1. ISACS Assessment Tool Basic Guide 2015

2. Purpose of the ISACS-AT To support the practical application of the International Small Arms Control Standards (ISACS) To conduct self-assessment on the implementation of small arms control commitments in line with the standards To establish baselines on small arms control policy, programmes and practices in line with the standards To promote the ISACS for educational and awareness-raising purposes

3. About this guide This guide is designed to detail this software’s functions and features. Before getting started please note the instructions below: Please read this guide before using the software to ensure its proper use. Descriptions are based on the software’s default settings. Images and screenshots may differ in appearance from the actual product. Content in this guide may differ from the final product and is subject to change without prior notice. For the latest version of the software and the guide, refer to the ISACS website, www.smallarmsstandards.orgwww.smallarmsstandards.org The computer operating system may affect the overall performance of the software. Software may not work properly depending on the computer hardware specifications and the environment that it is used in. The software and this guide are currently available in English only. UNIDIR is not liable for performance issues or incompatibilities caused by efforts to modify the software. Attempting to customize the operating system may cause the software to work improperly.

4. Lesson overview Four lessons: 1.Basic tool flow 2.Configuration Set up personal information Create password Create / connect to storage file 3.Assessments Design a questionnaire Collect data Analyze results 4.Manage assessments

5. Lesson one: Basic tool flow Lesson objectives Become familiar with the tool’s homepage, flow and interface Expected outcome Users are familiar with the basic flow of the tool

6. Tool homepage

7. Basic homepage functions Click on the banner to return to homepage Click on the title to expand the features of the tool Each of the functions are linked to another page

8. Lesson two: Configuration Lesson objective Learn how to: – Create/connect to storage file – Secure storage file – Import/export assessments data Expected outcome Users are able to create / connect to their storage file Users are able to secure their storage file Users are able to share their assessment data

9. Create/connect to storage file 1) Click on “Configure” 2) Click on the link “Create storage file”

10. Create new storage file Click on tab “create new storage file”, then click on browse to select a location to save the file Encrypt storage file to protect user data

11. Enter personal information 2) Click on tab “Personal info” to enter personal information 1) Click on the tab “Secure storage file” to assign a password to storage file

12. Protect user storage file: Password 2) Click on tab “password settings” to assign a password to a storage file 1) Click on the tab “Secure storage file” to assign a password to a storage file

13. Connect to a storage file Click on tab “open an existing storage file”, then select the existing file. Click on the open icon to get connected.

14. Lesson tip Why encrypt your storage file? A storage file that is encrypted can only be accessed on the operating system where the file was created. The encryption ensure that external users cannot access the user data from another operating system. If users are interested in sharing user data from their storage file, they must use the import/export function.

15. Lesson three: Assessment Learning objectives Become familiar with the purpose of small arms control assessments Learn how to conduct assessments on implementation efforts of existing global small arms control commitments as outlined in the ISACS Expected outcomes Users understand the need of conducting assessments on small arms programmes, practices, and policies User demonstrate their competency in the use of the ISACS-AT to conduct assessments

16. Lesson tip Why conduct assessments? Existing implementation challenges cannot be addressed effectively until current implementation status is understood sufficiently Effective implementation requires adequate and accurate information collection and analysis Better understanding of implementation effort helps determine the need for an intervention by relevant stakeholders (What needs exists, how and who to intervene)

17. Lesson tip Steps for conducting assessments Step 1: Design D Step 2: Collect C Step 3: Analyze A

18. Step one: Design a questionnaire Designing a questionnaire is the first step in the assessment process Purpose To respond to an identified information need To establish assessment criteria based on the ISACS DRAFT

19. Design a questionnaire DRAFT Click on the tab “Assess”, and then click on the link, “Design questionnaire”

20. Enter creator information DRAFT Enter creator information and click continue to create a questionnaire

21. Select and load an ISACS module DRAFT 1) Select the module to load using the Load Module bar. 2) Once selected, ISACS indicators will be loaded on the configuration panel (left hand side column)

22. Select the indicators to design the assessment criteria Select (by checking the boxes) the indicators based on the ISACS module, clause, and subclause

23. Generate and review indicators DRAFT Checking relevant boxes will generate indicators in the content panel (right-hand side panel).

