Design/Layout: Pongsuda Vongsingha UNESCO Asia and...

© UNESCO 2008

Published by UNESCO Asia and Pacific Regional Bureau for Education Mom Luang Pin Malakul Centenary Building 920 Sukhumvit Road, Prakanong Bangkok 10110. Thailand

Printed in Thailand

The designations employed and the presentation of material throughout the publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any country, territory, city or area or of its authorities, or concerning its frontiers or boundaries.

Berman, GabrielleUndertaking a Human Rights-Based Approach: A Guide for

Basic Programming – Documenting Lessons Learned for Human Rights-Based Programming: An Asia-Pacific Perspective – Implications for Policy, Planning and Programming. Bangkok: UNESCO Bangkok, 2008 40 pp.

1.Human rights. 2. Development programmes. 3. Programme planning. 4. Guides. 5. Asia and the Pacific.

ISBN: 978-92-9223-232-0 (Print version) ISBN: 978-92-9223-233-7 (Electronic version)

APL/08/OS/063-200

Editor: Daniel Calderbank Design/Layout: Pongsuda Vongsingha Cover Photo: FWRM, Fiji

Acknowledgements

The UN Interagency Lessons Learned Project on the Human Rights-Based Approach to Development Cooperation would not have been possible without the financial and intellectual support and commitment of the New Zealand Agency for International Development (NZAID), the Office of the United Nations High Commissioner for Human Rights (OHCHR) – Regional Office for South-East Asia, the United Nations Children’s Fund (UNICEF) – Regional Office for East Asia and the Pacific, the United Nations Development Programme’s Asia Regional Governance Programme (UNDP APGMP) and specifically Asia Pacific Gender Mainstreaming Programme (APGMP) Phase II, the United Nations Educational, Scientific and Cultural Organization (UNESCO) Bangkok, and the Swedish International Development Cooperation Agency (SIDA).

More particularly, this publication, prepared by Gabrielle Berman, is a reflection of the significant contributions of many individuals: Johan Lindeberg, Ricelie Gesuden, Sheldon Shaeffer, Daniel Calderbank and Pongsuda Vongsingha (UNESCO); Lynn de Silva (NZAID); Mahesh Patel and Dejana Popic (UNICEF); Sudarshan Ramaswamy, Roohi Metcalfe and Emilia Mugnai (UNDP); and Johan Hallenborg (SIDA). Thanks should also go to Upala Devi Banerjee and Anders Emmanuel.

Acknowledgement is also required for those that significantly informed this final report, that is, those key LLP partners who wrote the pilot reports on which this report is based, and those that attended the final workshop, namely:

g EV Eran, Mongolia;

g UNDP Mongolia;

g National Human Rights Commission of Mongolia;

g The Ban Buphai Community, Thailand;

g Centre for Environmental Health and water Supply (Nam Saat), Ministry of Health, Laos PDR;

g UNICEF Laos;

g The Fiji Women’s Rights Movement;

g UNDP Pacific Regional Centre;

g Pacific Regional Rights Resource Team;

g UNDP Afghanistan;

g Afghanistan Human Rights Organization;

g Coordination of Humanitarian Assistance (Afghanistan);

g Vietnamese Institute for Human Rights.

List of Abbreviations

AHRO Afghanistan Human Rights Organization

AJDL Access to Justice at District Level (Afghanistan)

CCA Common Country Assessment

CEDAW Convention on the Elimination of all forms of Discrimination against Women

CHA Coordination of Humanitarian Assistance (Afghanistan)

CFC Child Friendly School

CLC Community Learning Centre

EU European Union

FGD Focus Group Discussions

FWRM Fijian Women’s Rights Movement

HRBA Human Right-Based Approach

INGOs International Non Government Organizations

ISISC/IHRLI International Institute of Higher Studies in Criminal Sciences/ International Human Rights Law Institute (Italy)

LLP Asia-Pacific UN Inter-Agency Lessons Learned Project on the Human Rights Based Approach to Development

NAAM SAT Centre for Environmental Health and Water Supply, Ministry of Health, LAO PDR

NHRI National Human Rights Institutions

NZAID New Zealand International Aid and Development Agency

OHCHR United Nations Office of the High Commissioner for Human Rights

PIL Public Interest Litigations

RRRT Pacific Regional Rights Resource Team/UNDP

SMO SABA Media Organization

SIDA Swedish International Development Cooperation Agency

ToT Training of Trainers

UNESCO United Nations, Educational, Scientific and Cultural Organization

UNICEF United Nations Children’s Fund

UNDAF United Nations Development Assistance Framework

UNDP United Nations Development Programme

UNPAF United Nations Partnership Framework

VCP Vietnamese Communist Party

WES Water and Environmental Sector (Lao PDR)

