Annex 8: Sample Briefing note for a Capacity Assessment of a NHRI

Asia Pacific Forum of National Human Rights Institutions

National Institutions and Regional Mechanisms Section, OHCHR

UNDP Regional Centre Bangkok

Regional Capacity Assessment Partnership: Initiative in Support of Institutional Capacity Development of National Human Rights Institutions

• Briefing Note: Capacity Assessment of the National Human Rights Institution

Executive summary

The United Nations Development Programme Regional Centre in Bangkok (UNDP-RCB), the Asia Pacific Forum of National Human Rights Institutions (APF) and the National Institutions and Regional Mechanisms Section of the Office of the High Commissioner for Human Rights (OHCHR-NIRMS), have developed a project to support the institutional capacity development of National Human Rights Institutions (NHRIs) in the Asia-Pacific region.

The objective of the project is to assist NHRIs in the region to generate an understanding of their capacity strengths and needs and to develop strategies to fill capacity gaps. One of the first steps of the capacity development process is a capacity assessment, a self-assessment used to identify capacity strengths and needs of the NHRI. UNDP, APF and OHCHR will act as facilitators to the process by which the NHRI can assess its own capacities and identify and prioritise capacity development needs. In close consultation with the NHRI, they will produce an analytical report, measuring required future capacities of the NHRI against its current capacities and making recommendations for capacity development strategies. This report will be presented to the NHRI in draft form for discussion and joint finalisation.

The capacity assessment complements strategic planning, priority setting and work planning processes of NHRIs. The objective of the assessment is to systematically understand existing capacity strengths and gaps of the NHRI and subsequently develop capacity development strategies and responses to help the NHRI fulfil its mandate and the goals and objectives set out in the Strategic Plan. In order to do so the capacity assessment process also helps the NHRI analyse stakeholder positions and review its organizational structure, operational functions and business processes. The capacity assessment is complementary to the Strategic Planning process. It can be carried out in conjunction with that process and will be particularly effective to support its implementation.

The potential benefits for NHRIs in developing and implementing capacity development strategies that result from capacity assessments are great. This approach looks systematically at the capacity strengths and needs of the NHRI in order to perform its mandate effectively. It fosters engagement of NHRI members and staff and key external stakeholders, often across sectors. It leads to capacity development initiatives that are strategic, longer term and integrated, rather than ad hoc and fragmented.

This regional project complements and enhances the support projects being implemented by UNDP Country Offices and UN Country Teams for NHRIs at the national level and informs the development of tailored capacity development interventions to support NHRIs on a continuing, comprehensive basis.

Two pilot capacity assessments were carried out in December 2008 with the Human Rights Commission of Malaysia (SUHAKAM) and in October 2009 with the Human Rights Commission of Maldives (HRCM). The Jordan National Centre for Human Rights and the National Human Rights Commission of Thailand have both completed the capacity assessments in 2010.

Project overview

Objective

To assess and develop strategies to address the most important capacity needs of the National Human Rights Institution.

Approach

• To enable the NHRI to assess its current capacities against the capacities it requires to implement its strategic plan;
• To identify the capacity gaps that are the most important and most urgent to be addressed; and
• To develop strategies to address the identified capacity gaps in a long-term manner.

Participants

The process is a self assessment approach in which:

• NHRI members and staff are the principal participants;
• Key external stakeholders are also invited to contribute their perspectives on the basis of their experience with NHRI;
• A joint UNDP-APF-OHCHR project team facilitates the process, in consultation with a NHRI contact person or group; and
• A senior officer from the Maldives HRC joined the facilitation team in the spirit of peer-to peer exchange. (The Secretary of SUHAKAM was part of the team that facilitated the assessment of the Maldives HRC).

Methodology

Information is collected through:

• Individual and group discussions with NHRI members and staff;
• Background material shared by NHRI;
• Completion of an analytical "worksheet" by NHRI members and staff; and
• Individual and group interviews with key external stakeholders.