24. Filter indicators by priority (optional) DRAFT Clicking on the filter button allows users to filter measures by priorities defined by the standards

25. Complete the design phase DRAFT Click on Save & Complete to conclude the design phase

26. Summary How to design a questionnaire: 1.Click on Design Questionnaire from the homepage under the Assessment link 2.Enter creator information 3.Load ISACS module using the Load Module bar 4.Generate ISACS indicators through selecting module/clause/subclause from Navigation Panel 5.Add filter to indicator by designating a priority (optional) 6.Click on Save & Complete Questionnaire to conclude the design process

27. Step two: Collect responses Data collection makes implementation efforts measurable Purpose To gather quantitative and qualitative data to establish implementation status on small arms control measures undertaken (and/or not taken), and to inform the analysis process

28. Lesson tip Have you already created a questionnaire? Having an existing questionnaire in your storage file is a prerequisite to data collection. Make sure you have either 1) created a questionnaire, 2) already have an existing questionnaire in the storage file, and/or 3) imported a questionnaire into your storage file.

29. Collect responses Click on the tab “Assess”, and then click on the link “Collect Responses” DRAFT

30. Select a questionnaire to collect data 2) Select the questionnaire you wish to answer then click on Collect Responses DRAFT 1) Select the ISACS module you wish to work on

31. Enter respondent information Enter respondent information and click Continue to provide answers to the questionnaire DRAFT

32. Data collection page Flag indicatorsProvide dataIndicate sensitive Add comments View ISACS text

33. Save to complete data collection Once answers are provided, click on Save & Complete to continue DRAFT

34. Guide tip How do I update my responses to the questionnaire? Note that users can save a questionnaire without answering all the indicators within a questionnaire. This is called an in progress questionnaire. With in progress questionnaires, users can return to the questionnaire to update the answers provided. Note that users cannot designate a questionnaire as complete without answering all existing questions (i.e. questionnaire cannot be designated as complete if there are “Not Answered” status). What is the difference between in progress and complete questionnaires? An in progress questionnaire allows users to update the responses they provide to a questionnaire, thereby enabling them to measure implementation progress and analyze its results as measures are undertaken. In contrast, responses in a completed questionnaire cannot be updated - it serves the purpose of benchmarking progress upon which users can analyze the results in relation to particular time period.

35. Summary How to collect response data: 1.Start at Homepage under Assess Box, and click on collect responses 2.Load the ISACS module of your interest from the Load Module bar 3.Select (click) a questionnaire from the table 4.Click on collection responses icon 5.Provide Status answer to the questionnaire (mandatory) 6.Flag indicator(s) (optional) 7.Sensitive (optional) 8.Add comments (optional) 9.Reference to original text (optional) 10.Click on Save & Complete to conclude data collection process

36. Collect data using paper format Export questionnaire to PDF Collect data in paper format and feedback into the tool Purpose To allow users to export the questionnaire to paper format, in order to distribute the questionnaires created by the tool to those who may have limited access to computers and/or may not own an ISACS-AT, as well as for those who are less favorable to using software platforms

37. Export questionnaire to PDF Click on the PDF icon to export questionnaire to paper format

38. Example: Questionnaire in PDF

39. Step three: Analyze results Analysis of findings allows users to better understand implementation status and needs based on the baselines established Purpose To allow users to examine the data findings and better understand implementation status, identify potential priorities, challenges and opportunities, in order to make informed follow-up action on their small arms control policies, programmes, and practices.

40. Guide tip How does analysis of findings help evaluate the implementation of existing small arms control programmes? Establishing baselines and conducting analysis allows users to avoid situations in which small arms and light weapons control efforts are carried out based on assumptions that later turn out to be incorrect – resulting in wastage of money, failing to deal with problems effectively and preventatively, and leaving potential control issues unaddressed.