Table of Contents

Acknowledgements

List of Abbreviations

I) Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

II) Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

III) Brief Profiles of the Projects Supported

1. Afghanistan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2. Fiji . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 3. Lao PDR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 4. Mongolia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 5. Thailand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10 6. Viet Nam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

IV) Basic Guide to Undertaking a Human Rights-Based Approach: Lessons Learned from the UN Interagency Project on the Human Rights-Based Approach to Development Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12

1. Programme Planning, Design and Implementation

The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14 Tips for HRBA Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 The Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17

2. Situational Assessments

The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Tips for HRBA Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20 The Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21 General Observations and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . .22

3. Capacity Building

The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22 Tips for HRBA Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25 The Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26 General Observations and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . .28

4. Monitoring and Evaluation

The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .28 Tips for HRBA Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30 The Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30 General Observations and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . .31

5. Key Takeouts: Lessons Learned from the LLP . . . . . . . . . . . . . . . . . . . . . . . . .32

Attachment A: The Human Rights-Based Approach to Development Cooperation . . . . . . . . . .35

Attachment B: Samples of Questions Used During Field Missions in Afghanistan . . . . . . . . . .38

Attachment C: Project Indicators Thailand . . . . . . . . . . . . . . . . . . . . . . . . . . . . .39

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1 As defined in the 2003 document The Human Rights Based Approach to Development Cooperation: Towards a Common Understanding Among UN Agencies (Stamford Common Understanding)

I u Background

This report is based on lessons learned from documenting experiences and programmes that incorporated the human rights-based approach (HRBA)1 in several Asia-Pacific countries from 2004 to the present time. The initial observations of such experiences and programmes resulted in the documentation and publication of fourteen case studies in countries as diverse as Bangladesh, India, Nepal, Cambodia, Indonesia, Laos, Viet Nam, the Philippines and Fiji under the aegis of the Asia-Pacific UN Inter-Agency Lessons Learned Project (LLP) on the HRBA to Development.

After completion of documentation of the case studies, there was a need to decipher what lessons could be learned for future development programming. Thus, in early 2006, the LLP sent out a call for applications to UN agencies and civil society groups in the region to support innovative ideas on how the HRBA could be used under existing projects to realize rights, and, what lessons could be learned from the process. More than 80 applications were received from across the Asia-Pacific region. After an intensive screening process, the LLP, in mid-2006, partnered with civil society groups, UN country teams, National Human Rights Institutions (NHRIs) and various line ministries to undertake the exercise. The six pilot projects chosen were located across the Asia-Pacific region in Afghanistan, Fiji, Laos, Mongolia, Thailand and Viet Nam. The projects focused on various sectors including media, mining, the informal justice sector, non-formal education and housing and land.

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At various stages of piloting this process, the LLP provided technical assistance as required and also developed capacities of implementing partners to utilize a HRBA by holding capacity development workshops. Most of these workshops were held at the inception of pilot project activities and provided an opportunity for different stakeholders to develop relationships and discuss programmatic interventions that could be implemented.

Activities under these pilots have now been completed, and lessons have been gleaned, with significant insights resulting from a final workshop/consultation with pilot projects’ partners. Such reflection and documentation has provided further insights on the challenges and opportunities presented by the practical application of HRBA. For the communities involved, such documentation provides a form of knowledge exchange that can feed into programming practice. For development agencies, and particularly UN agencies, this documentation feeds into a process of sustainable change and capacity development on the human rights-based approach to programming. Finally and critically, this exercise has provided further information about the implementation of the UN guidelines set out in the 2003 The Human Rights Based Approach to Development Cooperation: Towards a Common Understanding Among UN Agencies (Stamford Common Understanding) in the Asia-Pacific providing lessons and insights on the implications for policy, planning and programming.

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II u Introduction

This report is one of two publications resulting from the Lessons Learned Project. Each publication focuses on a distinct audience, a reflection that the UN operates at both policy and programme level and that the Human Rights-Based Approach requires that both of these areas need to continue to be engaged in exploring its practical application. The sister publication is targeted at policy makers and strategic planning personnel in the various UN agencies that have supported this process and, perhaps it will be instructive for those that have been less engaged. It attempts to reflect not only the implications of these projects on the HRBA agenda, but also hopefully shed light on the LLP process itself, particularly the implications of UN Interagency efforts in this small project that spanned over four years.

The audience for this publication is the project based practitioners responsible for embedding the HRBA into programming. It report aims to present lessons learned with respect to the approaches used in claiming rights, the various tools used within the programme process, and how human rights can be realized in practice. It is hoped that both publications will contribute towards the further implementation of HRBA, and provide the lay HRBA practitioner with some insights into the issues that need to be considered in the planning and implementation of HRBA projects.

