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Human Rights Based Approach to Programming

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Presentation on theme: "Human Rights Based Approach to Programming"— Presentation transcript:

1 Human Rights Based Approach to Programming

2 Part 1: International, regional and national human rights protection systems

3 Human rights instruments
ICCPR ICESCR CERD CEDAW CRC UN Charter UDHR HRC CAT CRPD CMW National Protection Systems Other International Instruments Regional Regimes The key message that the visual tries to convey is that protection systems (international, regional and national) should be seen as a whole body of legal mechanisms that should be used for the purpose of respecting, protecting and fulfilling human rights Tip for presenter: Show the slide step by step in order to clarify every element and its linka to the rest of the elements as they pop up. Step 1: UN Charter (San Francisco 1945) and Universal Declaration of Human Rights (UDHR 1948) are the foundation upon which the main bulk of the international human rights normative framework has been built. They have also being the inspiration of subsequent regional human rights regimes and national laws. The Human Rights Council (HRC) is the main UN organ in charge of promoting and protecting human rights. It is the successor of the former Commission on Human Rights Step 2: Eight Core International Human Rights Treaties - International Covenant on Civil and Political Rights (ICCPR) 1966 and its two Optional Protocols on the Right of Individual Communications and on the Death Penalty - International Covenant on Economic, Social and Cultural Rights (ICESCR) 1966 - Convention on the Elimination of all forms of Racial Discrimination (CERD) 1966 - Convention on the Elimination of all forms of Discrimination Against Women (CEDAW) 1979 and its Optional Protocol on the Right of Individual or Group Communications - Convention Against Torture and other Cruel, Inhuman or Degrading Treatment or Punishment (CAT) 1984 - Convention on the Rights of the Child (CRC) 1989 and its two Optional Protocols on Sale of Children, Child Prostitution and Child Pornography and on Involvement of Children in Armed Conflicts - Convention on the Protection of All Migrant Workers and Members of their Families (CMW) 1990 - New convention on rights of people with disabilities has entered into force in May 2008, and the Committee (monitoring body) should be established towards the end of 2008. - Another new convention on disappearances, adopted by the General assembly in 2006, is still waiting for a number of ratifications from member states to come into force. Step 3: Other international instruments may contain additional human rights standards such as the international humanitarian law and the refugees law, as well as the ILO, UNESCO, FAO conventions and declarations and others. Many humanitarian law instruments are prior to the UN charter and the UDHR. However they share common values and principles of human dignity, freedoms and entitlements. e.g. The ILO Indigenous and Tribal Peoples Convention, 1989 (No. 169) is the only international Convention dealing specifically with the human rights of these peoples on a comprehensive basis. The ILO applies a rights-based approach for its own work in this area, in addition of course to a legal instrument to protect the rights of workers Step 4: Regional regimes. Some regions of the world have adopted their own regional human rights regimes. These systems do not replace but reinforce the international regime. The relation between these two systems is therefore not hierarchical but complementary. Step 5: National Protection systems. States should make sure that their national constitutions and laws are consistent with the international and regional human rights regimes they are party to. The World Conference on Human Rights’ request to Governments “to incorporate standards as contained in international human rights instruments in domestic legislation and to strengthen national structures, institutions and organs of society which play a role in promoting and safeguarding human rights”. 3 3

4 CCA UNDAF Guidelines More than 80 per cent of Member States have ratified four or more of the eight core international human rights treaties. When governments ratify treaties, every person within the country is entitled to have those human rights respected, protected and fulfilled. The UNCT supports actions that help Member States to fulfill these obligations and reach these goals.

5 Treaty bodies Treaty bodies monitor and facilitate the implementation of the treaties through: Reviewing State Party reports and additional sources of information Adopting observations and recommendations Adopting General Comments that help define HR Standards contained in the treaty; e.g. right to water, right to education, right to food etc. Treaty-based mechanisms are conventional bodies or committees whose mandates, roles and functions are established in international human rights treaties. The treaty bodies are committees of independent experts which monitor the implementation of the treaty by each Member State. The examination of State reports along with information from a variety of sources, including the UNCT and civil society organizations culminates in the adoption of concluding observations and recommendations. The State party is expected to take the necessary measures to implement these recommendations The Concluding Observations and Recommendations identify specific human rights concerns to help set priorities at the national level, which may provide a framework for joint action by Governments, UN agencies, NGOs and other partners. They are also a guiding reference and tools for programming, including the CCA/UNDAF processes. The General Comments clarify the actual content of the human rights standards contained in a treaty. These comments provide more detailed guidance on what the international human rights standards mean in all phases of programming. Individual complaints: Some Treaty Bodies act as a quasi-judicial body examining individual cases of alleged violations. The Optional Protocols to CCPR and CEDAW, and optional clauses in CERD, CAT and the CMW provide for such procedures. The committees examine such complaints culminating in a final, non-binding decision that declares the complaint either inadmissible or admissible, and — in the latter case — issues an opinion on the merits (determining whether the complainant’s human rights have been violated) Confidential enquiries: CAT and the Optional Protocol to CEDAW provide for a procedure of “suo moto” inquiry by the respective treaty bodies (also known as “inquiry of its own motion”). if the committees receive reliable and plausible information that torture or discrimination against women, respectively, is being systematically practiced in the territory of a State party, the treaty body may carry out a fact-finding mission to the country concerned, subject to approval by its Government. The CAT Committee has so far conducted six inquiries (Egypt, Mexico, Peru, Serbia and Montenegro, Sri Lanka, and Turkey). The CEDAW Committee has initiated an inquiry procedure concerning Mexico. 5 5

