- Objective and
Executive Summary - 1.1 What is a "National Human
Rights Institution"? - 1.2 NHRIs in Context
- 1.2.1 The Emergence of NHRIs
- 1.2.2 Democratic Governance and a Human Rights Framework
- 1.2.3 Enabling Laws: Grounded in Constitutional Law and Legislation
- 1.2.4 International Human Rights Law
- 1.2.5 Can the NHRI Apply International Standards Domestically?
- 1.2.6 NHRIs and Human Rights-Based Approach to Development
- 1.2.7 NHRIs and the Protection of Specific Groups
- 1.2.8 NHRIs and the UN system
- 1.2.9 NHRIs and UNCTs
- 1.3 Introducing the Paris Princples
- 1.3.1 Key Features
- 1.3.2 Accreditation and the Paris Principles: introducing the ICC
- Key Messages
- Tools in this Chapter
- Objective and
Executive Summary - Introduction
- 2.1 Different Approaches: Form and Function
- 2.2 Geographic Jurisdiction and Extraterritorial Effect
- 2.3 NHRIs vs. Classic Ombudsman Offices
- 2.4 Models of NHRIs
- 2.4.1 Human Rights Commissions
- 2.4.2 Human Rights Ombudsman Institutions
- 2.4.3 Hybrid Institutions
- 2.4.4 Consultative and Advisory Bodies
- 2.4.5 Institutes and Centres
- 2.5 Recent Resolutions of the UN General Assembly
- 2.6 Factors to Consider in Choosing a Model
- Key Messages
- Tools in this Chapter
- Objective and
Executive Summary - 3.1 Protection
- 3.1.1 Investigations and Human Rights Complaints
- 3.1.2 Monitoring
- 3.1.3 Public Inquiries
- 3.2 Promotion
- 3.2.1 Public Education
- 3.2.2 National Repository/Archive for Human Rights Documentation
- 3.3 Advising Governments and Parliament
- 3.3.1 Working with Security Forces and Law Enforcement Officials
- 3.3.2 Cooperating with National Stakeholders
- 3.3.2.1 Civil Society
- 3.3.2.2 Other Institutions
- 3.4 Role of NHRIs in Domestically Incorporating international Human Rights Law
- 3.5 Cooperation with Other NHRIs and Regional Human Rights Networks
- 3.6 Cooperation with the International Human Rights System
- 3.6.1 Treaty Bodies
- 3.6.2 Special Procedures of the Human Rights Council
- 3.6.3 The Human Rights Council and its Universal Periodic Review
- 3.7 Protecting and Promoting the Rights of Specific Groups
- 3.7.1 Protecting Specific Groups:
An Equality-focused Approach - 3.7.1.1 Women’s Human Rights
- 3.7.1.2 NHRIs and Rights of Persons with Disabilities
- 3.7.1.3 IDPs, Refugees, Stateless Persons & Migrants
- 3.8 NHRIs and Economic, Social and Cultural Rights
- 3.9 NHRIs and the Justiciability of ESC Rights
- 3.10 Transitional Justice
- 3.11 NHRIs and Business
- Key Messages
- Tools in this Chapter
- Objective and
Executive Summary - 4.1 Introduction
- 4.2 NHRIs and the Rule of Law
- 4.2.1 Strengthening the Rule of Law
- 4.3 Core Protection
- 4.3.1 Preventing Torture, Summary Executions and Arbitrary Detention
- 4.3.2 Prevention of Torture
- 4.3.3 Preventing Arbitrary Detention and Forced Disappearances
- 4.4 Complaints from Detainees
- 4.5 Detention Monitoring
- 4.6 Protection of Human Rights Defenders
- 4.7 Core Protection and Specific Groups
- 4.7.1 Violence Against Women and Girls
- 4.8 NHRIs in Conflict Situations
- 4.9 Strengthening the Core Protection Mandate of NHRIs
- Key Messages
- Tools in this Chapter
- Selected References
- Objective and
Executive Summary - Introduction
- 5.1 The UN and Human Rights Based Approach to Development
- 5.2 Linking NHRI Roles and Responsibilities to Development
- 5.2.1 Economic, Social and Cultural Rights and NHRIs
- 5.2.2 NHRI Constraints
- 5.2.3 The Millennium Development Goals and NHRIs
- 5.2.4 Millennium Development Indicators
- 5.3 Development, NHRIs and Culture