A number of caveats must, however, be noted. Firstly, the sample size of the projects is small and therefore it is not possible to generalize the findings and identify specific replicable “best practice” programmes. Secondly, and reinforcing this point, these projects explore different rights with varying degrees of sensitivity in their local contexts. Some of these projects originated at the policy level, some at the community level, and hence they are, in effect, largely non-comparable beyond having HRBA as a particular lens. What should be obvious from the case studies is that the translation of the implications of a HRBA differs across organizations and contexts.

Though a small sample, it should be clear that there is no one-size-fits-all approach, and much about the nature and form of programming and the short term outcomes is ultimately contingent on the constraints and realities on the ground, and, unsurprisingly, on the mandates of the UN agency/agencies involved. This is not to say that variability renders constructive analysis impossible. Rather, it is to say that HRBA principles can and often are translated into different approaches for different country contexts and that there is value in reflecting on the specifics of the geographic contexts, and particularly their political and cultural context in understanding the methodological approaches adopted in these HRBA projects and their outcomes and impacts on human rights in the short and longer term. Indeed, this issue of rights and local politics and cultures needs to be explored if HRBA implementation across UN Agencies is to be made more transparent.

There are a number of issues that are explored in this lessons learned project. The limitations of these projects and indeed the limitations of the LLP itself provide valuable lessons in and of themselves. However, the lessons learned are not just about limitations and challenges. There are projects that have evidenced significant results in the realization of human rights, and there are components of the various projects that significantly contributed to building capacity to allow for the realization of these rights. There are others that have evidenced significant results in the realization of human rights which utilized international human rights frameworks in both design and implementation of the project. While these may not always be strictly transferable, the tools and approaches adopted, and the considerations involved in designing these programmes provided valuable information for the application of HRBA principles at both the programme and policy level. The following section (Section III) will briefly outline the projects involved, before proceeding to explore the implications for both strategic policy and programming.

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III u Brief Profiles of the Projects Supported

1. AFGHANISTAN

Name of Project: Access to Justice at the District Level (AJDL)

Lead LLP Partner: UNDP Afghanistan

Partner/s: International Institute of Higher Studies in Criminal Sciences/ International Human Rights Law Institute (ISISC/IHRLI); Afghanistan Human Rights Organization (AHRO); Coordination of Humanitarian Assistance (CHA), SABA Media Organization (SMO); Ministry of Justice of Afghanistan; Attorney General Office, Supreme Court, Ministry of Education; European Union (EU).

Location: Total – 60 districts in nine provinces of Afghanistan Pilot Provinces – Balkh and Herat. Current Provinces – Baghlan, Jawzjan, Kunduz and Samangan. Expansion-planned two provinces (Badakhshan and Takhar) plus one pilot in a less secure province (Nangahar).

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Human Rights-based Techniques Used: Intensive training for judges, prosecutors, police and defence counsellors on political and civil rights granted to the citizens of Afghanistan and the attendant legal processes to secure these rights; rights based workshops for religious leaders; interactive games and role plays for elementary and secondary school teachers and pupils, theatre plays and community posters and radio programmes (dramas, messages, discussions, songs) as part of a broad community campaign.

It should be noted that all the activities for religious leaders, pupils and community members were conducted at the district and village level.

Project Specific innovations:

g Addressing the traditional and formal justice system at the provincial level;

g Training and relevant informational materials were not solely based on the international and statutory human rights notions, but were quite extensively “blended” with the corresponding Sharia principles which greatly facilitated their acceptance by the beneficiaries.

Project Background and Outline: Systematic issues in both formal and traditional justice mechanisms have affected the access to and delivery of justice in most provinces in Afghanistan. In some provinces and districts, a lack of staff and infrastructure meant that courts simply failed to function. Judges, prosecutors, and defence counsel were assigned to these positions but did not come to the office because of fear. Poor compensation impeded professionalism, motivation and integrity for justice officials. At the district level, salaries of judges, prosecutors, defenders, and prison officials were often set at US$ 35 per month; in reality actual payment was months in arrears. Most justice facilities were destroyed by war or were not in adequate working order from the onset. Local justice in Afghanistan has been in short supply and the project was aimed at increasing that supply. It was also designed to complement other efforts undertaken through UNDP and other projects for reform and strengthening of capacity building of national justice institutions, in particular the National Justice for All Strategy and the Strengthening the Justice System of Afghanistan Project, but with the key difference of being focused on the district level, and on vulnerable groups.