6 National protection system
Ensuring sustainable respect for human rights requires: Constitutional and legal framework Effective institutions (parliament, government, judiciary, public administration, human rights institutions) Procedures and processes including effective remedy Policies and programmes, including awareness raising Vibrant civil society and free media Turkey- great legislation for gender equality, but women’s presence in work force down by 20%. Lack of awareness, lack of participation of women in policies. 6 6

7 Regional human rights systems
Instruments Mechanisms European Convention for the Protection of Human Rights and Fundamental Freedoms American Convention on Human Rights and San Jose Pact on Economic, Social and Cultural Rights African Charter on Human and People’s Rights Arab Charter on Human Rights European Court on Human Rights Inter-American Commission on Human Rights Inter-American Court on Human Rights African Commission on Human and People’s Rights African Court on Human and People’s Rights Optional slides will be developed for each regional system Regional human rights regimes have also been established that vary in their capacity and impact in Africa, the Americas and Europe and complement the international human rights machinery. Regional human rights mechanisms can be important partners for close collaboration with the UN on activities of mutual concern. Regional human rights systems reinforce international standards and machinery by providing the means by which human rights concerns can be addressed within the particular social, historical and political context of the region concerned. Asia has not yet succeeded in establishing any viable human rights regime. In the Middle East region, an Arab Charter on Human Rights was revised by the Arab Standing Committee on Human Rights in January 2004, but it is still regarded as falling short of providing critical human rights protections. European Human Rights Regime The Council of Europe, the Organization for Security and Cooperation in Europe (OSCE) and the European Union form the institutional backbone of the European human rights regime. The European Convention for the Protection of Human Rights and Fundamental Freedoms (entered into force in 1953) and its numerous Protocols guarantee civil and political rights and the European Social Charter (1961, revised in 1996) recognizes economic and social rights. The list of rights in these instruments are similar to those enshrined in the Universal Declaration of Human Rights and the two International Covenants. The Council of Europe has adopted special treaties in the areas of data protection, migrant workers, minorities, torture prevention and biomedicine. European Court of Human Rights - Initially two regional bodies were established to review complaints from persons, groups or individuals, NGOs and states regarding violations of human rights, namely, the European Court of Human Rights and the European Commission of Human Rights. The European Court of Human Rights has authoritative decision-making powers, its decisions are normally enforced and have significant weight on law and practice in a number of European States. The Court´s decision can also put pressure on those states that are lagging behind European norms. Human Rights Regime in the Americas - The Inter-American human rights regime falls under the Organization of American States (OAS). Like the European Convention, the American Declaration of the Rights and Duties of Man (1948) recognizes a list of human rights that is similar to the Universal Declaration of Human Rights. The American Convention on Human Rights (1969) recognizes civil and political rights and the right to property. In addition there is the Additional Protocol to the American Convention of Human Rights in the Area of Economic, Social and Cultural Rights (1988) commonly referred to as the Pact San Jose, Costa Rica. In order to safeguard these rights in the American continent, the Convention created two organs to promote the observance and protection of human rights: the Inter-American Commission on Human Rights and the Inter-American Court of Human Rights. The Inter-American Commission of Human Rights is a technical, quasi-judicial body created to promote awareness of human rights, make recommendations to States and respond to their inquiries, prepare studies and reports, request information from governments and conduct investigations with their consent. The Commission adopts decisions and resolutions, issues country reports, and it is also empowered to receive complaints from individuals or groups on human rights violations. It further recommends to member States of the OAS the adoption of measures which could contribute to human rights protection. One of its main functions is to submit cases to the Inter-American Court and appear before the Court during the litigation process. The Inter-American Court of Human Rights has not had as strong of an impact as the European Court although it may take binding enforcement action, but its adjudicatory jurisdiction is optional for the States that ratify. The Court has jurisdiction to adjudicate cases involving charges that a State Party has violated the American Convention. Complainants submitting claims of human rights violations must have first exhausted all available domestic legal remedies. The African Human Rights Regime - The African regional human rights system falls under the African Union, which was established in 2001 and replaced the Organization of African Unity (OAU). Its objectives include promoting peace, security and stability on the continent; democratic principles and institutions, popular participation and good governance; and, promoting and protecting human rights in accordance with the African Charter on Human and Peoples´ Rights and other human rights instruments. The African Charter was adopted by the OAU in 1981 and entered into force in Today there are several protocols to the Charter including one that addresses the rights of women in Africa. The African Charter includes an important distinguishing feature which is the recognition of collective or “peoples” rights, the rights to peace and development and the importance of individual duties. The rights it guarantees are more limited and subject to state discretion than in the other international human rights instruments. The Charter also created an African Commission on Human and Peoples Rights that is empowered to receive interstate and individual complaints although its work is apparently hindered by a lack of resources. Anybody can submit a complaint/communication to the Commission denouncing a violation of human rights provided all available domestic legal remedies have been exhausted. 7 7

