Chapter 1
Introducing National Human
Rights Institutions

Chapter 2
Models of NHRIs

Chapter 3
Roles and Responsabilities of
NHRIs

Chapter 4
The Rule of Law and the NHRI

Chapter 5
NHRIs, Development and
Democratic Governance

Chapter 6
Situating NHRI Support in the UN Planning & Programming Process

Chapter 7
Pre-establishment Phase of NHRIs

Chapter 8
Establishing NHRIs

Chapter 9
Consolidation Phase:
Strengthening the Mature NHRI

Chapter 10
Paris Principles and Accreditation

Sample project activity framework to establish a NHRI


Annex 2: Sample project activity framework to establish a NHRI


Overview and guide to reading this document

This document offers a sample detailed narrative of proposed project activities in the context of a Project Document (PRODOC) for an NHRI to be established. It is a sample only and is intended to give an idea of how projects have been structured, but it is not determinative of any project, nor is it directive.

It covers the following sample areas that are linked to the Toolkit areas of focus:

  • Pre-establishment (infrastructure, hiring the project team, naming of members and passing of enabling law)
  • Establishment
  • Appointment of members
  • Human Resources
  • Development of basic management policies
  • Development of knowledge management capacity
  • Investigations and Monitoring
  • Public education, Outreach
  • Engaging stakeholders

This Annex does not purport to cover all the basic areas, but does offer enough detail to show how strategic objectives are linked to activities, outputs and allocations of high-level responsibility across a few sample areas.

It will generally contain an indicative budget as a separate document, and a consultation document (for prospective partners). Details of the management arrangements are generally provided in the PRODOC.

Assigned responsibilities: The Project Activity Framework (PAF) designates activities for project staff, as a rule, and does not repeat the responsibilities that NHRI members are given by law, unless applicable legislation assigns particular responsibilities that should be emphasized.

The UNDP, in close consultation with OHCHR, will usually provide overall management for the project and project funding, inter alia by ensuring that monies are dispersed in accordance with the PAF. Because the UNDP will usually provide overall management for the project and project funding under the PRODOC, it is assumed that UNDP will be a partner across all activities. To avoid repetition, the UNDP does not appear in each category except in the start-up phase when a Project Manager or National Project Manager (designated as a National Programme manager here) or equivalent position is not yet hired. Other agencies may be involved as well, and consultation should take place with in-country security officials as a matter of course in countries where the security phase would so indicate.

OHCHR (NIRM Section) and relevant UNDP staff (HQ and regional) should be consulted jointly with regard to hiring international experts as well as on the delivery of activities that require a substantive knowledge of the operations of an NHRI, and with related activities requiring training. They should agree on Terms of Reference established for international experts, the work plans developed to guide their activity, and be involved in all aspects of their selection: reviewing applications for the positions, short-listing and selection. Again, this is a general principle applying to the entire PAF in appropriate categories and will not be repeated in each applicable activity.

Timelines in PAFs are indicative only.

Next steps: PAFs should be revised as necessary following the development of a comprehensive strategic plan, and resultant action plans, by the NHRI. The revised PAF will be incorporated into the PRODOC.

Project Activity Framework

PHASE I: Setting the situation for the successful establishment of A NHRI

Key Result Area 1: Hire National Project Manager and undertake preparatory work

KRA 1: Intended outcomes

Output

Activities:
Key result indicator(s)

Timeframe

Resp

Assumptions/
Comments

1. NHRI s ready to operate as soon as possible after legislation is adopted.

1.1 National project manager is identified, hired

1.1.1 Publicise position of National Project Manager (NPM)

1.1.2 Contract / secondment agreement

1.1.3 Fill position

1st Q

UNDP/ OHCHR

NPM in place for full length of project + two months to wrap up

1.2 Office equipment

1.2.1 IT hardware, peripherals and communications purchased or loaned

1st Q

NPM

NPM co-located with UNDP in early phase

  • Planning for security across all program phases

1.3 Security plan

1.3.1 Identify and secure appropriate expertise

1.3.2 Draft plan, ensuring flexibility depending on security situation

1.3.3 Secure approvals

1st Q

NPM

Security phase is appropriate to activity
  • Identify appropriate premises

1.4 Lay ground-
work for obtaining appropriate facilities

1.4.1 Identify appropriate facilities

1.4.2 Develop plan to upgrade, secure promises, as needed

1st -2nd Q

NPM

Lease or equivalent will be needed if land gift from government not possible

  • Financial sustainability for the project.