The traditional justice system in Afghanistan, which in the provinces is a significantly larger justice supply mechanism, is mostly given marginal acknowledgement if any, which contributes to the dichotomy between formal and traditional justice, rather than enabling them to work in synergy. The AJDL recognized the importance and relationship between both justice systems. AJDL activities for traditional and religious leaders aimed to raise their awareness about the rights granted to the citizens of Afghanistan, as well as to build human rights-based delivery capacities within the traditional justice supply side and work to eliminate harmful customs which are a clear violation of international human rights standards or Sharia. AJDL focuses on awareness raising and capacity building within the community at the district level, and is a shift from the notion of the justice service as a centralized resource to the notion of justice as the communal “goods”, which is accessible and available. The HRBA framework was adopted to help the right-holders and duty bearers to engage in an active dialogue, encouraging the duty bearers to meet their responsibilities and the right-holders to hold the justice delivery mechanisms and state institutions accountable. It aims to strengthen the social cohesion through seeking consensus and applying participatory processes, and focusing assistance on the most vulnerable strata of the society, namely women, children, the elderly, the displaced, the disabled and other minorities.

Rights Advanced: AJDL combines awareness raising activities among both duty bearers and right holders, with the improvement of formal justice infrastructure at the district level to facilitate more responsive justice delivery and make it more accessible at the local level. In awareness raising, AJDL focuses on: (1) protection of women and children in criminal law; (2) the constitutional right to defence counsel during criminal proceedings and referral of cases; (3) family and personals status law, and; (4) land law.

For further information contact:

UNDP Country Office Afghanistan Tel: +93 20 212 4000 Fax: +873 763 468 836

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2. FIJI

Name of Project: Developing Capacities of Women of Fiji to Access Adequate Housing and Land.

Lead LLP Partner: Fiji Women’s Rights Movement, Pacific Regional Rights Resource Team (RRT).

Partner/s: UNDP Pacific Centre.

Location: Suva Fiji.

Human Rights-based Techniques Used: Regional and national consultations with key stakeholders in state departments, as well as organizations involved in housing provision. Purpose written action guide to rights, (case studies, rights/issues explained) and gender analysis.


g Hosting a Regional Consultation on Women’s Right to Adequate Housing and Land (WRAHL) to tie in with the visit of the UN Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the right to non discrimination in this context.

g Documentation of women’s stories and case studies with respect to the WRAHL as an integral component of a toolkit for training.

Project Background and Outline: One of the most significant forms of systemic human rights and gender discrimination in the Pacific is that of women’s right to adequate housing and land. Addressing both gender discrimination, as well as access to livelihoods for Pacific Island women, this pilot project sought to:

a) Increase awareness of the systemic, political (racial) and cultural discrimination that Pacific Island women face in accessing housing and land through a pilot national consultation that took place in September 2006, and:

b) Equip Fiji stakeholders with a toolkit that utilizes a human rights-based approach to analyzing and mobilizing against systemic, political and cultural discrimination towards women’s right to adequate housing and land.

c) Utilize this pilot project to train UN staff to implement successive pilot projects in other Pacific Island countries.

This pilot activity was a follow-up to the UN Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the right to non discrimination in this context, Mr. Miloon Kothari’s visit to the Pacific in which a regional consultation on the Women’s Right to Adequate Housing and Land was held in October 2004. During this regional consultation, women’s stories and case studies were developed and a framework for the HRBA analysis of women’s right to housing and land was adapted and utilized. RRRT/UNDP subsequently adapted and utilized a tool kit based on tool kit developed by the Housing and Land Right Coalition (HLRC) for the analysis of WRAHL that could be used on a regional basis. RRRT’s national partner in Fiji, FWRM has identified that WRAHL is a key issue amongst Fiji women and has joined partnership with RRRT/UNDP in both further developing this tool kit as well as piloting a training and advocacy workshop on WRAHL in Fiji.

Rights Advanced: The right to non-discrimination and the right to adequate housing.


Fiji Women’s Rights Movement 21 Knolly Street, Suva P.O. Box 14194 Phone: +679 3313156 or +679 3312711 Fax: +679 3313466 E-mail: [email protected] Website: www.fwrm.org.fj

mailto:[email protected]

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3. LAO PDR

Name of Project: Application of Human Rights-Based Approach to Programming in the Water and Environmental Sector (WES) in Lao PDR.

Lead LLP Partner: UNICEF Laos.

Partner/s: Central, provincial and district government partners from the Centre for Environmental Health and water Supply (commonly referred to as “Nam Saat”), Ministry of Health, Central, provincial and district government partners from the Ministry of Education, World Bank Water and Sanitation Programme, Australian Aid for International Development (Aus AID), Oxfam, ADRA.

Location: Northern and Southern Lao.

