Checklist Compilation for Assessing Compliance with the Paris Principles

Annex 1: Checklist Compilation for Assessing Compliance with the Paris Principles

The following checklist – a compilation of the checklists set out in this Chapter for assessing conformity with individual Principles contained in the Paris Principles – is included here; since having the all the information in one document may prove useful. The Checklist compilation identifies the Principles that are enunciated in the Paris Principles and the minimum requirements that must be met to satisfy those Principles. Where the Principle or requirement, or any part thereof, is not directly citable in the text of the Paris Principles, they are set out in italics.

It is impossible to signify by a simple 'yes' or 'no' response to whether certain Principles are being met, for example, the Principle requiring institutions to have "a broad mandate". The Checklist attempts to develop a hierarchy of possibilities in such cases so that an assessment can be made of the degree that an institution meets the standard.

This Checklist is not a definitive method for assessing the capacity or strength of an institution. That would require a more focused examination both on what the institution has done with the mandate it has and how stakeholders perceive it. In particular, an examination of an institution's responsibilities should not end with whether it can carry out a given function. It is much more important that the capacity to do something is actually carrying out the work in a way that demonstrates the institution's fundamental independence and professional competence. In this context, the Checklist identifies certain areas of activity that may be considered central to NHRI responsibilities. This is meant merely to provide a better assessment of how well the institution is doing in meeting its responsibilities.

PRINCIPLE	REQUIREMENTS	Y	N
COMPETENCE (mandate)	Mandate is set out in constitution or legislation
	Mandate gives authority to promote and protect human rights
COMPTETENCE (general jurisdiction)	Competence is defined in legislation
COMPETENCE (subject-matter jurisdiction)	Competence is as broad as possible (from most to least broad)
	Includes both CP and ESC Rights
	Includes most CP and ESC Rights
	Includes only CP Rights
	Includes a subset of CP Rights
	Includes most CP and ESC Rights
COMPETENCE (object matter jurisdiction)	Competence is as broad as possible (from most to least broad)
	Over State and Private Sector (with public function), without restriction24
	Over State, without restriction
	Partial 25 restriction with regard to sensitive State Organs26
	Total restrictions with regard to sensitive State Organs
COMPETENCE (time jurisdiction)	Competence is as broad as possible (from most to least broad)
	Can examine matter even if it predates institution
	No limits providing matter occurred since set up of institution
	Discretionary power to limit examination of ‘old’ cases
	Limits on capacity to examine matters that are ‘old’ set in law
RESPONSIBILITY (TO PROVIDE ADVICE)	Can provide advice on own initiative
	On legislative or administrative provisions
	On any violation the institution takes up
	On the national situation generally or in specific
	On situations of violations and government reactions to it
	Can provide advice directly without referral
	Can publicise the advice without referral or prior approval
RESPONSIBILITY (OTHER)	To encourage the harmonisation of national legislation and practices with international human rights instruments, as well as their effective implementation, including by
	Participating in reviews of legislation and policy at time of ratification
	Regularly reviewing and providing formal comments on draft legislation and policy
	Regularly reviewing and formally commenting on the human rights situation generally or with respect to key issues
	To encourage the ratification of international human rights instruments
	To contribute to country human rights reports (from most to least broad)
	Directly participates in drafting of complete report
	Drafts section(s) on work of institution and reviews report
	Drafts section(s) on work of institution
	Reviews report in whole or in part
	To cooperate with international and regional human rights organs and other national institutions
	To elaborate and take part in education and research programs in human rights, including by:
	Assisting in developing/reviewing curricula for schools
	Assisting in training of Prison Guards, Police, Army and Security Forces
	To sensitise people on human rights through publicity, education, information and the use of press organs, including by
	Publishing an Annual Report
	Regularly reporting on important cases through the media
	Developing basic brochures on the institution
COMPOSITION (GENERAL PLURALISM)	Member Composition demonstrates pluralism (High to Lower)
	Includes representatives of most social forces including NGOs, trade unions or professional associations
	Includes representatives of most vulnerable groups (ethnic, religious minorities, persons with disabilities, etc.)
	Single member, with representative consultative boards or committees, or similar structural mechanisms to facilitate and ensure pluralistic engagement
	Single member
	Member composition demonstrates gender balance
	Staff composition is broadly representative and gender balanced
COMPOSITION (APPOINTMENT PROCESS)	Appointment effected by official act
	Appointment is for a specific duration, (but not too short – e.g., two-years - as to potentially effect independence and effectiveness)
	Appointment may be renewable so long as pluralism is assured
	Appointment process, duration, renewability and criteria set out in legislation
	Appointment process supports pluralism and independence
	Nominations include input from civil society
	Selection process involves Parliament
	Criteria for selection includes demonstrated experience in human rights
COMPOSITION (Dismissal Process)	Conditions for which a member may be dismissed are set out in legislation
	Conditions relate to serious misconduct, inappropriate conduct, conflict of interest or incapacity only
	Decision to dismiss requires approval preferably by autonomous body such as a panel of high court judges, at a minimum by 2/3rds vote of Parliament
INPEDENCE	If Government Officials in membership, they have advisory capacity only
	Institution reports directly to Parliament
	Members have immunity for official acts
	State funding is sufficient to allow for independent staff and separate premises
	State funding is sufficient to allow for core programming27 in protection and promotion
	Funding not subject to financial control which might affect independence
	Budget drawn up by the institution
	Budget separate from any Department’s budget
	Institution has authority to defend budget requests directly before Parliament
	Budget are secure
	Not subject to arbitrary reduction in year for which it is approved
	Not subject to arbitrary reduction from one year to the next
METHODS OF OPERATION (Examination of Issues)	The institution can consider any issue within its competence on its own initiative on the proposal of its member or any petitioner
	The institution can hear any person or obtain and information or document necessary to carry out its work
	The right to hear any person and obtain any document is enforceable in law
	The right to enter any premises to further an investigation is set out in law
	Obstruction in obtaining, or denial of, access to a person, document or premises is punishable in law
	The institution has the legal authority to enter and monitor any place of detention
	The institution can enter the place of detention without notice
METHODS OF OPERATION (Meetings)	The institution can let the public know of opinions or recommendations, including through the media, without higher approval
	The institution meets regularly and in plenary
	Special meetings can be convened as necessary
	All members are officially convened for meetings
METHODS OF OPERATION (Organisational Structure)	The institution can set up working groups (which may contain non-NHRI members)
	The institution can set up regional or local offices
METHODS OF OPERATION (Consultation)	The institution consults with other bodies responsible for promoting and protecting human rights
	The institution consults with NGOs working in human rights or related fields
	The institution carries out joint programming with NGOs working in human rights or related fields especially in awareness raising and education