8 International human rights mechanism
Treaty-based CESCR HRC CERD CEDAW CAT CRC CMW CRPD Charter-based Human Rights Council Special Procedures Universal Periodic Review 8 8

9 Links between national, regional and international protection systems
Int’l Global & regional protection are complementary Global & regional norms require national implementation Global & regional protection if national remedies have been exhausted The international human rights treaty system may seem focused on the international level, yet, clearly, it is at the national level that the promotion and protection of human rights matters most. The internationally agreed standards set out in the treaties require effective national level implementation in order to ensure that they are enjoyed by all men, women and children in each country. International and regional human rights mechanisms have an important role in supporting efforts to strengthen the protection of human rights at the national level. Firstly the process of reporting to treaty bodies is in itself an important part of the development of a national human rights protection system. Secondly, the outputs of treaty bodies provide in States with practical advise and assistance on how best to implement the treaties. The outputs of the treaty bodies can provide states, as well as UN country teams and donors on useful guidance on where more action is required to strengthen national protection of human rights. Regional arrangements play a fundamental role in promoting and protecting human rights. They should reinforce universal human rights standards as contained in international human rights instruments and their protection. The 1993 world conference on human rights endorses efforts under way to strengthen these arrangements and increase their effectiveness, while at the same time stressing the importance of cooperation with the UN human rights activities. The World Conference on Human Rights reiterates the need to consider the possibility of establishing regional and sub-regional arrangements for the promotion and protection of human rights where they do not already exist. The international and regional human rights regimes can provide international protection of human rights. For example, some Treaty Bodies act as a quasi-judicial body examining individual cases of alleged violations. The Optional Protocols to CCPR and CEDAW, and optional clauses in CERD, CAT and the CMW provide for such procedures. The committees examine such complaints culminating in a final, non-binding decision that declares the complaint either inadmissible or admissible, and — in the latter case — issues an opinion on the merits (determining whether the complainant’s human rights have been violated). As established in the CCPR Optional Protocol, the individual must have exhausted all available domestic remedies before recurring to the committee. This shall not be the rule where the application of the remedies is unreasonably prolonged. International and regional judicial and quasi-judicial protections is complimentary. This means that there is no hierarchy between both systems. When domestic remedies are exhausted, the individual has to chose whether to appeal to the Human Rights Committee or the Inter-American Commission, for example, but not to both of them. National norms should be consistent with global and regional standards 9 9

10 Universal Periodic Review
Human Rights Council Universal Periodic Review Special Procedures Advisory Committee Complaint Procedures Promotes universal protection Addresses and prevents violations Develops international law Reviews compliance of Member States Respond to emergencies International forum for dialogue UPR new mechanism since 2008

11 Universal Periodic Review
Review the fulfillment of the human rights obligations of all countries All Member States will be reviewed within 4 years (48 States per year) Review will be carried out by “peers” (groups of three Member States) Since 2008 only

12 UPR in Arab States
Country UPR Date Algeria April, 2008 Egypt February, 2010 Morocco Saudi Arabia February, 2009 Syria Tunisia Yemen May, 2009 Example of Bahrain

13 Special procedures Country mandates (8) Thematic mandates (27)
►Adequate housing ►Sale of Children ►Education ►Extreme poverty ►Food ►Freedom of opinion & expression ►Freedom of religion ►Health ►Independence of judges and lawyers ►Internally displaced persons ►Migrants ►Minority issues ►Racism ►Terrorism ►Torture ►Water and sanitation ►Violence against Women List update as per April 2009 (see “Special procedures” is the general name given to the mechanisms assumed by the Human Rights Council to address either specific country situations or thematic issues in all parts of the world. Currently, there are 28 thematic and 13 country mandates in place. OHCHR provides these mechanisms with personnel and logistical assistance to aid them in the discharge of their mandates. Although the mandates given to special procedure mechanisms vary, they usually are to examine, monitor, advise, and publicly report on human rights situations in specific countries or territories, known as country mandates, or on major phenomena of human rights violations worldwide, known as thematic mandates.. Special procedures are either an individual (called “Special Rapporteur”, “Special Representative of the Secretary-General”, “Representative of the Secretary-General” or “Independent Expert”) or a working group usually composed of five members. The mandates of the special procedures are established and defined by the resolution creating them. Mandate-holders of the special procedures serve in their personal capacity, and do not receive salaries or any other financial retribution for their work. The independent status of the mandate-holders is crucial in order to be able to fulfill their functions in all impartiality. 13 13