Human Rights-based Techniques Used: participatory rural appraisal, participatory situational assessment, participatory monitoring and evaluation, community dialogues between provincial and district officials and villages, private sector mapping, transparent bidding processes for water supply (include names of those tendering being listed on the website), seven steps Implementation process2 (this focuses on community participation and dialogue, enabling communities to put forward their demands for supply, use, ownership and maintenance of services), community user groups (which build village consensus on contribution rates, maintenance of water systems, promotion of hygiene and responsibility for liaising with officials).


g National consultation on implementing rights-based approaches in the water and environmental sanitation program in which HRBA principles were introduced and discussed with 70 central, provincial and district level government representatives from the Water and Environmental Sector (WES) across the country. The case study in Luang Prabang was used to sensitize and educate government representatives on the HRBA, their responsibilities as duty bearers and the roles of rights holders in working towards effective programme responses. Village chiefs and representatives from International Non Government Organizations (INGOs), the World Bank and AUSAID also attended.

g Supporting provincial and district governments to develop hygiene promotion strategies

Project Background and Outline: UNICEF, in partnership with the Lao Ministry of Health’s Centre for Environmental Health and Water Supply (NAM SAAT), has been working with local communities in Laos to design, implement and manage water and environmental sanitation (WES) facilities under a human rights-based framework.

The UNICEF Laos WES Programme cannot claim to strictly utilize a human rights-based approach to programming (HRBAP) in all phases of the cycle. Yet, it has been possible to incorporate many of the guiding principles into programme components. This achievement, in line with UNICEF’s policy of continuously advocating and promoting the principles of HRBAP within the United Nations Country Team (UNCT) and with government and NGO counterparts, is especially noteworthy given the rather challenging and often sensitive context of human rights in the Lao PDR.

A major initiative in taking the HRBAP principles forward and in enhancing partner awareness of the approach was a case study in rural water supplies and sanitation services in early 2005. This case study involved a documentation of the UNICEF supported rural water supply and sanitation project in Luang Prabang province as part of a regional “Lessons Learned Project “(LLP) conducted by the Asia-Pacific Regional Office of the UN High Commissioner for Human Rights in close collaboration with UNDP, UNICEF, UNESCO, SIDA, and HURIST.

Human rights principles guide all phases of UNICEF process and are applied in all programme sectors. WES programmes now concentrate on sanitation, on building institutional capacity, and on raising hygiene awareness. This means working in partnership with the public sector and communities – especially women and children – in planning, implementing and maintaining WES systems. UNICEF has worked in close collaboration with NAM SAAT to develop the rights-based strategies integral to achieving project outcomes, and has also supported capacity- building within NAM SAAT and rural communities to implement these strategies. The

2 Outlined in section X below.

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aim has been to create conditions that would enable rural communities in 14 districts to access and maintain sustainable WES facilities. The development objective has been “supporting a Demand Responsive Approach in rural areas to improve access, use and sustainability of water supplies and sanitation facilities; and, to increase health and economic benefits and reduce infant mortality and morbidity rates”.

In 2006, the LLP was scaled up in other villages in Luang Prabang province and expanded to Savannakhet province. UNICEF Laos is now in the final stages of undertaking joint programming in three districts in Savannakhet province. The 2006 LLP took into consideration all the recommendations in the 2005 case study and the comments provided by peer review in January 2006. Most importantly, was the recommendation to raise the awareness of rights holders on their right to water.

As indicated, there are still a lot of sensitivities regarding rights-related issues in Laos. Yet, the valuable “learning by doing” approach through actual implementation of human rights-based related programming in the WES sector, and subsequent incorporation of the Lao experience into this regional initiative, have contributed to an increased openness and awareness amongst partners regarding building processes and establishing foundations for sustainable and long-term provision of services and mechanisms in order to respond to the rights of children and women throughout the country.

Rights Advanced: The right to sanitation, the right to health, education, sustainable livelihoods, food security and women’s rights to participate in the economic and social life of the villages.


Water, Sanitation and Hygiene Officer UNICEF Laos P.O. Box 1080 Telephone: +856 21 3152 00 Fax: +856 20 314 582 Email: [email protected]


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4. MONGOLIA

Name of Project: HRBA in empowering herder communities.

Lead LLP Partners: UNDP Mongolia, Ev Aran (NGO).

Partner/s: Herder communities, civil society organizations, media, public advocates, national human rights institution, local government, the judiciary, law enforcement agencies.

Location: Mongolia, Ulaanbaatar and five Aimags (provinces).

Human Rights-Based Techniques Used: Stakeholder consultations (strategic mapping), field missions, community dialogues, non-formal legal education, media campaign, evidence based advocacy, public interest litigation, judiciary workshops and a handbook on environmental law.


g Engaging the national human rights institution for evidence based advocacy;

g Implementing non-formal legal education for right holders to improve negotiation skills;

g Inviting journalists to join field missions as part of the media campaign;

g Production of a handbook on environmental law for the judiciary to promote Public Interest Litigations (PILs);

g Supporting access to information by communities with limited electricity and broadcasting infrastructure;

g Enabling right holders to participate in public discussions on human rights and the environment.

Project Background and Outline: Under Mongolia’s law on minerals, exploitation licenses have been issued in many critical areas including significant watershed lands, habitat lands of rare and endangered species of flora and fauna, and areas of outstanding natural beauty, resulting in irreparable harm to Mongolia’s natural environment and to future generations of Mongolia’s people.