1.5 Govern-
ment Consul-
tations

1.5.1 Develop a consultative process to examine the commitment and capacity of the government

1st -2nd Q

PSC In consul-tation with govern-
ment

Should be accompanied by broader stakeholder consultations on readiness for NHRI

  • Basic operational functionality

1.6 Process for procuring vehicles, core furnishings and equipment

1.6.1 Needs assessments

1.6.2 Procurement / tenders developed

1st Q

NPM
  • PRODOC modified following consultations and security policy review

1.7 Revised PRODOC and budget

1.7.1 Undertake consultations on the proposal and prepare revised PRODOC, PAF and budget as necessary

1.7.2 Modify PRODOC/ PAF and budget as required

1st Q

NPM

Responsibility to be assumed by NPD once in place

Key Result Area 2: Physical infrastructure and key operational requirements1

KRA 2: Intended outcomes

Output

Activities:
Key result indicator(s)

Timeframe

Resp

Assumptions/
Comments

2. Basic physical infrastructure secured and ongoing operations supported

2.1 Premises obtained

2.1.1 Develop design / budget, minimum specs, select premises

2.1.2 Negotiate lease agreement

2nd Q

NPM

Government is unable to provide freehold or equivalent land/building

2.2 Office space is upgraded to meet security needs

2.2.1 General building equipment and repair

2.2.2 Retrofit for security

2nd Q

NPM

Coordinate with UN security as appropriate

2.3 Vehicle procurement

2.3.1 Needs assessment

2.3.2 Procure / purchase armoured vehicles/ other vehicles

2.3.3 Secure vehicle fuel, maintenance

2nd Q

NPM/UNDP

2.4 IT, communi-
cation equipment and misc. office equipment

2.4.1 Procure / purchase e.g.,

- Office furniture

- Purchase office supplies

- Desktops and Laptops

- Telephones, mobile phones and radio phones

- Base phone

2nd Q

NPM

Premises are obtained and secured

2.5 Recurring operating expenses and misc. supplies are supported

2.5.1 Arrangements are made for utilities, fuel & maintenance, building & equipment repair

2.5.2 Purchase miscellaneous equipment (copiers, fax)

2nd Q

NPM

1 These activities only undertaken once enabling legislation is in place.


Key Result Area 3: Human Resources

KRA 3 Intended outcomes

Output

Activities:
Key result indicator(s)

Timeframe

Resp

Assumptions/
Comments

3. Human resources start up activities undertaken

3.1 NHRI selected and receive orientation and leadership training

3.1.1 Publicise positions

3.1.2 Set salary scales for chair/ Members

1st Q

NPM

Govern-
ment

Law usually provides rank of members in relation public salary scales

3.1.3 Members appointed

Govern-
ment

Appointments satisfy PP

3.1.4 Members receive orientation and basic leadership training

2nd Q

NPM/
OHCHR

Orientation may be conducted by UN staff / leadership training by UN or experts

3.2 Preliminary organiza-
tional structure designed

3.2.1 Organizational structure, including staff and reporting lines

2nd Q

NPD2

  • Senior staff, support and security personnel are in place to support project.

