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A Human Rights-Based Approach to Country Analysis: 3 Steps Session 5

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1 A Human Rights-Based Approach to Country Analysis: 3 Steps Session 5
Expected Results: Participants are confident to apply a HRBA to analysis. They can Undertake causality analysis of development challenges to identify rights that are not being met or at risk of violation; Build on their causality analysis to identify rights holders and their claims, and duty bearers and their corresponding obligations; Use this role-pattern analysis to identify the critical capacity gaps that prevent rights holders from claiming their rights, and duty bearers from meeting their obligations Apply the human rights principles and standards to strengthen their overall analysis.

2 Session objectives Understand the value added of a HRBA in country analysis and UN programming Apply the HRBA to the analysis of real country development challenges in three basic steps: causal, role and capacity gap analysis This session is about how to answer to the four critical questions (last slide of session 4):  Who has been left behind and why? Human rights standards are a minimum in practice and a standard of achievement (as per Universal Declaration) which are necessary to expand the freedoms and opportunities inherent to human development. The "why" links with the causal analysis and will help us visualize how human rights principles can help identify persistent patterns of discrimination, exclusion, impunity and powerlessness. Causality analysis should lead to the identifications of immediate, underlying and root causes.  What are they entitled to? The question on the entitlements is essential to visualize and understand that HR standards embodied in the treaties are not just words on the page – but applicable standards.  Who has to do something about it? It is important to identify, specifically, who are the duty bearers and rights holders– those with obligations to act Caution! It is easy to imply that action should be taken only by duty bearers. Presenters should emphasise that the "who" in "who has to do something about it" includes both duty bearers and rights holders.  What do they need, to take action? The “they” in the final question refers to both rights holders and duty bearers and help identify critical capacity gaps that prevent action. At the underlying and root levels, these capacity gaps will nearly always involve gaps in legal, institutional, policy, and financial (budget) frameworks. Action in the political and economic environment may be critical for empowering rights-holders and develop the capacities of duty-bearers. Rights-based causality analysis should be used to strengthen ongoing or planned country analysis and to bring some influence to the preparation or review of National development plans, including PRSPs. Reports from international, regional and national human rights mechanisms are key sources of information that should be used during the analysis. Remember that a key message in a HRBA is that the process is as important as the outcome of development. Remind participants and add the following: How should the process be conducted? or What type of process is required? This is a good introduction to the three steps.

3 HRBA in UN Programming Road Map Country Analysis
- Positioning human rights issues - Inclusion of stakeholders Road Map - Preparation process of the UNDAF Country Analysis - Review existing analysis (assessment) - UNCT supported analysis - Identify UNCT comparative advantages Strategic Planning - Strategic priorities for UNDAF/ UNDAF Action Plan Programme Planning & Implementation (Agency or Multi-Agency Joint Programmes) Monitoring & Evaluation Mechanisms for participation or RHs and DBs in programe monitoring and evaluation - Linking rights to development challenges - Patterns of discrim., inequality, and exclusion - Capacity gaps of RHs and DBs Human rights principles and standards HIDDEN SLIDE 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 Empowered rights-holders and accountable duty- bearers contribute to the realization of human rights Strengthened capacities of rights-holders and duty- bearers

4 Options for country analysis
Whatever the option is: HRBA, as the other programming principles, provides criteria to ensure a high quality analysis; A strong country analysis is more likely to lead to a strong UNDAF and ultimately strong agency programming. (UNDG) Participation in government-led analytical work Complementary analysis 3. CCA HIDDEN SLIDE Provide notes based on latest CCA UNDAF guidelines The messages on the right box are drawn from a powerpoint presentation on the UNDAF guidelines available at There are five expected results from the UNCT’s analytical contribution: Agreement with partners about the root causes of priority development problems, with a special focus on the five principles presented earlier; Identification of critical capacity gaps at different levels of society to address these problems, and systematic application of, and follow up to, country led capacity assessments; Recognition of the risks of crises and natural disasters, as well as capacities for crisis prevention and disaster preparedness; Greater national capacity for data collection and analysis, ensuring that data are sufficiently disaggregated to reveal patterns of discrimination; and Analysis based on priorities in the national development framework, aligned with the World Summit outcome document, the MD/MDGs and other internationally agreed treaty obligations and development goals. The CCA is one of several options for getting consensus about priority problems and their causes, and the capacity needs for action Under option 2 (complementary) the UNCT will play a larger role to convene groups, organize consultations, and conduct a complementary research agenda. 4 4