As a result of the large number of licenses, the use of outmoded and environmentally destructive gold mining technology, inadequate environmental impact assessments, failure to rehabilitate mining sites and inadequate monitoring and enforcement of environmental regulations, environmental and associated human rights issues have become one of Mongolia’s most pressing national concerns.

The most significant human rights issues in Mongolia’s mining sector are a direct outgrowth of the adverse impacts of mining on Mongolia‘s natural environment. Mining activities in Mongolia have created serious problems of water pollution, diminished surface waters, and caused the destruction of pasture land. At large, the root causes for lack of access to rights could be summarized by the shortcomings in mining legislation that does not take into account the rights of residents in the mining exploitation zones. Also, limited access to justice became evident during public interest litigations at the courts.

The herder communities suffer the most and they lack the resources and power for participation and inclusion in the decision making process that affects their preferred livelihoods.

The main objective of this pilot is to reinforce HRBA concepts, while targeting extractive mining practices in rural areas of Mongolia. The pilot aims to achieve a demonstrated level of empowerment of herder communities that are affected by environmentally destructive mining practices. The project sought to educate the judiciary on environmental law, run public litigation programmes and social campaigns to highlight the issue and provide advocacy for change in partnership with the National Human Rights Commission.

Rights Advanced: The right to live in safe and healthy environment, the right to participate in the development process, and the right to freedom of movement, right to freedom of expression and information, access to justice.


Ev Aran Email: [email protected]


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5. THAILAND

Name of Project: Building Capacities of Duty-Bearers and Claim-Holders in Select Community Learning Centres in Northern Thailand via UNESCO/UNICEF Interventions.

Lead LLP Partners: Buphai CLC, UNESCO Bangkok.

Partner/s: UNICEF Bangkok, Buphai Community School, Buphai Sub-District Administration Organization.

Location: Ban Buphai, Ubon Ratchathani Province, Thailand.

Human Rights-based Techniques Used: human rights training, focus group discussions, community dialogue, community based participatory budgeting, social mapping, community surveying.


g Implementation of initial project site in local community with a history of successful community development work, i.e., use of model community to advocate for HRBA in surrounding communities;

g The creation of a community social welfare fund;

g The utilization of public land to provide a private resource for poorer families;

g The establishment of regular community meetings to discuss project outcomes.

Project Background and Outline: In Thailand, since the late 1990’s, UNESCO Bangkok has been supporting non-formal education through local educational institutions referred to as Community Learning Centres (CLC). The centres are set up and managed by locals, and intended to produce social transformation by enhancing development through education. Based on the principle of inclusion, CLCs are designed to reach out to those outside the formal school system i.e., pre-school children, out-of-school children, the disabled, the elderly etc. There are now 8,691 CLCs in Thailand.

Concurrently, the UNICEF Office for Thailand has collaborated with the Ministry of Education in piloting the Child Friendly Schools (CFS) Project. The CFS project is based on the concepts and principles of the Convention on the Rights of the Child. It attempts to create and demonstrate a new type of school that delivers quality education that is accessible to all and that focuses on and supports the health and wellbeing of its students. There are currently more than 600 CFS in Thailand.

The purpose of the pilot project in north eastern Thailand was to promote a Human Rights-Based Approach to non formal education through the CLCs in close collaboration with UNICEFs Child Friendly Schools project. Involving both students and community members, the project was designed to facilitate and initiate activities based on a Human Rights-Based Approach at the local level. The project sought to explore how a HRBA could be practically implemented in provincial Thailand.

Rights Advanced: Buphai CLC members framed their work in accordance with “Child Rights” principles including the idea that children must be safeguarded from harm, must be appropriately cared for, must live in safe conditions without any health hazards, while also being able to enjoy their right to an education that enhances their development to the fullest extent possible. These ideas underpinned the Community Love Cleanliness Project, the Early Childhood Care and Development Project, and the Prevention of School Drop-out Project. Rights, with respect to non-discrimination, access to appropriate economic resources and empowerment underpinned the“One Rai Self – Sufficiency Project” and Vocational Skills Training for Physically Disadvantaged Persons projects.


Asia Pacific Education for All (APPEAL) Unit UNESCO Bangkok Website: http://www.unescobkk.org/index.php?id=15 Tel: +66 2 391 0577 Fax: + 66 2 391 0866 Email: [email protected]

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Name of Project: Human Rights Training for Journalists in Viet Nam.

Lead LLP Partner: The Viet Nam Institute for Human Rights.

Partner/s: UNESCO Bangkok, UNESCO Hanoi.

Location: Ho Chi Minh City, Hanoi, Viet Nam.

Human Rights-based Techniques Used: consultative workshops, individual interviews and focus group discussions with journalists, academics and state servants as part of situational assessment, focus group discussions held with media organizations and other media trainers to examine means to sustain initiative.


g Sector wide exploration of country specific approaches to increasing journalist’s awareness of human rights and human rights issues.

