How can the you address those challenges?


(iii). Are there challenges beyond the Department (e.g. Legislative, procedural, institutional, training, ITC, infrastructure, etc.)? How can these be addressed?

Part 4: BORDER AGENCY REGIONAL/INTERNATIONAL COOPERATION refers to the cooperation with international organizations and forums, as well as with other states at the bilateral, regional, international and multilateral level. Such cooperation can take place at central level (between ministries or agencies), regional level (between regional offices) and local level, involving BCPs on both sides of the border. (i). Does Customs & Excise Department have the capability of regional /international cooperation, sharing information and coordination with participating border agencies while fulfilling its mandate? (Yes/No) If yes elaborate with regard to legislative, institutional framework, procedures, human resources & training, communication/Information exchange, equipment/infrastructure and Anti-corruption measures…………………….

(ii). How often do you interact with regional border agencies on the other side of the neighboring country?

At Local cooperation level…………………………………………………………………………………………

At Bi-lateral cooperation level………………………………………………………………………………………

At Multi-lateral cooperation level……………………………………………………………………………………

(iii). What are in your estimation the principal challenges facing your agency in its interaction and interfacing with other border agencies at local, bi-lateral and multi-lateral levels? How can you address those challenges?


Local Bi-lateral Multi-lateral Local Bi-lateral Multi-lateral

(iii). Are there challenges beyond the agency as a department at local, bi-lateral and multi-lateral levels (e.g. Legislative, procedural, institutional, training, ITC, infrastructure, etc.)? How can these be addressed?


Local Bi-lateral Multi-lateral Local Bi-lateral Multi-lateral

Part 5: Supporting the Establishment of the Integrated Border Management System There is a proposal in the country to support the establishment of an IBMS as the trade facilitation initiative and effective tool to bring about reduced cost of doing business and effective investment competitiveness across borders/corridors and in Swaziland. (i). Would you support the effort to establish IBMS as a trade facilitation initiative and tool (yes/no)? Why? ….……………………………………………………………………………………………………………………………………………………………………… (ii). Then how feasible is the establishment of the IBMS initiative in Swaziland (give reasons/ views/ideas) ………………………………………………………………………………………………………………………… (ii). What would you consider the major bottlenecks that implementing an IBMS with border agencies in Swaziland would face? And how would you propose they be dealt with?

DRAFT REPORT-Feasibility Study on IBMS in SZD- 2014

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Transcript of DRAFT REPORT-Feasibility Study on IBMS in SZD- 2014