- 5.4 NHRIs, democratic governance and national development priorities
- 5.4.1 Creating an Enabling Environment for UNCT:
Human Rights, Development and Democratic Governance - 5.4.2 NHRIs and Poverty Reduction Strategies
- 5.4.3 Budget Analysis and Monitoring
- 5.4.3.1 Decentralisation Initiatives
- Conclusion
- Key Messages
- Tools in this Chapter
- Selected References
- Objective and
Executive Summary - 6.1 The UNCT Comparative Advantage
- 6.2 UNCTs and the Country Programming Cycle
- 6.3 Common Country Assessment
- 6.3.1 NHRI Participation in the CCA
- 6.3.2 Targeting NHRIs in the CCA
- 6.3.2.1 No NHRI, or NHRI in
Pre-establishment Phase - 6.3.2.2 NHRI being Established: No Accreditation Status
- 6.3.2.3 “A-status” NHRI in Place
- 6.3.2.4 NHRI in Place, but not Accorded A-Status, or has been Down-graded
- 6.3.2.5 In All Circumstances
- 6.4 UN Development Assistance Framework
- 6.4.1 NHRIs and the UNDAF
- 6.4.2 Targeting NHRIs in the UNDAF
- 6.4.3 Delivering as One: Strategies for Unified UN Support
- 6.5 Country Programme
- 6.6 UNCTs, NHRIs and Country Programme Development
- 6.6.1 NHRI Participation
- 6.6.2 Targeting NHRI in the Country Programme
- 6.7 Project Documents
- 6.8 Project Funding Mechanisms and Donor Coordination
- 6.8.1 Entirely UN-funded
- 6.8.2 Support Coordinated through the UN
- 6.9 Special Advisers to the NHRI
- Key Messages
- Tools in this Chapter
- Objective and
Executive Summary - Introduction
- 7.1 Assess the Country Situation
- 7.2 Supporting the Development of National Consensus
- 7.2.1 The Importance of Stakeholder Engagement
- 7.2.2 Gathering Support
- 7.3 Supporting a Country Request for Assistance
- 7.3.1 The Letter of Request: Supporting the UN Resident Coordinator
- 7.3.2 Making it Happen: Next Steps
- 7.3.2.1 Fostering National Dialogue
- 7.3.2.2 Coordinating International Assistance
- 7.3.2.3 Inception Missions
- 7.3.3 Focal Points in Government and in the UN
- 7.4 What kind of NHRI?
- 7.5 Developing the Legal Framework
- 7.5.1 Scope of Mandate
- 7.5.2 “Established by Law”
- 7.5.3 Funding
- 7.5.4 Coordinating Donor Support
- 7.5.5 Providing Budget Support for Core Costs and Wages
- 7.6 Building in Capacity from the Start
- 7.6.1 Public Legitimacy
- 7.6.2 Accessibility
- 7.6.3 Functional Organisational Structures and Culture
- 7.6.4 Capacity to Undertake Promotional Work
- 7.6.5 Capacity in Investigations
- 7.6.6 Capacity to Review Legislation
- 7.6.7 Capacity of NHRIs as National Preventative Mechanisms
- 7.6.8 Capacity to Obtain Information and Documents
- 7.6.9 Capacity to Undertake Monitoring
- 7.6.10 Capacity to Provide Advice to State Institutions
- 7.6.11 Human Rights and Business
- 7.7 Pitfalls and Strategies to Avoid Them
- 7.7.1 Managing Expectations
- 7.7.2 Getting Ahead of the Legislators
- 7.7.3 Operational Constraints
- 7.7.4 Developing Programming for Institutions Before they are Established
- 7.7.5 Capacity Gaps in Financial Management
- 7.7.6 Difficulties in Hiring Qualified Staff
- 7.7.7 Insufficient Capacity to Manage Core Protection Issues
- 7.7.8 Balanced Support for Hybrid Institutions
- Conclusion
- Key Messages
- Tools in this Chapter
- Selected References
- Objective and
Executive Summary - Introduction
- 8.1 Key Infrastructure
- 8.1.1 Premises
- 8.1.2 Transportation
- 8.1.3 Telecommunications
- 8.1.4 Information Technology
- 8.1.5 Other Requirements
- 8.2 Organizational Development
- 8.2.1 Leadership
- 8.2.1.1 Appointments
- 8.2.1.2 Leadership Development
- 8.2.1.3 Role Definition
- 8.2.1.4 Vision and Leadership
- 8.2.2 Strategic Planning
- 8.2.3 Organizational Structure
- 8.2.4 Human Resources