14 Value of international human rights mechanisms in development work
Advocacy tool: Open opportunities to have dialogues around sensitive issues Accountability tool: HR bodies provide transparent mechanisms to monitor government efforts Analytical tool: Help understand underlying and root causes of development problems Programming tool: Help identify specific priorities and benchmarks and guide the process (e.g. ‘minimum core standards’, HR principles)

15 Check on… …Status of ratification …Whether a Country’s pledge to the HRC exists …Recent Treaty Body concluding observations …Recent State reports to Treaty Bodies …Recent visits of Special Rapporteurs or statements and communications on the country …Calendar of upcoming events and SP country visits The output of TBs and SPs is available in OHCHR’s web page ( The page provides for each country the following information….(read from the slide) The page also provides a link to the Treaty Body database where the State party reports and all the documentation issued by the Treaty Body can be found A calendar of events provides an excellent opportunity for UNCTs to prepare in advance inputs for upcoming sessions of Treaty Bodies as well as visits of Special Procedures. In consultations with UNCTs, OHCHR additionally produces Country Profiles which highlight the key TB and SP recommendations for the country in order to facilitate their use by UNCTs and UN agencies in country analysis and programming. Country profiles are not available at the web page but can be requested from the concerned Country Desk officer (indicated in the page) The page Also provides linkages to the Geneva Conventions, the Refugee Conventions (Humanitarian Law) and the ILO conventions ratified by the country. Where applicable, there is a link to the corresponding regional regime. If available, there is also a link to national human rights protection systems, including information from the national ombudsman or National Human Rights Institutions. 15 15

16 Part 2: Defining the Human Rights Based Approach in Programming Process
This session explains: What is HRBA to development programming Why a HRBA The UN Common Understanding on HRBA to Development Programming and its main elements: - 16

17 What is a human rights-based approach?
What is NOT a HRBA … Rhetorical repackaging Human rights activities Political conditionality Tip for presenter. This presentation comes after the group work on the HRBA which will have already dealt with a lot of content issues that are covered in the present session. While running the presentation, do refer to issues emerge and discussed in the groups work. The slide is animated. Start by Showing the title only and ask participants to indicate which of the definitions below correspond to the HRBA. HRBA is about consistently referring to and applying the human rights terminology in UN reports, speeches, project documents etc. HRBA is about conditioning the support of the UN to the country to the respect of human rights 3) HRBA is about designing and implementing specific interventions targeting the protection of human rights None of them does…show the rest of the slide to highlight the essence of the HRBA What is a HRBA? HRBA is a conceptual framework for the process of human development that is normatively based on international human rights standards and operationally directed to promoting and protecting human rights. A HRBA focuses explicitly on discrimination and marginalisation in the development process HRBA penetrates all development practice to the point that the boundaries of human rights and development disappear as both become conceptually and operationally inseparable parts of the same processes of social change. HRBA is applied to development in such a manner that it alters the way that programmes are designed, implemented, monitored and evaluated beginning with the assessment and analysis of the situation, which is ideally the point of departure. The level of commitment is higher in the application of HRBA and requires addressing the challenges in a more comprehensive way. This means confronting persistent patterns of inequality and discrimination and formulating responses that will have taken into account the structural causes that enabled a political and societal environment to foster exclusion and marginalization and ultimately, the denial of human rights - Example - Needs-based approach versus a rights-based approach to nutrition: “The essence of the differences is that in the former “beneficiaries” have no active claim to ensure that their needs will be met, and there is no binding obligation or duty for anybody to meet these needs. In contrast, a rights-based approach recognizes beneficiaries as active subjects or “claim-holders” and establishes duties or obligations for those against whom a claim can be held.” Urban Jonsson Focus is Both on Outcome and Process In a HRBA, attention must be paid to results since the desired outcome and impact of any programme activity is that it contributes to further the realization of human rights. At the same time, attention must be paid to ensure that the development process does not deepen inequality, discrimination and ultimately conflict. Human rights principles and standards provide objective criteria for acceptable development processes, thus being participatory, inclusive and accountable processes which prioritize the most marginalized and excluded groups. For example, human rights principles should inform the process of formulating, implementing and monitoring a poverty reduction strategy. 17