5 Examples Programming without a CCA: Early Country Experiences
(Ethiopia, Tanzania, Mozambique, Zambia) Tanzania’s Review of Country Analytical Work and Gaps Analysis In order to ensure system-wide ownership of the national development plan, the MKUKUTA, the UNCT Tanzania opted for a “hybrid strategy” combining a review of existing national, sector and thematic studies underpinning MKUKUTA and conducting a complementary “gaps analysis” of the national framework of results before moving to the UNDAF process. The UNCT formed seven working groups led by heads of UN agencies. The TORs of these working groups included: 1) Review of key studies and reports ) Preparation of problem trees ) Root cause analysis of selected development challenges ) Conducting a gap analysis The gaps identified during this process will inform the UNDAF formulation and will be integrated into the UNDAF as areas for analytical work and advocacy with a view to influencing the policy framework and priorities of MKUKUTA. While more compact than the preparation of a CCA, this process still allowed the UNCT to form a common assessment of development challenges and priority intervention areas for analysis, advocacy and policy dialogue. HIDDEN SLIDE There are five expected results from the UNCT’s analytical contribution: Agreement with partners about the root causes of priority development problems, with a special focus on the five principles presented earlier; Identification of critical capacity gaps at different levels of society to address these problems, and systematic application of, and follow up to, country led capacity assessments; Recognition of the risks of crises and natural disasters, as well as capacities for crisis prevention and disaster preparedness; Greater national capacity for data collection and analysis, ensuring that data are sufficiently disaggregated to reveal patterns of discrimination; and Analysis based on priorities in the national development framework, aligned with the World Summit outcome document, the MD/MDGs and other internationally agreed treaty obligations and development goals. The CCA now one of several options for getting consensus about priority problems and their causes, and the capacity needs for action Under option 2 (complementary) the UNCT will play a larger role to convene groups, organize consultations, and conduct a complementary research agenda. 5

6 Country Analysis GATHERING INFORMATION ASSESSMENT ANALYSIS
About development problems from existing sources, esp. national treaty reports and observations and recommendations from treaty bodies ASSESSMENT Shortlist major development problems for deeper analysis ANALYSIS Of root causes & their linkages 6

7 Legal, Institutional, and policy frameworks 2. ROLE/PATTERN ANALYSIS
Detailed Steps 1. CAUSAL ANALYSIS Getting to root causes Legal, Institutional, and policy frameworks 2. ROLE/PATTERN ANALYSIS 3. CAPACITY GAP ANALYSIS HIDDEN SLIDE 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. 7

8 Analysis in 3 steps 1. WHY? Causal analysis 2. WHO? 3. WHAT?
Which rights are implicated that explain why there is a problem? 2. WHO? Who are the duty-bearers? Role-pattern analysis Who are the rights-holders? Who has to do something about it? 3. WHAT? What capacity gaps are preventing Capacity gaps analysis duty bearers from fulfilling their duties? and What capacity gaps are preventing rights-holders from claiming their rights? What do they need to take action? HIDDEN SLIDE On options for analysis, depending on whether a UNCT decides not to conduct a full-fledged CCA: In order to have an alternative option for countries without a full CCA, the questions from the UNDAF Guidelines Annex 2 could be used as follows: 1) For all analysis options, the slides on information gathering and assessment should include the first four questions of Annex 2. 2) In countries without a full CCA, for causal analysis, instead of using the problem tree slides, questions 5 and 6 of Annex 2 (and perhaps 1-2 more) could be offered in a slide and the exercise could be to review the analytical part of a few key documents (e.g. MDG reports, PRSP), with different groups looking at different policy areas. An additional task would be to highlight analytical gaps. Overall, the idea would also be to fill in the overall matrix as much as possible (see following steps). 3) For role analysis, slides can stay the same 4) For capacity gap analysis, slides can stay the same. Current slide: We’ll start our practice of the approach with the first step of causal analysis, looking at which rights are implicated. 8

9 Gender Mainstreaming and HRBA
The human rights of women are an integral part of HRBA Non-discrimination is both a principle and a provision of the core international treaties, including CEDAW which is devoted exclusively to eliminating sex discrimination as a means to achieving gender equality. Development of benchmarks by data disaggregated by sex – and other (i.e. age, location, ethnicity and disability) and of indicators for measuring progress in the achievement of gender equality. It is common to find various forms of discrimination intersecting with gender and where they do there is need for sharper focus and targeting.