- 8.2.4.1 Hiring and Promotion Policies
- 8.2.4.2 Gender Equity and Hiring
- 8.2.4.3 Terms and Conditions of Employment
- 8.2.4.4 Training and Professional Development
- 8.2.4.5 Performance Evaluations
- 8.3 Knowledge Management
- 8.3.1 Information Systems
- 8.3.2 Management Information
- 8.3.3 Research
- 8.3.4 Evaluation
- 8.4 Funding and Financial Capacity
- 8.5 Human Rights Capacity
- 8.5.1 Overview
- 8.5.2 Core Protection Issues
- 8.5.3 Women’s Equality
- 8.5.4 IDPs, Refugees and Stateless Persons
- 8.5.5 Persons with Disabilities
- 8.5.6 Human Rights-Based Approach to Development
- 8.5.7 Transitional Justice
- 8.5.8 Human Rights and Business
- 8.6 Functional Areas of Capacity
- 8.6.1 Protection
- 8.6.1.1 Protecting Witnesses and Human Rights Defenders
- 8.6.1.2 Investigations and Complaints Handling
- 8.6.1.3 Effective Case Flow Design
- 8.6.1.4 Intake and Triage
- 8.6.1.5 Systemic Cases
- 8.6.1.6 Work Tools for Case Management
- 8.6.1.7 Enforcement and Remedies
- 8.6.1.8 Alternative Dispute Resolution
- 8.6.1.9 Monitoring and Reporting on Human Rights Situations
- 8.6.2 Promotion
- 8.6.3 Interaction with the International Human Rights System
- 8.6.3.1 Capacity Development to Engage with Treaty Bodies
- 8.6.3.2 Capacity Development in Special Procedures
- 8.6.4 Advice to Government and Parliament
- 8.6.5 Stakeholder Engagement
- Key Messages
- Tools in this Chapter
- Objective and
Executive Summary - Introduction
- 9.1 Key Infrastructure
- 9.1.1 Premises
- 9.1.2 Transportation
- 9.1.3 Telecommunications
- 9.1.4 Information Technology
- 9.2 Organizational Development
- 9.2.1 Leadership
- 9.2.1.1 Leadership Development
- 9.2.1.2 Role Definition
- 9.2.1.3 Vision and Leadership
- 9.2.2 Strategic Planning
- 9.2.3 Organizational Structure
- 9.2.4 Human Resources
- 9.2.4.1 Attracting and Hiring Qualified Staff
- 9.2.4.2 Training
- 9.2.4.3 Performance Evaluation as an Assessment Tool
- 9.3 Knowledge Management
- 9.3.1 Case Management
- 9.3.2 Research Programmes
- 9.3.3 Evaluation
- 9.4 Funding
- 9.5 Human Rights Capacity
- 9.5.1 Core Protection Issues
- 9.5.2 Women’s Equality
- 9.5.3 IDP’s Refugees and Stateless Persons
- 9.5.4 Persons with Disabilities
- 9.5.5 Transitional Justice
- 9.5.6 Human Rights and Business
- 9.6 Functional Areas of Capacity
- 9.6.1 Protection
- 9.6.1.1 Investigations and Complaints Handling
- 9.6.1.2 Effective Case Flow Design
- 9.6.1.3 Intake and Triage
- 9.6.1.4 Handling Systemic Cases
- 9.6.1.5 Alternate Dispute Resolution
- 9.6.1.6 Monitoring and Reporting on Human Rights Situations
- 9.6.2 Promotion
- 9.6.3 Supporting the International Human Rights System
- 9.6.3.1 Capacity Assessment: Engagement with Treaty Bodies
- 9.6.3.2 Capacity Assessment: Special Procedures of the Human Rights Council
- 9.6.4 Stakeholder Engagement
- 9.6.5 Cooperation with other Human Rights Institutions
- 9.7 Advice to Government
- 9.7.1 Strengthening Capacity to Review Legislation
- Key Messages
- Tools in this Chapter
- Objective and
Executive Summary - 10.1 The Paris Principles
- 10.1.1 A Brief History
- 10.1.2 Key Features
- Principle 1: A Broad Mandate
- Principle 2: Autonomy
- Principle 3: Independence
- 10.1.3 Guaranteed by a Constitution or Legislation
- 10.1.4 Independence in Operation and in Funding
- 10.1.5 Independence through Appointment and Dismissal
- 10.1.6 Independence through Privileges and Immunities
- Principle 4: Pluralism
- Principle 5: Adequate Resources
- Principle 6: Adequate Powers of Investigation
- 10.2 Measuring Compliance: The Accreditation Process and UNCTs
- 10.2.1 What is Accreditation?