18 UN common understanding on HRBA
GOAL All programmes of development co-operation, policies and technical assistance should further the realization of human rights as laid down in the UDHR and other international human rights instruments Human rights standards and principles guide all development cooperation and programming in all sectors and in all phases of the programming process Development cooperation contributes to the development of the capacities of ‘duty-bearers’ to meet their obligations and/or of ‘rights-holders’ to claim their rights PROCESS In recent years, UN agencies have moved to integrate human rights to different degrees. Some agencies have adopted a HRBA fully, which requires institutional change and the way development work is carried out through the design of country programmes and other activities. The different level of adoption and practice led to a need for a common understanding of HRBA among UN agencies and for conceptual clarity about human rights in regard to programming. The understanding reached highlights three implications of HRBA to development cooperation and programming, as follows: The ultimate objective must be a greater realization of rights. The process of development must be of a certain type; processes should be guided by human rights principles and standards, and this should happen for all development strategies, in all sectors and phases of the programming cycle. The focus of strategies is capacity development of rights-holders to claim their rights, and of duty-bearers to fulfill their obligations. These are the three key elements of the UN Common Understanding elaborated at the Stamford meeting in 2003 Each one of them will be elaborated in greater detail in the next slides FOCUS 18

19 Common understanding on HRBA (1)
GOAL All programmes of development co-operation should further the realization of human rights as laid down in the UDHR and other international human rights instruments This clause answers the “why” of development assistance in the UN The Goal of Development Programmes is to Further Realization of Rights A set of programme activities that only incidentally contributes to the realization of human rights does not necessarily constitute a HRBA to programming. In a HRBA, the aim of all activities is to further advance the realization of human rights. Example: right to health in Ecuador- law that prevents maternal health but not based on HR satndard – culturally appropriate. 19

20 Programming strengthened by Human Rights Mechanisms
Observations by Treaty Bodies, Special Procedures and UPR → Analysis of development issues from a HR lens Recommendations by Treaty Bodies, Special Procedures and UPR → Provide tools for UN programming to address problems identified General comments by Treaty Bodies → Identify the precise content of development objectives by clarifying the meaning Tip for Presenter This slide links to the first element of the UN Common Understanding and aims to clarify the relationship between the HRBA and the use of International Human Rights law and related protection systems The observations and recommendations of Treaty Bodies (TB), Special Procedure and Universal Periodic Review offers valuable references and tools for UN programming consistent with the provisions of the relevant treaties which should inform the CCA/UNDAF process, as follows: Source for country analysis: Identifying key development issues from rights-based perspective. Source for programming: In their recommendations TB and SP outline the main actions that a government should undertake from a rights perspective in order to overcome a development problem. UN can play a key role in assisting the government in the follow-up to the recommendation. Whenever there is an absence of knowledge or political willingness, The observations and recommendations can become an important advocacy tool in the dialogue with government partners. Example from Guatemala: In its concluding observations, the Committee on Economic, Social and Cultural (CESCR) rights shows its concern about high maternal mortality rate in Guatemala. In turn, it recommends a number of actions to implement, among which to mainstream reproductive health in school curricula. The CESCR clarifies in its General Comment No. 14 on right to health that access to health-related education and information, including on sexual and reproductive health is part of right to health (GC14). This clarification, not only provides guidance to UN agencies doing programming on sexual and reproductive health. It can also be used as an important advocacy tool with local governments and national stakeholders in moving forward the human rights and development agenda. TB general recommendations clarify the meaning and the minimum normative content of a right. When this minimum content is not met, the right is not fully respected or fulfilled. In the example provided, “The Committee (CESCR) interprets the right to health, as defined in article 12.1, as an inclusive right extending not only to timely and appropriate health care but also to the underlying determinants of health, such as access to safe and potable water and adequate sanitation, an adequate supply of safe food, nutrition and housing, healthy occupational and environmental conditions, and access to health-related education and information, including on sexual and reproductive health”. Therefore, If the lack of access to information on reproductive health results on a high maternal mortality rate, the State would be violating the right to health. 20

21 Common understanding on HRBA (2)
Human rights standards and principles guide all development cooperation and programming in all sectors and in all phases of the programming process PROCESS Human Rights are both sectoral and instrumental. Both standards and principles improve the quality of outcomes and processes Human Rights standards and principles further substantiate the quality of outcomes and processes Human rights standards delineate the ‘playing field’ in which development takes place HR principles provide the “playing rules” for the development process. Human Rights Principles ensure that the development process creates a favourable environment and does not harm the realization of human rights Tip for Presenter Standards and principles will be elaborated in greater details in next slides In HRBA the HR principles guiding the development process are equally important as the human rights standards defining the content of the development objectives. The type of process determines the final outcome and its sustainability. HRBA has also a procedural dimension. Key principles such as participation, equality and non discrimination and accountability ensure that the development and programming processes create a favourable environment for the realization of HRs. 21