10 Assessment Analysis – in three steps Who has been left behind?
Causality Analysis 1 Why? Which rights are at stake? Analysis – in three steps Role Analysis 2 Who has to do something about it? On options for analysis, depending on whether a UNCT decides not to conduct a full-fledged CCA: In order to have an alternative option for countries without a full CCA, the questions from the UNDAF Guidelines Annex 2 could be used as follows: 1) For all analysis options, the slides on information gathering and assessment should include the first four questions of Annex 2. 2) In countries without a full CCA, for causal analysis, instead of using the problem tree slides, questions 5 and 6 of Annex 2 (and perhaps 1-2 more) could be offered in a slide and the exercise could be to review the analytical part of a few key documents (e.g. MDG reports, PRSP), with different groups looking at different policy areas. An additional task would be to highlight analytical gaps. Overall, the idea would also be to fill in the overall matrix as much as possible (see following steps). 3) For role analysis, slides can stay the same 4) For capacity gap analysis, slides can stay the same. Capacity Gap Analysis 3 What do they need to take action?

11 HRBA to Information Gathering
What information: Civil, cultural, economic, political and social context Disaggregated according to normative grounds of non-discrimination, e.g. sex, age, ethnicity, rural and urban, etc. Sources of information: Rely on national information, assessments and analyses Variety of sources including information from International, regional and national human rights mechanisms Information and analysis process: Participatory, inclusive, accountable and sensitive to cultures HIDDEN SLIDE Tip for Presenter The content of this slide could be addressed while explaining the inverted pyramid, thus avoiding to show this one 1. Gathering the Right Information In order to conduct a good assessment and analysis, the quality and reliability of the information it is based upon is crucial. The purpose is to have all the information which is needed to identify the main development challenges in a country (assessment) and to be able to analyze in more depth the immediate, underlying and root causes of these development challenges. What type of information is required? civil, cultural, economic, political and social context that will lead to the identification of the main development and human rights challenges in the country, their severity, the most affected and where they exist. main trends and patterns over the last years mechanisms and actions taken to address them and their effectiveness. Quantitative and qualitative data. Data as disaggregated as possible by sex, age, geographic area, racial, ethnicity, etc. What are the main sources of information? Government reports and official statistics Treaty bodies and Special Procedures, regional and national human rights mechanisms, including national Human Rights institutions National NGO and INGO reports UN Economic Commissions and financial institutions (WB, IMF) UN and UN agency reports, including reports from peace missions Reports from other States (US State Department, EU, etc.) Academic research and national and international media Direct information from victims of human rights abuses Other reliable sources Particular attention should be paid to obtaining disaggregated data and to any existing research based on poverty hearings, poverty assessments, poverty diagnostics, unpublished reports by the Ombudsperson, reflecting the situation and views of disadvantaged and marginalized population groups, including women and children, displaced persons, minorities and indigenous peoples. There may be situations in which a very small minority is being excluded from most studies and reports because they are not regarded as important for policy-makers even though their human rights are being grossly violated. 11

12 HRBA to the Assessment Purpose of the Assessment:
Identify the main development challenges What is happening? To whom? Where? e.g. High incidence of maternal mortality and morbidity amongst rural indigenous girls from the southern districts HIDDEN SLIDE 2. Getting the Assessment Right An assessment of the overall country situation from a HRBA is essential for determining whether and where a development challenge exists, its intensity and who is affected. The Millennium Declaration, the MDGs, and the commitments, goals and targets of international conferences, summits, conventions and human rights instruments of the UN system are the benchmarks against which it can be determined whether and where major challenges exist in a country and their severity. Attention should be paid to identifying the most disadvantaged and excluded groups. For example, if illiteracy indicators show that the rate is moderately high at the national level, but highest among indigenous women living in remote areas then, illiteracy of indigenous women in remote areas would be a priority issue to address more in-depth in the analysis. In conducting the assessment, asking the following questions can be helpful: Which development challenges exist? Who are most affected by them? Where are they occurring? How widespread are they? What actions have been taken to address them? What progress has been achieved and what obstacles remain? Step One: Selecting the Development Challenge/ Human Right Unfulfilled The quality of the assessment will determine which development challenges are the priority areas that must be analyzed more in-depth. Consensus should be reached among all UN partners (through a broad consultation) on these priority challenges. From a HRBA It is important to: recognize each development challenge as a human right or as several human rights that are unfulfilled or violated. This first step helps to identify the human rights standards and the relevant human rights treaties that will help to guide and shape the analysis; formulate the development challenge so it is people focused. The question is – Who is being affected? distinguish the development challenge from one of its possible causes. The central issue is how people’s lives are affected and must be distinguished from the institutional capacities, economic and political trends or legal safeguards, which may be important causes of the problem. Likewise, defining the development challenge as a “lack of something” may prompt overly simplistic solutions and prevent analysis of additional factors affecting the lives and wellbeing of people. If for example, “lack of access to maternal health services” is chosen as the development challenge (instead of high maternal mortality), other contributing factors such as “ineffective family planning policies” might not be considered in the analysis. A rights-based development challenge should be people focused. In other words: Who is left behind? 12