- 10.2.2 Why is Accreditation Important?
- 10.2.3 Who Confers Accreditation?
- 10.2.4 How are Accreditations Decisions Taken?
- 10.2.5 When are Decisions on Accreditation Taken?
- 10.2.6 Early Warning
- 10.3 Non-Compliant NHRIs
- 10.3.1 Risk Management:
Working with Non-compliant or Downgraded NHRI - 10.3.2 Support Strategies to Improve Upgrade Status
- Key Messages
- Tools in this Chapter
Effective national systems which protect and promote good governance, the rule of law, and the realization of human rights are important for sustainable human development. Among the components of such systems are governments which accept primary responsibility for the promotion and protection of human rights and the functioning of independent National Human Rights Institutions (NHRIs) which conform with the Paris Principles
The UN is currently providing NHRIs in more than sixty countries with technical assistance. This is a strategic priority for us. NHRIs can help ensure that national development, poverty reduction, and MDG policies and strategies are not only grounded within human rights, but also are implemented according to human rights' standards and principles. NHRIs are also the best mechanism at the country level to ensure adherence to international human rights' commitments states make, including to those from the UN Treaty Bodies, special procedure mandate holders, and the UN Human Rights Council. NHRIs have a crucial role to play in advocating for those responsibilities to be translated into law and practice.
UNDP and OHCHR have developed this practical guide for UN staff on how best to support NHRIs with policy advice, technical assistance, and capacity development support from the pre-establishment phase. It includes information on country planning processes and capacity assessments, identifies challenges and opportunities NHRIs may encounter, and suggests how to deal with situations which threaten to undermine their effectiveness.
This toolkit is the result of a two year long process of research and consultation which has benefited from review and validation by NHRIs, UNDP and OHCHR staff, and numerous NHRI practitioners. A Core Support Group composed of the National Human Rights Commissions of India, South Africa, and Uganda, as well as the Danish Institute for Human Rights (DIHR), oversaw the drafting process. The result is a practical and informative guide tailored to meet the needs of UN staff.
The NHRIs recognized the initiative in the 2008 Nairobi Declaration, adopted during the 9th International Conference of National Institutions for the Promotion and Protection of Human Rights in Nairobi, Kenya.
The UN Secretary General, in his 2009 General Assembly Report on national institutions for the promotion and protection of human rights, welcomed the development of the Toolkit as way to foster “strong partnerships system-wide to build on the capacities and expertise of United Nations entities” in supporting NHRIs.
The toolkit is now in your hands. We hope it will provide practical guidance in the process of developing NHRIs and strengthening those existing already, in line with the relevant international standards. We are convinced that the more the UN system works with and through NHRIs, the greater the degree of national ownership of human rights, and the more effective and sustainable good governance, rule of law, and human rights programmes become.
Helen Clark | Navanethem Pillay | |
UNDP Administrator | High Commissioner for Human Rights |
Introducing National Human
Rights Institutions
Models of NHRIs
Roles and Responsabilities of
NHRIs
The Rule of Law and the NHRI
NHRIs, Development and
Democratic Governance
NHRIs and the UN Country
Planning Cycle
Pre-establishment Phase of NHRIs
Establishing NHRIs
Consolidation Phase:
Strengthening the Mature NHRI
Paris Principles and Accreditation
- Briefing Note for Resident Coordinators on NHRIs
- UNCT Strategies to Encourage and Promote Dialogue and National Consensus
- Guidance Notes to UNCT
- Situating NHRIs in the UN Country Planning Process
- The Role of UN Agencies and UN Country Teams in Supporting National Human Rights Institutions
- Creating an Enabling Environment for UNCT: Human Rights, Development and Democratic Governance
- Sample Project Activity Framework to Establish a NHRI
- Steps for Establishing a Paris Principles-Compliant NHRI
- Briefing Note for a Capacity Assessment of a NHRI
- Guidance to UNCTs: Early Warning
- Guidance Note to UNCTS: The Accreditation Process
Assessment for NHRIs
- Strengthening the Rule of Law
- NHRIs and Torture Prevention
- NHRIs and Detention Monitoring
- Premises Checklist
- Transportation Checklist
- Telecommunications Assessment Checklist
- IT Checklist
- Indicative Advanced Training Menu
- Intake Checklist
- ADR Assessment Checklist
- Is the Information System Supporting Case Management?