3.3 Key NHRI Staff are hired

3.3.1 NHRI approves job descriptions and selection process for staff

3.3.2 Publicise Job Openings

3.3.3 Hire

- Senior officer (NPD)

- Professional staff

- Support staff

- Security personnel

3.3.4 Provide orientation

2nd & 3rd Q

NPD3

UN and IDA to provide orienta-
tion

NHRI staff should not be considered gov’t. employees, but salaries should be in upper end of public sector salary scale, to be competitive, encourage sustainability after the project, and attract and retain good people

  • Entire project team is in place

3.4 Remaining project team members are hired; NPM transfers to NHRI

3.4.1 Publicise Job Openings

3.4.2 Hire staff

3.4.3 Provide basic orientation

1st & 2nd Q

NPM
  • Provide for UN management arrangement for hiring Project staff: minimum 2 years
  • Project staff are located with the NHRI at this stage
  • NPM, UN staff to provide orientation
  • Basic and preliminary administrative policies established

3.5. Manage-
ment, admini-
strative, personnel and financial policies and procedures

3.5.1 NHRI develops a comprehensive preliminary list of work required for Phase I.

3.5.2 Draft policies including human resources manual

2nd & 3rd Q

NPD

Applies to those policies deemed immediately necessary for start-up operations

  • Performance targets are established for the NHRI

3.6 Results-based qualitative and quantitative targets

3.6.1 Retain experts, if required

3.6.2 Develop a comprehensive list of work required

2nd & 3rd Q

NPD

Preliminary targets and will have to validated by the NHRI in Phase II

2 Executive Director would normally lead the hiring of more junior staff as a delegate of the Members.

3 Executive Director would normally lead the hiring of more junior staff as a delegate of the Members.


PHASE II: Capacity Development for Start-up Phase

Key Result Area 1: Staff Training (knowledge and skills)

KRA 1: Intended outcomes

Output

Activities:
Key result indicator(s)

Timeframe

Resp

Assumptions/
Comments

1. Staff and selected key partners have the core knowledge and skills

1.1 Training needs assess-
ment

1.1.1 Retain expert/consultant(s) to undertake the assessment (International Development Advisor)

1.1.2 Consultation with NHRI, staff, project staff

1.1.3 Draft training needs assessment and program outline

1.1.4 NHRI approves report and proposed core training programme

3rd Q

NPD IDA

Contingency for offsite training in all categories below, if required

UN expert from OHCHR UNDP or other UN agency, if possible

1.2 Curricu-
lum for each training session

1.2.1 Develop curriculum and related materials

3rd Q

IDA

UN expert from OHCHR, UNDP or other UN agency, if possible
  • Staff trained on legal and institutional issues respecting NHRIs.

1.3 Core Training on NHRI

1.3.1 Experts provide training on Role of NHRI; “Principles of Human Rights” and major International Human Rights Treaties

3rd Q

NPD* IDA

UN expert, if possible. Facilita-
tion for course of one week

* NPD is usually responsible for training (incl. arranging logistics), while the IDA will have responsibility to support the development of content and evaluations. This formula will often be seen to apply throughout the PAF
  • Staff and members trained in operational areas that are core to an NHRI

1.4 Core training is provided in key opera-
tional areas

Retain experts to deliver training:

1.4.1 Conducting investigations

1.4.2 ADR (mediation and conciliation)

1.4.3 Complaints processing

1.4.4 Human rights monitoring and reporting

1.4.5 Human rights education and advocacy

1.4.6 Transitional Justice (of applicable)

1.4.7 Promotion and communications

3rd- 4th Q

NPD* IDA

Courses by UN personnel; outside experts;

  • course design and delivery & training manual should be included
  • Project staff have adequate knowledge of UN processes and rules

1.5 Project staff training.

1.5.1 Targeted training needs assessment report based on UN and donor requirements relating to project management, financial control, financial and other reporting

1.5.2 Project partners develop curriculum/ training materials

1.5.3 Project partners identify or retain expert/consultant(s) to undertake the training

1.5.4 UN staff provide training

3rd- 4th Q

NPD* IDA
  • This training should be organized and conducted entirely through UN.
  • Capacity-building: Ongoing learning is generated from the training activities