Project Background and Outline: Viet Nam’s popular press remains very state-centric, with reporting on human rights violations limited. Several newspapers in Ho Chi Minh City have however, recently called for greater journalistic integrity, notably the Saigon Group, Thanh Nien, Lao Dong and Tuoi Tre. The publications of these outlets are now free of all state-issued publishing subsidies. To some extent there has been an effort to re-locate the Vietnamese media in the context of international standards and indeed to embrace new initiatives of training. This is a gradual process, and progress must be measured in the context of other changes in Vietnamese society, but there is a perceptible and professionally discernable process of evaluation of the role of the journalist in Viet Nam, and this is gradually having an impact on media out-put. There is also evidence, though limited, that the Vietnamese Communist Party (VCP) is encouraging a more independent approach to the press, alongside the increasing emphasis on business enterprise and commercial development in other sectors. It is commonly accepted that these processes will have an influence on journalism.

The primary goals for the project were as follows:

g To influence the basic and in-service or continuing life-long education of journalists in Viet Nam by appropriately introducing human rights concepts as part of the issues in media training;

g To work with the professional journalistic community in the development of methodologies and approaches to handling human rights issues in Viet Nam and to human rights reporting;

g To develop a system of ‘“training of trainers” (ToT) which would have a wider impact on the training for, and discussion of human rights in the Vietnamese media;

g To inform a wide section of the Vietnamese media about human rights issues and their influence on the substantive subject content and activity of their work;

g To contribute to the increased treatment of human rights issues in the Vietnamese media;

g Providing training in human rights issues at the level of (1) basic media training and (2) “in-service” or life-long and specialist training which will equip Vietnamese journalists in the handling of human rights issues;

g Contribute to increased awareness of human rights issues and respect for human rights in Vietnamese civil society.

Rights Advanced: Uncertain.


Vietnamese Institute of Human Rights Ho Chi Minh National Political and Administrative Academy Tel: +844 845 5108 Fax: +844 845 2631

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IV u Basic Guide to Undertaking a Human Rights Based Approach:

Lessons Learned from the UN Interagency Project on

the Human Rights-Based Approach to Development Cooperation

The lessons learned from the UN Interagency Project on the Human Rights-Based Approaches to Development Cooperation have informed this section with the tips, tools and recommendations directly flowing from the findings and work undertaken in the six LLP pilot projects. This guide is designed to support the project work of practitioners working in the development sector who have not previously utilized a HRBA lens in their programme planning. It is noted that this section attempts to build on the significant work that has already been undertaken in this area and is but one of a number of guides on HRBA and its application that have been undertaken by various UN agencies, bilateral organizations and NGOs. It needs to be stated from the outset that this section is just an introduction to programming in this area, its basis in the LLP implies that it is informed by projects in a number of different areas and covers a number of different human rights issues. For guides to HRBA implementation for specific rights issues see the LLP website at: http://www.unescobkk.org/index.php?id=6117.

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Programming and the Stamford Common Understanding on the Human Rights-Based Approach to Development Cooperation.

The following elements are necessary, specific, and unique to the human rights-based approach:

a) Assessment and analysis is required in order to identify the human rights claims of rights-holders and the corresponding human rights obligations of duty-bearers as well as the immediate, underlying, and structural causes of the non-realization of rights.

b) Programmes assess the capacities of rights-holders to claim their rights and of duty bearers to fulfil their obligations. They then develop strategies to build these capacities.

c) Programmes monitor and evaluate both outcomes and processes guided by human rights standards and principles.

d) Programming is informed by the recommendations of international human rights bodies and mechanisms. (The Human Rights-Based Approach to Development Cooperation: Towards a Common Understanding Among UN Agencies) (see Attachment A for the full document)

The following sections will examine the issues, tools, challenges and examples of approaches that have been adopted for the elements (a) to (c), with a section on project planning and implementation. The requirement that the programme is informed by the recommendations of international human rights bodies and mechanism will be explored in each of these sections.

Undertaking the Human Rights-Based Approach to Development Programming

One of the first useful tips when undertaking a HRBA is to be aware of some basic principles of human rights represented by the acronym PANEL:

Participation – People are recognized as key actors in their own development, rather than passive recipients of commodities and services, Participation is both a means and a goal and analysis includes all stakeholders. Strategic partnerships should be developed and sustained.

Accountability – A rights-based approach requires the development of laws, administrative procedures, and practices and mechanisms to ensure the fulfilment of entitlements, as well as opportunities to address denials and violations. It also calls for the translation of universal standards into locally determined benchmarks for measuring progress and enhancing accountability.

Non-discrimination and Equality – A rights-based approach requires a particular focus on addressing discrimination and inequality, focussing on marginalized, disadvantaged, and excluded groups.

