TOOL NO 3: HRBA CAUSALITY ANALYSIS: IMMEDIATE, UNDERLYING AND ROOT CAUSES

The UN Common Learning Package on the Human Rights-Based Approach (HRBA) has developed a causality analysis process. To make a development intervention produce sustainable results, activities need to address the root causes of discrimination and inequalities. To ensure this, an analysis needs to be undertaken that maps the immediate, underlying and structural/root causes to the problem as well as the relationships between these levels.

Using this tool:

HRBA causality analysis aims at highlighting the underlying causes to non-fulfilled rights and development challenges. It analyzes not only the immediate causes for a situation but also the underlying and structural causes of social exclusion, poverty, discrimination or any other condition related to non-fulfillment of human rights. This tool can be useful for determining root causes of the marginalisation of minority groups. The findings can feed into the CCA, UNDAF outcomes and CPD responses.

Objectives:

• Map the immediate, underlying and structural causes of unfulfilled human rights, such as discrimination, poverty and social exclusion.
• Form a base for a holistic, inter-disciplinary response to the development problems; by tackling the root causes of the problem more sustainable results can be achieved.
• Break down problems to manageable and definable components.
• Identify issues and arguments, and help establish who and what the political actors and processes are at each stage;
• Help to establish whether further information, evidence or resources are needed to make a strong case, or build a convincing solution.

The Problem Tree/Objectives Tree is an exercise to facilitate causal analysis. By undertaking the exercise, relations between immediate, underlying and structural causes are identified. The tool can also be used in a participatory manner to conduct causality analysis giving it the added value of building a shared sense of understanding, purpose and action.

Discuss and agree on a local development challenge to be analysed. The problem or issue is written in the centre of the flip chart and becomes the ‘trunk’ of the tree. This becomes the ‘focal problem’. Do not worry if it seems like a broad topic. The problem tree will help break it down. The wording does not need to be exact as the roots and branches will further define it. However, ensure to describe an actual issue that participants prioritize.

The group identifies the causes of the development challenge - these become the roots. Then identify the consequences, which become the branches. These causes and consequences can be created on post-it notes or cards, perhaps individually or in pairs, so that they can be arranged in a cause-and-effect logic. Some cards may also turn out to be overall constraints (move to the side of the core problem). Try to find all cause and effect relations and move the cards accordingly. There can be more causes to one effect or more effects to one cause.

The problems identified can easily be ‘inverted’ in an objectives tree. Taking the problem tree as your base, reformulate the problems positively in order to turn them into objectives. This process then leads into an “objectives tree” with the central objective simply being the inverse of the central problem. Ask participants then to look at these objectives, discuss which of these can be tackled by the project, and set priorities. Breaking men and women into different groups is recommended.

Once the HRBA causality analysis is completed, the following step is the identification of rights-holders, their main claims and the corresponding duty bearers and their specific obligations to respect protect and fulfill those claims. You also need to map out the legal framework and formal mandates as well as the relationship between rights holders and duty bearers. The capacity assessment maps out the gaps in their ability to claim and fulfill rights so they can be addressed with capacity building exercises during the implementation phase of the project.

Objectives

• To map out responsibilities of local and central government regarding human rights at the local level
• To facilitate alignment of local development plans with national and international human rights commitments ratified by the country
• To identify relationships between rights holders and duty bearers within the area
• To identify specific responsibilities of local governments vis-à-vis citizens with regard to human rights.
• To identify capacity gaps with rights holders to claim rights and with duty bearers to fulfil rights

Tools and Steps:

Review of legislation. The review of legislation entails: (i) identifying which international human rights instruments have been ratified by the State⁴⁶ and the provisions regarding to your area of work (minority rights, health, education, etc.) in them. (ii) Reviewing national laws such as the constitution, bill of rights, non-discrimination and gender-equality laws, civil and penal codes, human rights case law, laws on decentralization, etc., and identifying the provision regarding your area of work (health, education, etc.) and, (iii) reviewing other commitments entered into at recent world conferences insofar as they bear upon human rights, including the United Nations Millennium Declaration (2000) or the World Conference Against Racism Durban Declaration and Programme of Action (2001) and identifying provisions regarding the project area of work.

Identifying features of human rights-based local service delivery. Using the information gathered, the project team must identify what the local government’s obligations are vis-à-vis local citizens in the specific area under analysis, as well as the responsibilities of the regional and central government with regard to the specific area.

Identification of duty bearers at all levels in administration, including local and national governments, authorities, departments and relatives and other civilians with duties. This may be done within the applicable legal framework for the area of the planned intervention.

Map out the relationships between the duty bearers and claim holders following the legal framework that you have mapped out. This step gives a more detailed description of the actual entitlements and claims of rights holders vis-à-vis duty bearers and what the channels are for working with them.

Conduct the capacity assessment by identifying the rights holders and duty bearers of the planned intervention. Assess the gaps in their abilities to claim, fulfill and protect rights.

Examples of issues to investigate when undertaking capacity assessment:

Why do rights holders face difficulties in claiming their rights?

• Is there policy and law in place to claim the specific right at local level?
• Is there policy on the right and access to information?
• Do they have access to information?
• Are these norms and regulations being implemented?
• Do right holders have the ability to organize themselves?
• Are they empowered to claim rights?

Why do duty bearers fail to respect protect and fulfill rights?

• Analysis needs to be directed towards mandate and resources
• Is the mandate to fulfill a right on the side of the local government?
• Have law and policy been put in place to regulate the specific right?
• Are there sufficient budget allocations?
• Are there sufficient financial and knowledge resources?

The assessment forms the basis for capacity building activities, which are undertaken during the implementation stages of the project. Similarly, indicators are used to assess the impact after the activity.