- Women’s Equality
- IDP’s, Refugees and Stateless Persons
- Disability and NHRIs
- NHRIs and Transitional Justice
- NHRIs and Treaty Bodies
- Special Procedures of the Human Rights Council
- Autonomy and Independence
- Broad Mandate and Responsibilities
- Financial Autonomy
- Pluralism
- Investigation
and Scenarios
- Examples:
- Regional Coordination and the Asia Pacific Forum of National Human Rights Institutions (APF) Trafficking Focal Point Network
- Monitoring by the South African Human Rights Commission (SAHRC)
- NHRI Role in Transitional Justice in Rwanda
- Justiciable ESC Issues
- Cross-cutting Integration of Human Rights into Thematic Areas
- Country Office Perspective on NHRIs and Human Development
- Decentralisation in Zambia
- Funding the Commission on Human Rights (Mexico) CEDAW
- Substantive Content of Economic, Social and Cultural Rights Obligations
- UNDAF Outcomes that reflect Human Rights-based Approach Principles
- Audit Findings of the UNDAF for Uganda
- Devolving CPs from UNDAF Outcomes (Georgia and Lesotho)
- Special Technical Adviser to the Afghan Independent Human Rights Commission
- NHRIs Established through Internationally-Driven Efforts
- Nominations Process that Involves a National Parliament: Timor Leste
- The Importance of Community Support: Nepal
- Developing the Program of Action Without Adequate Ownership by NHRI: Afghanistan
- Ensuring Balanced Donor Support for a Hybrid NHRI
- Focal Points for Fighting Trafficking
- Premises for the Uganda HRC
- Specialized Units Afghan Independent Human Rights Commission
- Country Experiences of Monitoring (Guatemala & South Africa)
- Strategies to Ensuring Nation-wide Access. Bolivia and Namibia
- ICC Comment on Interference by government
- Dismissal
- Processes for Dismissal
- Increased vulnerability for groups in South Africa
- Scenarios:
- Is the NHRI Focusing on Core Protection Issues?
- Engaging Stakeholders in the Pre-Establishment Phase
- Are Special Measures Needed?
- Getting Started with a New NHRI
- A Technical Assistance Project for Strategic Planning
- Bridge-building with Civil Society
- Difficulties in Obtaining Draft Laws
- Inappropriate Use of Vehicles in a UN Funded Project
- A Faltering Intake System
- Ineffective Data Management
- Is the NHRIs Structure Working?
- Case Studies:
- The Grootboom Decision
- The UNDP, Human Rights and the Commission on Human Rights in the Philippines (CHR)
- Gender Analysis of a Budget
- Kenya National Commission on Human Rights
- Kenya National Commission of Human Rights (KNCHR)
- Malaysia and SUHAKAM: UNCT Engagement
- When a National Government Requests UN Support
- Working towards Gender Equality in NHRIs
- Stakeholder Consultations Assist in Assessing Legislative Provisions in Uganda
for UNCTs Supporting NHRIs
- Checklist of Steps in the Pre-Establishment Phase
- Overview of NHRI Legislative Features
- Who are Stakeholders?
- Guidelines for Developing a Strategic Planning Process
- Sample Terms of Reference for Strategic Planning Expert
- Steps in Strategic Planning
- Criteria for Job Descriptions
- Guidelines for General NHRI Training on Human Rights Protection and Promotion
- Types of Case Management Reports
- Case Management Policies and Procedures
- Sample Briefing Note for a Capacity Assessment of a NHRI
- Capacity Development Process
- NHRIs and Ensuring Women’s Equality
- NHRIs and IDP’s Refugees and Stateless Persons
- Disability and NHRIs
- NHRIs and Transitional Justice: Establishing Capacity
- NHRIs and Treaty Bodies
- Special Procedures of the Human Rights Council
- NHRIs and the Human Rights Council
- Sample Key Elements of an Organizational Structure
- Consultation with UNDP and OHCHR
- Simple Steps to Control Case Load
- Indicators for a Human Resources System
- Investigations: Hallmarks of a Troubled System
- Guidelines for NHRIs Seeking to Engage in the Legislative Review Process
- NHRIs and Core Protection Activities
- NHRIs and Protecting Human Rights Defenders
- NHRIs Detention Monitoring
- Independence, Terms of Office and Dismissal
- NHRI Independence
- NHRI Independence through Appointments
- NHRIs and the Business Sector
- Core Protection Issues and Potential Activities for NHRI Involvement
- ADR
- Quick Facts