13 Step 1: Causality Analysis
What is it? The essential first step for HRBA and RBM A technique for identifying causes of a problem which can then be used to formulate appropriate responses We can map the problem and its causes in the form of a problem tree 13

14 Why a causal analysis? by conditions three If a problem is caused
HIDDEN SLIDE 14

15 Why a causal analysis? should by conditions three be addressed
If a problem is caused All three conditions should by conditions three be addressed HIDDEN SLIDE The problem tree is very useful to look at who is doing what. This can lead to an interesting discussion on who’s responsibility is it to address the conditions identified (e.g. maybe it is not the UN’s responsibility, but partners could be identified who should deal with those issues). 15

16 CAUSALITY ANALYSIS Causes of a Problem Manifestation Immediate Causes
Underlying causes Root Causes Causes of a Problem Identifying which rights are not being realized and their immediate, underlying and root causes Immediate causes – the most direct cause affects individuals and households; Underlying causes normally involve service delivery and behavior Root causes include things such as tradition, economic resources, ideology Needs disaggregated data to identify disparities, negative trends which are often masked by aggregate data Includes understanding of the context and its effect on people’s lives, review of policies and laws to assess consistency with global human rights standards Needs a participatory process 16

17 Causal analysis: “why?”
Development problem Root causes “Society, patterns of discrimination, exclusion and powerlessness” Underlying causes “Services, Access, Policies, Practices” Immediate causes “Status” HIDDEN SLIDE 17

18 Problem Tree High incidence of maternal mortality
Manifestations High incidence of maternal mortality among rural women from southern districts effect Immediate causes Early pregnancies Inadequate obstetric care services at the community level Underlying causes Contraceptive methods seen as promoting Women infidelity Little awareness of sexual and reproductive rights Insufficient public service accountability and private sector regulation This is a brief version of a problem tree analysis done by a UNCT for the 2007 UNDAF roll-out Poor planning and implementation capacity and little priority to maternal health In the national budget Root causes Gender discrimination Lack of sensibility and a civil service culture cause 18

19 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 HIDDEN SLIDE 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. 19

20 Group Work: Causality analysis/problem tree
Using the information from the case study… Formulate the problem in terms of what is happening, to whom and where – write it on a card Discuss and identify the immediate, underlying and root causes Build a problem tree Use the problem tree to identify the rights standards and principles that are not being fulfilled 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 indicator relevant to that MDG (e.g. primary school drop out rates for girls). Constructing a problem tree for those unfamiliar with the pre=actice 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. Note to the facilitator: In addition, in order to facilitate the identification of the claim later on, participants may be asked to consider the AAQ (availability, accessibility, quality) dimensions for ESCR standards and highlight in which dimension the respective right seems unfulfilled. 20

21 Analysis in 3 steps 1. WHY? Causal analysis 2. WHO? 3. WHAT?
Which rights are implicated that explain why there is a problem? 2. WHO? Who are the duty-bearers? Role-pattern analysis Who are the rights-holders? Who has to do something about it? 3. WHAT? What capacity gaps are preventing Capacity gaps analysis duty bearers from fulfilling their duties? and What capacity gaps are preventing rights-holders from claiming their rights? What do they need to take action? HIDDEN SLIDE 21

22 HRBA to Analysis in three steps
Assessment Who is left behind? Causality Analysis 1 Why? Which rights are at stake? HRBA to Analysis in three steps Role Analysis 2 Who has to do something about it? Capacity Gap Analysis 3 What do they need to take action?