1.6 Summa-
tive evalua-
tions of each training

1.6.1 Evaluations undertaken for all training undertaken

1.6.2 Analysis of results

4th Q

NPD IDA
  • Evaluation forms should be prepared by IDA, working with experts. Should evaluate integration of learning into daily work

1.7 Training manual

1.7.1 NHRI and experts develop training modules for future use

1.7.2 NHRI and experts identify and train in-house trainers

4th Q

NPD IDA

Key Result Area 2: Ensure that administrative policies are in place and staff is trained

KRA 2: Intended outcomes

Output

Activities:
Key result indicator(s)

Timeframe

Resp   

Assumptions/
Comments

2. Ensure administrative policies are in place and staff is trained on them

  • NHRI has in-house capacity to orient new staff and provide future training.

2.1 Compre- hensive list of core administrative policy needs4

2.1.1 Develop TORs, contract;

2.1.2 With the support of experts, and in consultation with staff, develop a comprehensive list of work required.

3rd Q

NPD

UNDP and OHCHR can provide support re experts

2.2 Policies developed and staff trained

2.2.1 Develop TORs, contract, as required

2.2.2 With the assistance of experts, as required, and core staff, NHRI drafts core materials

2.2.3 Material presented to staff, staff trained

2.2.4 NHRI evaluates training, develops modules and trains trainers for future training

3rd Q

NPD IDA

4 E.g., financial management and control (incl. inventory control); purchasing; internal communications and correspondence; vehicle management; human resources planning and management; security policies, including internal travel authorisations, requisites; ICT planning and acquisition.


Key Result Area 3: Ensure that core operational policies are in place and staff is trained

KRA 3: Intended outcomes

Output    

Activities:
Key result indicator(s)

Timeframe

Resp      

Assumptions/  
Comments

3. Core operational policies, procedures and work tools are in place to support the NHRI’s work and ensure acceptable and consistent performance

3.1 Operational policies, procedures and work tools for all core activities5

3.1.1 With the support of experts, and in consultation with staff, NHRI develops a comprehensive list of work required

3.1.2 NHRI develops a schedule for developing policies based on 3.1.1.

3rd Q

NPM IDA

3.2 Policies developed; including results-based targets, and staff are trained

3.2.1 With the assistance of experts as required draft policies

3.2.2 Integrate results-based targets set in Phase I into material

3.2.3 Train staff on policies

3.2.4 NHRI evaluates training, developed modules and trains trainers for future training

3rd Q

NPM IDA

(E.g. number of prisons to be visited per year)

3.3 Develop material, with expert assistance as necessary, and train staff

3.3.1 Draft materials

3.3.2 Recruit experts as required

3.3.3 Conduct training

2nd Q

IDA

3.4 Summative evaluations of all training

3.4.1 Conduct a summative evaluation of all training

3.4.2 Analyze results and use outcomes to inform development of subsequent training

Dec 07

IDA

Evaluation forms should be prepared by IDA, working with experts

5 Human rights complaints management (including intake and triage procedures, complaints forms, reporting forms); investigations (including forms, approvals, models and best practices); mediation and conciliation, (including triage, best practices and model agreements); monitoring and reporting standards, and procedures on general and specific human rights issues.

Key Result Area 4: Undertake major planning and adjust project document activities as necessary

KRA 4: Intended outcomes

Output

Activities:
Key result indicator(s)

Time-
frame

Resp

Assumptions/
Comments

4. Establishing the NHRI’s national work strategy to support, develop, protect and ensure respect of human rights

4.1 Strategic plan, with supporting communi-
cation plan

4.1.1 Develop TORs, contract; retain international, national experts

4.1.2 Develop strategic plan, working closely with project team:

- Develop work plan

- Interview commis-
sioners and senior staff

- Conduct
workshops/ consultations with key stakeholders to obtain input

- Draft strategic plan

- “Test” draft with staff and commis-
sioners, as well as external stakeholders; adjust as necessary