Timetable

• One or two days to introduce the process to the Commissioners and staff;
• Two weeks for the assessment itself, at the end of which a draft report will be presented to the NHRI for comment; and
• A final report will be submitted about a month after the completion of the assessment mission.

Expectations on the NHRI:

The NHRI is expected to provide:

• One senior person as liaison officer (in both SUHAKAM and Maldives it was the Secretary General), with administrative support from the Commission's sections and departments, to work with the team and assist in identifying and providing relevant documents and arranging internal and external meetings. The team will request the appointment of the liaison person or group when the project proposal is approved by the NHRI;
• Availability of staff of each section for two sessions with the assessment teams. Each session will not exceed 90 minutes. The first session will take place during the first week of the assessment mission and the second one during the second week; and
• The costs of the assessment team will be borne by the partners (APF, UNDP, OHCHR).

Product

A comprehensive report of the self assessment, with:

• Analysis of the qualitative and quantitative data to illustrate the key capacity challenges facing NHRI in implementing its Strategic Plan and realising its mandate; and
• Proposal of strategies to address identified priority needs for capacity development prepared jointly by the NHRI and the project team.

Result

The capacity development strategy recommendations, once endorsed by the NHRI, can be developed into an implementation plan to strengthen the NHRI. Support, if required, can be provided by UNDP, OHCHR and APF in the implementation of the recommendations.

Implementation

The process will be facilitated by the project team in close consultation with the NHRI liaison person or group. Implementation involves five steps, using the Capacity Development Framework developed by the UNDP Capacity Development Group.

1. Scoping

The NHRI and the project team first clarify and define the objectives and expectations of the project and plan for the assessment itself. This occurs during an initial two day preliminary visit to the NHRI. The scoping mission has a two-fold goal of:

(1) briefing all the Commissioners and staff on the purpose and process of the Capacity Assessment and clarifying and questions and concerns on it;

(2) identifying and collecting relevant background document; and

(3) developing a schedule for the capacity assessment dates including meetings with the external stakeholders.

During the scoping, a small number of key external stakeholders are identified for inclusion in the assessment process. They can be drawn from government, parliamentary committees, civil society, the judiciary, academia and any other area of relevance. The NHRI contact group will play an important role in refining the list of key external stakeholders to ensure that it is manageable in number and includes the most significant commentators.

2. Capacity assessment by Commissioners and staff

The capacity assessment missions usually take place within 2 months of the scoping mission and lasts for about 2 weeks. Commissioners and staff undertake their individual assessments of the NHRI current capacities and required capacities, through focus groups discussions and in depth interviews in the first week and subsequently, in the second week, by using a "worksheet" or questionnaire prepared by the project team.

The focus group discussion in the first week enable the team to make an initial identification of key issues that will be the principal focus of the self assessment. These issues can concern the current and required capacities in relation to:

• The external environment in which the NHRI works;
• Organisational issues for the NHRI; and
• NHRI members and staff.

Issues might include:

• Institutional development: mission and strategy, business processes, human resource management, information and communications technology;
• Institutional management: ability to foster independence of the NHRI, ensure plural representation and strengthen relationships with external stakeholders, develop, communicate and give direction on vision, mission and values based on the universal standards of human rights, and create an environment that motivates and support right holders including NHRI staff;
• Knowledge: training and education of NHRI staff and rights holders; and
• Mutual accountability: capacity to ensure accountability through prevention and enforcement, strengthen national integrity of the NHRI, increase public participation and build collaborations; increase mobilisation, access to and use of information, work with the international community including the ICC and the Asia Pacific Forum.

The identification of key issues enables the preparation of the assessment worksheets. The worksheets focus attention on these issues. By seeking assessments of present and required capacities, they reveal the capacity gaps in the organisation and the extent of the gap to be met. The data produced by the worksheets is both qualitative (what kinds of gaps? how important are they?) and quantitative (how many people see this as a gap? what is the extent of the gap that they see?).