41. Access analysis platform Click on the tab “Assess”, and then click on the link, “Analyze Results”

42. Select questionnaire to analyze Select a questionnaire you wish to analyze, then click on “Analyze Results”

43. Analysis dashboard (interactive) Composition panel (what is in the questionnaire) Overall status Status by priority Detail of implementation

44. Analysis dashboard: Target results Step 1: Clicking on composition panel informs status overview Step 2: Clicking on status overview informs priority overview Step 3: Clicking on priority overview inform the detailed overview Step 4: Detailed overview reflects the filters applied in steps 1-3

45. Example: How to conduct targeted analysis Composition panel (step one): Select relevant clauses – this will update results presented in the entire dashboard Implementation Status Overview (Step two): Click on a status in the subsection of the pie to filter and display results you wish to examine Priority overview (step three): Click on the priority bar to filter and display only the priority category you wish to examine Detail overview (step four): Analysis of the results are displayed in the detail table based on the filters applied in step one, two, and three.

46. Present analysis as a report Export analysis to PDF Share your findings and analysis in a customizable report Purpose To allow users to export the findings and analysis to a paper-format report, in order to distribute the analysis of the results to those who may have limited access to computers and/or may not own an ISACS-AT, as well as for those who are less favorable to using software platforms. In essence, the generation of the analysis in paper format serves as a reporting mechanism in the tool.

47. Export analysis to PDF Click on the generate report icon to export the analysis to PDF

48. Example: Sample sections in report Detailed overview Priority overview Status overview

49. Guide tip Maximize screen and image size when generating report Make sure to maximize the tool screen when conducting analysis and generating a report. This ensures that detail of the results are displayed clearly on the PDF. Each section in the analysis dashboard is size-adjustable. Users are recommended to expand the pie charts and bar graphs by dragging the borders of the sections before generating a report. Reports can be generated on both comprehensive and targeted analysis Note that reports are generated based on the filters applied in your analysis. To generate a targeted report (e.g. report on only implemented measures), filter the analysis then click on generate report. By default (i.e. when no filters are applied) the tool will generate a comprehensive report with all the findings from the assessment.

50. Lesson 4: Manage assessments Learning objective Become familiar with the interface, flow, and functions related to managing assessments Expected outcomes Improved understanding on – how to access existing assessments – how to organize assessments – how to design questionnaire, collect data, and analyze results

51. Centralize location to manage assessments: The Assessment Home Design, collect responses, and analyze assessments from one location Purpose To allow users to access all relevant assessment- related features, as well as organize the existing assessments from a single interface location, in order to facilitate user experience in conducting self-assessments.

52. Guide tip Become familiar with the Assessment Home The Assessment Home is the starting point for all users working on assessments. The Assessment Home is accessible directly through the Homepage, under the Assess box, through the “Manage Assessment” link. The 1) Assessment table, and 2) Task bar make up a single interface where users can manage, create, answer, and analyze ISACS assessments. It is important that all users become familiar with the flow and functions in the Assessment Home in order to effectively use the ISACS- AT.

53. Assessment Home page

54. Assessment Home functions Task bar: Total of seven functions Duplicate questionnaire Delete assessments Load modules

55. Guide tip Make sure to check the ISACS module you are working on The assessment are organized and presented in the assessment table based on the ISACS modules. Make sure to select and load the ISACS module you wish to work with through the use of the ISACS Module Load bar when accessing assessment home. The first icon under each section in the task bar provide access to Design, Collect, and Analyze functions (D-C-A) The task bar in the Assessment Home is divided in three sections: Design, Collection, and Analysis. Note that the first icon in each section of the task bar corresponds to the three key functions of conducting an assessment: Design, Collect, and Analyze. Becoming familiar with the use of the task bar will greatly facilitate the effort to conduct assessments.

56. What’s next? See ISACS-AT: Advanced