ADDITIONAL REFERENCES FOR NHRIS SUPPORT IN THE ESTABLISHMENT AND CONSOLIDATION PHASES

Commission on Human Rights, Oral Statements on Effective Functioning of Human Rights Mechanisms: National Institutions and Regional Arrangements, online: NHRI Forum .

Commonwealth Human Rights Initiative (CHRI), Human Rights Commissions: A Citizen’s Handbook, 2nd ed., online: CHRI .

Commonwealth Secretariat, Commonwealth Model National Plan of Action on Human Rights (London: Commonwealth Secretariat, 2007).

Commonwealth Secretariat, Comparative Study on Mandates of National Human Rights Institutions in the Commonwealth (London: Commonwealth Secretariat, 2007).

The Danish Human Rights Centre, National Human Rights Institutions Articles and Working Papers: Input to the Discussions of the Establishment and Development of the Functions of National Human Rights Institutions, online: NHRI .

Danish Institute for Human Rights, Conclusions of the International Roundtable on the Role of NHRIs and Treaty Bodies (Berlin, 2006), online: NHRI Forum .

Draft Report: National Human Rights Institutions (NHRIs) /Treaty Body Workshop (Geneva, 2007), online: .

Equitas, Equality for Women: A Handbook for NHRIs on Economic, Social and Cultural Rights, 2008, online: Equitas .

Equitas, Human Rights Education and Promotion: Building the Capacity of the National Human Rights Commission (2005), online: Equitas .

Equitas, National Human Rights Institutions at Work: Asia-Pacific Regional Workshop on Women’s Economic, Social and Cultural Rights (2006), online: Equitas .

Equitas, Protection and Promotion of Economic, Social and Cultural Rights in Nepal: Building the Capacity of the National Human Rights Commission, the Government and Civil Society (2004), online: Equitas .

Anne-Marie Garrido, The Engagement of NHRIs with the UN Human Rights Council 2006: Report to the 19th session of the ICC 22 March 2007, online: NHRI Forum .

Human Rights Documentation Center (HRDC), “Executive Summary - The Indonesian Human Rights Commission (Komnas HAM): The Formative Years,” online: HRDC .

Human Rights Documentation Center (HRDC), “Indonesia’s Tanjung Priok Inquiry: A Safe Harbour for Human Rights Abuses?,” online: HRDC .

Human Rights Documentation Center (HRDC), “Suhakam: The Malaysian Human Rights Commission Finding Its Feet,” online: HRDC .

ICC Chair Geneva Representative, Report 2008, online: NHRI Forum .

The International Coordinating Committee of National Human Rights Institutions (ICC), ICC Position Paper Volume I: National Human Rights Institutions and the UN Human Rights Council (2006), online: NHRI Forum .

The International Coordinating Committee of National Human Rights Institutions (ICC), ICC Position Paper Volume II: National Human Rights Institutions and the Special Procedures and Universal Periodic Review Mechanism (2006), online: NHRI Forum .

The International Coordinating Committee of National Human Rights Institutions (ICC), ICC Position Papers Volume III: Engagement of National Human Rights Institutions with the Universal Periodic Review Mechanism (2007), online: NHRI Forum .

 

 

 

 

 

24 "Without restriction" in this context means no restriction except as regards the courts and Parliament.

25 "Partial" in this context means either that the restriction does not apply to all sensitive State Organs or that the restriction is not absolute.

26 'Sensitive State organ" in this context means, the Army, the Police, Security Forces and the equivalent.

27 "Core programming" in this context means that the Institution has enough funds available to conduct investigations, carry out general outreach programming and publish an Annual Report.