The worksheets are completed by Commissioners and staff in small groups of similar nature. For example, Commissioners in leadership positions in working groups might work together and other Commissioners work together; staff in director level positions might work together; administrative staff might work together. Each individual member of the Commission or staff completes a personal, anonymous set of worksheets. By working in a group environment, however, there are also opportunities for discussion and sharing of perspectives and views.

3. Interviews with key external stakeholders

During the scoping, a small number of key external stakeholders will have been identified. The project team conducts individual interviews with these stakeholders during the first week of the assessment visit to provide an external perspective on the capacity needs of the NHRI. These interviews are directed towards an external assessment of the NHRI's capacities, current and required, not of its work. The persons interviewed will not be given the worksheets or asked to complete them but will participate in a short interview to seek their overall perceptions and comments. The information collected during the scoping and interviews will be shared with the NHRI.

4. Data analysis and development of strategies

Following the completion of the focus group meetings and worksheets by Commission members and staff and the interviews with external stakeholders, the project team collates and analyses the data and other information. In close consultation with the NHRI contact person or group it begins to develop possible strategies to address the most important capacity gaps identified. Those possible strategies are tested with other senior NHRI Commission members and staff, refined and further developed.

The strategies will be practical and able to be implemented. They will address the most important capacity gaps within a comprehensive framework that reflects the needs and priorities of the NHRI as a whole.

5. The report

The capacity needs assessment culminates in a report that identifies the capacity gaps, indicates priorities, provides the analysis and offers strategies. The project team, in close consultation with the NHRI contact person or group, will produce a draft report for presentation to and discussion with the NHRI members and directors at the end of the two week assessment mission. After a period for comments from the NHRI, the report will be finalised and submitted to the NHRI.

The report is owned by the NHRI and the NHRI has full authority over its circulation and implementation. After the presentation of the report, the Commissioners are able to decide what to do with it and how to proceed with the implementation of the strategies recommended by the self-assessment. While UNDP, OHCHR and APF, as the project team, will have copies of the report, the distribution of the report will be in the hands of the NHRI. It may decide to make it public, give it limited distribution as desirable or keep it entirely as an internal document. The project team would recommend a wide distribution in order to use it to broaden the understanding of and support for the NHRI and its work and to ensure implementation of the report's strategies. The NHRI can decide how best to move forward with the report after the final report is received.

Implementation of the strategies

The production of the report is the end of the project but it is not its principal objective. The principal objective is strengthening the capacity of the NHRI to do what it wishes and needs to do in order to operate more effectively and efficiently, including through implementation of the report's strategies. UNDP, OHCHR and APF will be available after the project to support the NHRI in its endeavours to implement the strategies. The UN Country Team and UNDP Country Office can play an important role at this stage. The report will also encourage UN agencies and other partner organisations to plan future targeted assistance tailored to the needs of the NHRI.

Through participation in the needs assessment project, UNDP, OHCHR and APF commit themselves to continuing support for the NHRI capacity development.

Benefits to HRCT

Participation in the capacity needs assessment project will give the NHRI:

• An understanding of its current organisational capacities;
• A rigorous assessment of its capacity needs;
• Clear priorities for capacity development;
• Sound strategies both short-term and long-term for capacity development;
• A strong analytical report that can assist in securing the support needed to implement the strategies;
• A baseline assessment of capacity that can be used to measure improvement and achievement over time;
• An additional means to improve its effectiveness;
• Key NHRI personnel trained in capacity needs assessment and development; and
• The opportunity to lead capacity development for other NHRIs in the region and globally.

Benefits to other NHRIs

If the NHRI decides to participate in the capacity assessment project, it will be benefiting not only itself but NHRIs generally. The capacity assessment framework has been piloted successfully with SUHAKAM and the Maldives Human Rights Commission. There is growing interest from other NHRIs in the region and globally in this initiative. As it develops, the project aims at increasing the skills of people from Asia Pacific NHRIs in capacity needs assessment and development through peer-to-peer exchanges and learning, so that at the regional level NHRIs themselves and their members and staff can be self sufficient in assisting each other in this work, an example of cooperation that could also be offered to NHRIs in other regions.