23 Step 2: Role Analysis Rights holders Who are they?
What are their claims? Duty bearers What are their duties? Check what the human right standards say about their claims and duties Check also what role is expected from rights-holders & duty bearers in national laws, procedures and policies Role Pattern Whose rights are being affected? Who is responsible for the rights not being respected, protected or fulfilled? Who are the rights-holders and do they have the capacity to claim their rights including the ability to access information, organize and participate, advocate claims and policy change, as well as obtain redress? What, specifically, is owed to the rights holders? What mechanisms of delivery, accountability, and redress exist, and what mechanisms should be established? Who are duty-bearers and what obligations are they supposed to meet? Who are the specific actors or institutions responsible for performance and do they have the capacity to meet obligations (including responsibility, authority, data, and resources)? Are these duty-bearers also rights-holders? In other words, do they rely on others performing their duties in order to be able to, in turn, deliver what they owe? Do the others have the capacity to perform their duties? What is the relationship between the rights-holders and duty-bearers in regard to the development issue being examined and at what level are interventions for capacity building most effective (community, regional, national)? Call Boxes: the identification of roles should not be an arbitrary exercise. It should be guided by the claims and duties established in international human rights standards as well as by the more specific roles and standards defined in national laws, procedures and policies. Analyse responsibilities and claims and the relationships between rights holders (RH) and duty bearers (DB) Identify duty bearers and their responsibilities for respecting, protecting and fulfilling rights Identify patterns of relationships between different levels – duty bearer may also be a rights holder against the next level RHs have more than one right and DBs have multiple roles to fulfill different rights 23

24 Human rights obligations
Duty-bearers Right to water Respect Protect Fulfill Do not disconnect supply without due process Pro-poor price regulation when supply is privatized Ensure, over time, everyone is connected HIDDEN SLIDE Continuing with the idea in the previous slide that the State is the primary duty bearer under international law, explain that: States Parties have specific obligations to respect, protect, and fulfil the rights recognized in the treaty and to take the necessary action towards their implementation. All rights, to varying degrees, entail obligations of an immediate kind, such as the obligation not to discriminate in the realization of the right in question. In the case of economic, social and cultural rights in particular, obligations can also be of a progressive kind, the realization of the right being subject to resource constraints. the obligation to respect the human rights of all people within its jurisdiction, meaning abstaining from any conduct or activity that violates human rights. This obligation requires States to ensure that human rights are fully respected in state policies, laws and actions, including those of public officials. the obligation to protect the human rights of all people without discrimination from violations by state and non-state actors including individuals, groups, institutions and corporations. This obligation requires States to ensure that everyone enjoys their human rights within their jurisdiction by protecting their human rights from the actions of individuals and groups including corporations, institutions, and public and private bodies. This protection is achieved primarily through the enactment of laws and the establishment of redress procedures, as well as through national mechanisms to monitor human rights violations. the obligation to fulfil (or ensure) human rights by creating an enabling environment through all appropriate means particularly through resource allocation. This obligation requires States to take establish measures to ensure the realisation of human rights such as legislative, administrative, or other measures in order to give effect to the rights recognized in the treaty. The International Covenant on Economic, Social and Cultural Rights and the Convention on the Rights of the Child both provide that States should “take steps, to the maximum of available resources, towards the progressive achievement of the full realisation of these rights.” Thus, the State must take steps such as by setting goals, targets and timeframes for their national plans for fulfilling rights, which may also include seeking international development assistance. The obligation to fulfil includes promoting respect for human rights and fundamental freedoms through, for example, human rights education and training, and ensuring that human rights principles and standards recognized in the human rights treaties are widely known, as well as other measures necessary to prevent violations of human rights. Respect Negative obligation- refrain from violating a right Protect Regulate and control the activities of the public and the private sector Establish judicial and administrative mechanisms of redress and compensation Facilitate the investigation work of national institutions Fulfil Formulate and implement strategies and policies aiming at the progressive realization of rights Ensure adequate budgetary allocations and execution to the extent of the maximum available resources Provide public services effectively without discrimination Assist populations in situations of vulnerability and dependence Refrain from interfering with the enjoyment of rights Prevent others from interfering with the enjoyment of rights Adopt appropriate measures towards full realization of rights 24 24

25 Example: Right to Education
Rights Holder: Children with disabilities Claim: ensure access to quality primary and secondary education without discrimination Capacity gaps: Duty-bearer (1): School Administration Obligations: improve physical accessibility to classroom and toilets, ensure teachers attendance Duty-bearer (2): Provincial Direction of Education OBs.: carry out regular inspections in public and private schools and address individual complaints Duty Bearer (3): Ministry of Education OBs.: promote inclusive education policies, train teachers, adapt textbooks 25