22 Human rights principles
Equality and non-discrimination Participation and inclusion Accountability and the rule of law The colour shows a difference between the two sets of principles. Those in blackare content oriented while those in red are process oriented. Human Rights Principles: Universality and inalienability; Indivisibility; Inter-dependence and Inter-relatedness Tip for presenter. HR Principles will be treated in more detailed through a separate presentation. This is to provide quick understanding of definitions Universality and inalienability: Human rights are universal and inalienable. Every man, woman or child everywhere in the world are holders of human rights by virtue of being human. The human person in whom they inhere cannot voluntarily give them up. Nor can others take them away from him or her. Article 1 of the UDHR, “All human beings are born free and equal in dignity and rights.” Universality also refers to the obligation of every State to respect and protect the human rights in international instruments. These rights form a core minimum standard to be observed by every State. Indivisibility: Human rights are indivisible. Whether of a civil, cultural, economic, political or social nature, they are all inherent to the dignity of every human person. Consequently, they all have equal status as rights, and cannot be ranked Inter-dependence and Inter-relatedness: The realization of one right often depends, wholly or in part, upon the realization of others. For instance, realization of the right to health may depend, in certain circumstances, on realization of the right to education, the right to information, the right to food and nutrition, the right to safe water and sanitation etc. A malnourished girl is unable to perform in school and to benefit from an education that will enable her to participate in civil society and in the democratic process. Equality and Non-discrimination: All individuals are equal as human beings and by virtue of the inherent dignity of each human person. All human beings are entitled to their human rights without discrimination of any kind, such as race, colour, sex, age, language, religion, political or other opinion, national or social origin, disability, property, birth or other status as established by the human rights treaties and further interpreted by the human rights treaty bodies. For this reason, the advancement of the human rights of both men and women on the basis of equality is an absolute requirement of international human rights law. Participation and Inclusion: Every person and all peoples are entitled to active, free and meaningful participation in, contribution to, and enjoyment of civil, economic, social, cultural and political development in which human rights and fundamental freedoms can be realized. Accountability and Rule of Law: States and other duty-bearers are answerable for the observance of human rights. In this regard, they have to comply with the legal norms and standards enshrined in human rights instruments. Where they fail to do so, aggrieved rights-holders are entitled to institute proceedings for appropriate redress 22

The integration of human rights principles and standards into all stages of the programming process ASSESSMENT & ANALYSIS MONITORING AND EVALUATION PRIORITY SETTING Tip to presenter The heading of this slide zooms into the second element of the UN common Understanding Programming for development practitioners is the process through which development interventions produce necessary change to achieve development goals. Ensuring that principles and standards are consistently being respected throughout the programming cycle and at all level of a result chain (Output, outcome and impact) Non-discrimination, participation, local ownership, capacity development and accountability are essential characteristics of a high quality process. The CCA/UNDAF guidelines establish that the UN programme process has the following key steps: Assessment Analysis Prioritizing development challenges Clarifying expected results and the role of different actors Designing country programmes and projects Monitoring and Evaluation PROGRAMME PLANNING AND DESIGN IMPLEMENTATION 23

24 Common understanding on HRBA (3)
Development cooperation contributes to the development of the capacities of ‘duty-bearers’ to meet their obligations and/or ‘rights-holders’ to claim their rights FOCUS Tip for presenter Issues such a definition of duty bearers and claim holders, their relationship as well as capacity development are treated in the following slides The focus state-individual stresses the need to work towards an effective and fair power equilibrium between rights holders and duty bearers. 24

25 Rights-holders and duty bearers
6,783,421,727 (World population est 31/5/2009) Every individual, either a man, woman or child, of any race, ethnic groups of social condition Groups (to some extent) Much less Primarily States In some cases, certain individuals have specific obligations Individuals and private entities also have generic responsibilities towards the community to respect the rights of others Duty-bearers Human rights obligations can also attach to private individuals, international organizations and other non-State actors. Parents, for example, have explicit obligations under the Convention on the Rights of the Child and States are obliged to cooperate with each other to eliminate obstacles to development. Moreover, individuals have general responsibilities towards the community at large and, at a minimum, must respect the human rights of others. However, the State remains the primary duty-bearer under international law, and cannot abrogate its duty to set in place and enforce an appropriate regulatory environment for private sector activities and responsibilities. National legislation and policies must detail how the State’s human rights obligations will be discharged at national, provincial and local levels, and the extent to which individuals, companies, local government units, NGOs or other organs of society will directly shoulder responsibility for implementation. Rights-holders Programmes Contribute to develop the capacity of Rights-Holders to claim their rights. Every individual is a rights-holder and entitled to the same rights without distinction. To some extent groups are also entitled to human rights. The HRBA requires that special attention be paid to supporting members of groups subjected to discrimination, or suffering from disadvantage or exclusion, to claim their rights. 25