- Draft Final Strategic Plan

4.1.3 NHRI accepts/ approves plan and develops and implements a communi-
cations plan to support it

3rd Q

NPD IDA

High level plan to identify key strategic directions

Experts can be rained with support of UNDP and OHCHR
  • Operational planning to implement strategic directions

4.2 Annual action plans

4.2.1 National experts facilitate the development of annual action plans based on strategic plan, working closely with staff: They:

- Develop work plans - Conduct workshops with commis-
sioners and senior staff

- Consult with broad base of stakeholders

- Support commis-
sioners and division heads in plan development

- Develop drafts of plans at departmental levels

- “Test” draft plans with staff and commissioners as well as key stakeholders, and adjust as necessary

- Prepare budget allocations

4.2.2 Draft final plan and budgets

4.2.3 NHRI accepts/ approves plans and develops and implements a supporting communications plan.

4.2.4 Project staff prepare Annual Project report

3rd Q

4th Q

NPD IDA

This activity should be undertaken by national staff and/or experts
  • Following the strategic planning, the NHRI should also develop plans that cut across departmental lines for specific functions (ICT, education and outreach, communica-
    tions, etc.)

4.3
Specia-
lized functional plans for areas that cut across depart-
mental lines6

4.3.1 For each plan, as appropriate, project partners engage international and national experts.

4.3.2 Experts:

- Develop work plans for each area

- Coordinate plans to ensure that each component is coordinated with ongoing operations wand with other planning elements.

- Draft plans

4.3.3 NHRI accepts/ approves plan and develops a communica-
tions / dissemination strategy internally and externally

3rd Q

NPD

National project team members (ICT expert, communica-
tions expert and promotions) to support the development of specialized plans in their respective areas
  • Ensure that the project activity framework is adjusted to reflect the planning process

4.4 Revised PRODOC, PAF, and budgets as necessary

4.4.1 Adjust project documents based on results of strategic planning exercise

4.4.2 PSC reviews and approves

4th Q

NPD

This activity allows the project to link the strategic planning exercise with the project planning

4.5 Internal capacity re planning

4.5.1 Identify and retain expert

4.5.2 Expert trains staff and members strategic planning

4.5.3 Train staff in planning function, and situate planning function within the NHRI

3rd Q

IDA/ NPM

6 ICT, training learning planning, knowledge management, human resources, evaluation, media and communications, outreach, and security plans.

Key result area 5: Conduct preliminary education and outreach programme

KRA 5: Intended outcomes

Output

Activities:
Key result indicator(s)

Timeframe

Resp

Assumptions/
Comments

KRA 5: Targeted, preliminary education and outreach initiatives to spread human rights culture

5.1 Communi-
cations strategy to support education and outreach planning

5.1.1 Draft communica-
tions strategy to support education and outreach initiatives

5.1.2 Plan for translation of material, as appropriate, in minority languages, in accordance with national policy

5.1.3 Logistics and security planning

5.1.4 Liaison with national, local electronic and print media for articles, inserts, etc.

3rd Q

NPD
  • Should follow the strategic planning process almost immediately.
  • Supported by national project expert(s)
  • Materials and equipment to support the rollout of the preliminary education and outreach planning are in place by the end of Phase II

5.2 ICT equipment and materials for public education

5.2.1 Identify needs arising from education and outreach plan and media strategy

5.2.2 Procure, purchase equipment and materials

4th Q

NPD
  • Supported by national project expert(s)
  • A series of visits across the country, with supporting advance media, to introduce the NHRI (subject to security considera-
    tions, this activity may be deferred to future years)

5.3 ‘Town hall’ meeting programme to introduce human rights and the NHRI to the general public