26 Group Work: Role Analysis
1. From your causal analysis, select one of the causes in which you want to focus on and highlight why you chose it 2. Identify a main right-holder and a critical claim 3. Identify the max. 3 duty-bearers who should do something about that claim and their most critical obligations Role Pattern Whose rights are being affected? Who is responsible for the rights not being respected, protected or fulfilled? Who are the rights-holders and do they have the capacity to claim their rights including the ability to access information, organize and participate, advocate claims and policy change, as well as obtain redress? What, specifically, is owed to the rights holders? What mechanisms of delivery, accountability, and redress exist, and what mechanisms should be established? Who are duty-bearers and what obligations are they supposed to meet? Who are the specific actors or institutions responsible for performance and do they have the capacity to meet obligations (including responsibility, authority, data, and resources)? Are these duty-bearers also rights-holders? In other words, do they rely on others performing their duties in order to be able to, in turn, deliver what they owe? Do the others have the capacity to perform their duties? What is the relationship between the rights-holders and duty-bearers in regard to the development issue being examined and at what level are interventions for capacity building most effective (community, regional, national)? Call Boxes: the identification of roles should not be an arbitrary exercise. It should be guided by the claims and duties established in international human rights standards as well as by the more specific roles and standards defined in national laws, procedures and policies.

27 Example: Right to Education
Rights Holder: Claim: Capacity gaps: Duty-bearer (1): Obligations: Duty-bearer (2): OBs.: Duty Bearer (3): 27

28 Analysis in 3 steps 1. WHY? Causal analysis 2. WHO? 3. WHAT?
Which rights are implicated that explain why there is a problem? 2. WHO? Who are the duty-bearers? Role-pattern analysis Who are the rights-holders? Who has to do something about it? 3. WHAT? What capacity gaps are preventing Capacity gaps analysis duty bearers from fulfilling their duties? and What capacity gaps are preventing rights-holders from claiming their rights? What do they need to take action? HIDDEN SLIDE 28

29 HRBA to analysis in three steps
Assessment Who is left behind? Causality analysis 1 Why? Which rights are at stake? HRBA to analysis in three steps Role analysis 2 Who has to do something about it? Capacity gap analysis 3 What do they need to take action?

30 Step 3: Capacity Gap Analysis
Rights-holders capacity elements: Can? - Knowledge - resources - individual abilities Want? - Security - motivation Enabling environment - right to participate - Information - freedom of association and expression Duty Bearers capacity elements: Can? - Knowledge Resources (human, technical and financial) Organizational abilities Want? Responsibility/motivation /leadership Should? - Authority Capacity Gap Analysis 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.

31 Group Work: Capacity Gap Analysis
Based on the role analysis Go back to the right-holders claim and select the 2 to 3 most critical corresponding duty-bearers obligations For each RH and DB, identify their key capacity gaps The things that prevent duty bearers from performing their roles and rights-holders from claiming their rights List the key capacity gaps identified 31

32 Example: Right to Education
Rights Holder: Claim: Capacity gaps: Duty-bearer (1): Obligations: Duty-bearer (2): OBs.: Duty Bearer (3): 32

33 Gallery Your opportunity to “visit” other groups and give feedback
Organise your 3 steps on the wall Choose one person to stay with your analysis to answer questions Causality Analysis: Is there a logical flow in the causality analysis and clarity of problems, particularly at lower level of framework? Role Analysis: Are the claims and obligations intuitive and presented in plain language – when you read an obligation can you imagine a corresponding action? Capacity Gaps: Is there sufficient attention to capacity gaps that address the lower levels of the framework – related to critical gaps in legal, institutional and policy and budgetary frameworks? Gender Dimension: How well does the analysis reflect the different ways that women and men experience the development challenge? Will the capacities address the root causes of gender inequality? !! Remember to leave comments on post-it notes

34 What next? Linking HRBA with RBM 34

35 HRBA and RBM are mutually reinforcing
is a content unspecific programming approach to manage positive change Analyses development problems in order to formulate SMART results. Helps apply HRBA in programming HRBA: is a normative approach based on human rights standards and principles Analyses development problems by aligning them with human rights issues in order to formulate relevant results provides normative content to RBM HIDDEN SLIDE The purpose of this slide is not to provide a lengthy explanation of RBM as one of the 5 key programming principles. The purpose is to clarify that country analysis is also part of the RBM process. Human Rights-Based Approach and RBM are mutually reinforcing. On the one hand, a HRBA provides meaning and a normative content to RBM. On the other hand, and RBM can help apply HRBA more operationally in the programming practice. It would be good to ask participants what SMART [results] stand for. 35


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