26 The role of capacity development
Capacity: ability of individuals, organizations and societies to performs functions, solve problems, and set and achieve individual goals. Capacity development: sustainable creation, use and retention of capacity. Rights holders capacities: (i) to understand their rights, (ii) to formulate demands on the state to honor these rights and third, (iii) to seek redress if their rights are violated. By developing the capacities of rights holders we are empowering them to claim their rights Duty bearers: the capacity of the State at all levels (all branches of the State and all sectors of government, at the national, provincial, municipal level) to meet its obligations to respect, protect and fulfil. The obligation/duty to Respect: requires the duty bearer to refrain from interfering directly or indirectly with the enjoyment of the right. The obligation to Protect: requires the duty-bearer to take measures that prevent third parties from interfering with the enjoyment of the right The obligation to Fulfil (facilitate): requires duty-bearers to adopt appropriate legislative, administrative, budgetary, judicial, promotional and other measures towards the full realization of the right The obligation to Fulfil (provide): requires duty-bearers to directly provide assistance or services for the realization of the right. By developing the capacity of the State to respect, protect and fulfil, the State institutions and government officials become more accountable. Political will (commitment) and capacity 26

27 Group Work At your tables, identify:
1 or 2 opportunities and/or challenges for UN system at country level in using HR instruments/protections systems in the UNDAF process (10 min)

28 Causality Analysis Tips for Presenter
This part of the training is designed to take place on the second day of the workshop. It might be useful to start the presentation from where you ended the previous day i.e. slide 43 It will be useful to display on a board or flipchart key information from the previous day on HRBA in order to refer back to its various elements and how they can be used in all stages of the programming process. The displayed information should be the following: Statement of Common Understanding Added value in UN programming of the outputs of treaty bodies and special procedures This block of slides is supposed to explain the rational and flow of linking rights with results, and how to apply the HRBA to all phases of the programming cycle including the gathering of information, assessment and analysis, setting the objectives, strategies and partnerships, programme implementation, and monitoring and evaluation. Understanding this section is essential for applying the HRBA to the CCA & UNDAF. To fully appreciate the content of this section, reading Chapter 3 beforehand is recommended. Separate and more specific group instructions will be given for every step of the group work (as indicated in session flow document) 28

29 HRBA in Programming Country Analysis UNDAF M&E Prog/ Project
Reveals the causes of major development problems Identifies patterns of discrimination, inequality, and exclusion Identifies the capacity gaps of rights-holders and duty-bearers Rights-holders & accountable duty-bearers contribute to the realization of human rights Strengthened capacity of rights-holders and duty-bearers Establish mechanisms for participation of rights-holders & duty bearers in prog./ project monitoring It is important to highlight that the different steps of the HRBA methodology and the concepts of HRBA as we will practice them can be applied to any programming process, being it the national development planning, line ministries’ planning or UN country programming. However, as it has been mentioned, the general framework of this workshop is the UNDAF process, which is about to start and will bring together UN agencies and government partners in defining how the UN interventions in the country will support national priorities during the next 4 years. 29

About development problems from different sources, including national treaty reports and observations and recommendations from treaty bodies, UPR, etc. ASSESSMENT Shortlist major development problems for deeper analysis ANALYSIS Of root causes & their linkages 30

31 Legal, Institutional, and policy frameworks 2. ROLE/PATTERN ANALYSIS
Detailed Steps 1. CAUSALITY ANALYSIS Getting to root causes Legal, Institutional, and policy frameworks 2. ROLE/PATTERN ANALYSIS This step analyzes the immediate, underlying and structural or root causes of the development challenges previously identified. A causality analysis highlights the inter-related factors affecting the development challenge. This analysis helps to understand the levels of causality and the linkages between various causes. As a general rule: Immediate causes determine the current status of the problem. Underlying causes are often the consequence of policies, laws and availability of resources. They may reveal related complex issues and require interventions that take significant time in obtaining results (at least 5 years). Root/structural causes reveal conditions that require long-term interventions in order to change societal attitudes and behavior at different levels, including those at the family, community and higher decision-making level. Some UNCTs may decide to use additional tools to carry out a more thorough causal analysis with a view to detecting gaps in institutions, legal and policy frameworks and enabling environments. A HRBA includes understanding how laws, social norms, traditional practices and institutional responses positively or negatively affect the enjoyment of human rights. As was pointed out in the Human Development Report 2000, “every country needs to strengthen its social arrangements for securing human freedoms – with norms, institutions, legal frameworks and an enabling environment.”[1] [1] Human Development Report 2000, published by UNDP, at p. 21. 3. CAPACITY GAP ANALYSIS 31

32 Why a causal analysis? If a problem is caused by conditions three

33 Why a causal analysis? by conditions three must be addressed
All three conditions If a problem is caused by conditions three must be addressed

34 Problem Tree effect cause Malnutrition & death Inadequate dietary
Manifestations effect Malnutrition & death Immediate causes Inadequate dietary intake Disease Underlying causes Insufficient food security Inadequate Maternal & Child Care Insufficient health services & unhealthy environment Resource Control + Organizational structures Root causes Political, Ideological, Economic structures cause