5.3.1 Develop pilot program as part of outreach and promotion strategy

5.3.2 NHRI identifies speakers, leaders

5.3.3 NHRI advertises event, using media

5.3.4 NHRI holds meeting(s)

5.3.5 NHRI adapts programme based on experience from pilot

4th Q

NPD

This activity in particular has security implications and should be contingent on the prevailing country situation

National project communications expert to support this activity
  • A series of visits across the country, to introduce the NHRI)

5.4 Visits programme to introduce human rights and the NHRI to local officials

5.4.1 NHRI develops pilot program as part of outreach and promotion strategy

5.4.2 NHRI identifies speakers, leaders

5.4.3 NHRI advertises event(s), using media

5.4.4 NHRI holds meeting(s)

5.4.5 NHRI adapts programme based on experience from pilot

3rd Q

4th Q

NPD

As above.
  • Early relationships are established with civil society. Mechanism is created to receive ongoing feedback from NGOs.

5.5 Coordination committees with civil society organiza-
tions with human rights responsi-
bilities

5.5.1 NHRI identifies human rights NGOs, other civil society organizations

5.5.2 NHRI sets up co-ordinating committee or network

3rd Q

NPD

Com-
muni-
cations expert (project)

IDA re external collabo-
ration

Security considerations, including those of civil society representatives should be considered throughout this activity

  • NHRI becomes part of the regional and international community of human rights institutions.

5.6 Membership in regional/ interna-
tional NHRI organiza-
tions

5.6.1 NHRI joins appropriate NHRI networks

5.6.2 NHRI attends meetings

4th Q (and ongoing)

NPD

IDA re external collabo-
ration

Should be coordinated through OHCHR
  • Establish web site that is timely, accessible and searchable as a source of information about human rights and the NHRI’s activities.

5.7 Web site develop-
ment

5.7.1 Identify desired functiona-
lities

5.7.2 Ensure consistency with ICT and Knowledge plan

5.7.3 Retain web site expert for design and develop-
ment of web site

5.7.4 Expert drafts strategy and seeks approval

4th Q

NPD

National project ICT expert

Accessibility: Web site should comply with W3Cs Web Accessibility Initiative

Search engine: Site should be searchable and research documents located in a database

Key Result Area 6: Knowledge Management7

KRA 6: Intended outcomes

Output

Activities:
Key result indicator(s)

Timeframe

Resp

Assumptions/
Comments

6. NHRI has clear objectives in terms of the types of information it wishes to capture, evaluate and report on, and systems to facilitate this.

6.1 Knowledge manage-
ment framework, supported by ICT plan

6.1.1 Write contracts, TORs

6.1.2 Retain expert

6.1.3 Draft plan, including complaints management system, research and evaluation, internal informa-
tion system, and web strategy

6.1.4 Adjust ICT strategy as needed

6.1.5 Develop a strategy for publicising appropriate information from internal site to web site

4th Q

NPD

  • ICT project expert
  • Systems should be integrated searchable and, where possible, located on shared platforms
  • Evaluation is a tool for capacity-building, ongoing learning, organizational development, and to support evidence-based decision-making

6.2 Evaluation plan

6.2.1 NHRI reviews evaluations to date for training, workshops and other activities

6.2.2 Synthesize and analyze evaluative information and develop an evaluation plan for the NHRI going forward

6.2.3 Adjust and plan for Phase III

6.2.4 Amend strategic and other plans as required

4th Q

NPD

IDA

Ensures appropriate and timely adjustments to programmes and programme planning
  • With the assistance of an expert, plan and implement an internal information platform to ensure timely and easy storing and retrieval of important programme information.

6.3 Internal information system

6.3.1 Write contracts, TORs

6.3.2 Retain expert

6.3.3 Based on Knowledge Manage-
ment Plan, implement/ design an appropriate informa-
tion system

4th Q

NPD

ICT Expert

7 The term “knowledge management” is used in management literature and practice as the systematic and integrated activity of managing evaluation, information, research, data and other forms of knowledge as part of ongoing learning and capacity building.