35 Problem 2: Girl’s Education
Problem 1: HIV/AIDS Problem 2: Girl’s Education Immediate Causes Underlying Causes Root Causes Core Problem Area Gender Discrimination This slide shows that commonalities among underlying and root causes represent core problems. In this example, a causal analysis of HIV/AIDS suggests that gender discrimination is a fundamental issue. An analysis of girl’s not attending school also finds gender discrimination as an issue. This suggests to the UNCT that gender discrimination is an issue affecting the realization of several MDGs and the associated rights. 81

36 problems Effect manifestation P 2 P 1 immediate underlying Cause root

37 Group Instructions: Causal analysis/problem tree
Using the thematic issue from your groups (Economic Development; Governance; Social Service Delivery), formulate a problem statement (10 min) Discuss and identify the immediate, underlying and root causes and build a problem tree (30 min) Group instruction. Groups will need cards, markers, masking tape, wall space, a white board or flipchart. Each group will select one MDG to work on, and if possible identify a specific status indictor relevant to that MDG (e.g. primary school drop out rates for girls). Constructing a problem tree for those unfamiliar with the preactice will be most easily done by initial brainstorming and noting the results on cards. E.g. if the question is “Why do girls leave school?”, group members may note any possible cause without respect to whether it is immediate, underlying or basic. Once a reasonable number of causes have been identified, the causes may be structured in the logical chain. The alterative is to try to build from the top down, but this will be less participatoiry and creative. Selecting one chain means one vertical causal relationship out of the various possible vertical relationships. 37

38 Causal analysis: “why?” Outcomes/Rights not fulfilled
Basic /structural causes “Society, Policies, Resources” Underlying causes “Services, Access, Practices” Immediate causes “Direct Effect”

39 Role/Pattern & Capacity Gap Analysis

40 Outcomes/Rights not fulfilled
Role analysis: “who?” Outcomes/Rights not fulfilled Who among policy makers? Who in household or family? Who within the community? Who among service providers? International level?

41 Capacity Gap Analysis 41

42 Key capacities Responsibility/motivation/commitment/leadership (acknowledgment by the db/rh that he/she should do something) Authority (legitimacy of an action) Access and control of resources (human, economic and organisational) Decision making/communication (access to adequate information to facilitate evidence based decision making, capacity to process information, to identify problems, take action and assess results, use of lessons learned) What capacities are lacking for the rights-holders to claim their rights? What capacities are lacking for these institutions or individuals to carry out their duties as duty-bearers? Capacity Analysis Affected by Legal, Policy and Institutional Frameworks Under a HRBA, the following components are integral to capacity development: Responsibility/motivation/commitment/leadership - This refers to the characteristics that duty-bearers should recognize about their roles in order to carry out their obligations. Information, education and communication strategies help to promote a sense of responsibility for realizing human rights. Ensuring pluralistic and free media, a vibrant civil society, effective oversight mechanisms and access to remedies (judicial, administrative and political level) for violations are equally vital. Authority - This refers to the legitimacy of an action, when individuals or groups feel or know that they can take action. Laws, formal and informal norms and rules, tradition and culture largely determine what is or is not permissible. Accordingly, national laws and policies must be harmonized with international human rights treaty commitments and identify specific duties. Access to and control over resources - Knowledge that something should and may be done is often not enough. Moreover, the poorest are seldom able to claim their rights as individuals, but need to be able to organize. “Capacity” must therefore also include the human resources (skills, knowledge, time, commitment, etc.), economic resources and organizational resources influencing whether a rights-holder or duty-bearer can take action. Communication capability: capability to communicate and to access information (also crucial for connecting various key actors and create networks able to connect critical development issues) Capability for rational decision making: Action should be based on decisions informed by the analysis. After action has been taken a re-assessment of the results and impact will lead to improved analysis and better action. 42

43 Capacity analysis, Duty Bearers: Outcomes/Rights not fulfilled
“what capacity gaps?” Outcomes/Rights not fulfilled Unable to organize oneself and take action Lacking recognition of duty Little knowledge or information Limited skills Meager financial or material resources Lacking authority or mandate

44 Group Work: Role Pattern & Capacity Gap Analysis
- Select a chain of causes in your problem tree causality analysis. Based on the selected chain, identify one critical DB or RH, and their expected roles (claims and duties) (10 min) For the selected Right Holder or Duty Bearer, identify their key capacity gaps (the things that prevent duty bearers from performing their roles and claim holders from claiming their rights) (15 min) Write them on flipcharts You have 25 min 44

45 Rights holder 1 Rights Holder 2 Duty Bearer 1 Duty Bearer 2 Claims
CAPACITY GAPS Rights holder 1 Rights Holder 2 Duties/obligations Duty Bearer 1 Duty Bearer 2 45

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