Empowerment – Empowerment is the process by which people’s capabilities to demand and use their human rights grows. They are empowered to claim their rights rather than simply wait for policies, legislation or the provision of services. The development process should be locally owned.

Linkages to Human Rights Standards – Programming is informed by the recommendations of international human rights bodies and mechanisms.

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1. Programme Planning, Design and Implementation

The Process

As noted in the Stamford Common Understanding, the following are the elements of good programming practices that are also essential under the HRBA. Each of these principles is relevant to programme planning, design and implementation:

g People are recognized as key actors in their own development, rather than passive recipients of commodities and services;

g Participation is both a means and a goal;

g Strategies are empowering, not disempowering;

g Both outcomes and processes are monitored and evaluated;

g Programmes focus on marginalized, disadvantaged, and excluded groups;

g The development process is locally owned;

g Programmes aim to reduce disparity;

g Both top-down and bottom-up approaches are used in synergy;

g Situation analysis is used to identity immediate, underlying, and basic causes of development problems;

g Measurable goals and targets are important in programming;

g Strategic partnerships are developed and sustained;

g Programmes support accountability of all stakeholders.

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The following are the questions that must be asked in planning, designing and implementing a HRBA project:

g How will the project link to international human rights instruments and mechanisms?

g Who will be involved in the planning of the project?

g What types of partnerships will ensure access to all the major stakeholders?

g Who will be involved in the assessment, decision making, implementation and monitoring and evaluation of the project? Will they be the same stakeholders?

g How can the most disadvantaged communities and individuals be empowered through the process?

g How can and will the project be tied in with other country programmes, strategic planning and human rights reports in the longer term?

Answering the questions:

g Bottom Up and Top Down: Planning, designing and implementing a HRBA programme requires consideration of how to engage both communities and policy makers. This may require specific activities for these stakeholder groups, as well as combined activities to initiate dialogue on the issue. In the instance of highly sensitive advocacy projects, this may involve longer term strategies to engage with governments. This however, needs to be discussed and planned for at the outset of programming.

g Non-discrimination and Equality: During the planning and designing phase specific activities need to be embedded to identify, support and empower marginalized communities and individuals and ensure that they are able to actively participate in the programme and that, capacity building activities are specifically devised for these groups.

g Empowerment: As noted above, the process itself needs to empower rights holders, being cognizant of power inequities particularly for marginalized groups.

g Linkages to Human Rights Instruments: Beyond a particular focus on a rights issue, linkages to human rights principles and instruments need to be considered from the outset. It needs to be acknowledged that only some projects directly focused on issues raised by international human rights mechanisms. Others merely identified a particular issue related to a particular human rights and had no further reference to human rights instruments. For projects in countries that have particular sensitivities around various human rights issues, projects will need to be considered as part of long term strategic planning efforts to further the realization of all human rights. In these cases treaty body concluding observations, can be directly linked to programming. Hence, while a particular project may not directly address some of the more sensitive rights, long term planning in the area within which the HRBA project sits will allow for the progressive realization of these rights.

g Participation: All relevant stakeholders should be included in the programme planning, design and implementation (both duty bearers and right holders). Where possible both policy makers and rights holders should be consulted in ascertaining the multiple dimensions of non-realization of human rights and be engaged at the relevant levels in determining the best way to proceed with this work. In order to be manageable, this may involve NGOs and governments at the policy level and communities and local government representatives at the local level.

g Accountability: Implementing partners have a responsibility to the stakeholders involved to ensure transparency in planning, design and implementation as well as appropriate subsequent monitoring and evaluation for the programme as a whole, and for its outcomes in its various sites.

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Tips for HRBA Programming

These are recommendations for consideration during the programming planning, design and implementation phase that have emerged from the pilot projects’ experiences as well as from discussions held at the LLP workshop.

Tip 1: Ensure that either in the short or in the longer term there are mechanisms and strategies to address human rights issues highlighted in relevant treaty body concluding observations.

Example: In Fiji, the Women’s Right to Adequate Housing and Land project is part of an ongoing strategy of the Fiji Women’s Rights Movement (FWRM) and Pacific Regional Rights Resource Team (RRRT)/ UNDP Pacific Centre focus on women’s rights. This project was in part initiated as a follow up to the visit of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the right to non discrimination in this context to the Pacific and therefore the findings were also used for the reports of the Special Rapporteur. Further, the project in Fiji represents ongoing work in the region by both the UN and a number of NGOs. The Women and Adequate Housing Handbook that has been developed therefore can and will be adopted for future programming. The value of this strategic approach is that while the project may have met some resistance (notably in Tonga but also in Fiji) a regional consultation and further advocacy in this area are now being planned. These outcomes would simply not be possible unless the project was part of a broader long term strategic plan for the realization of women’s rights, and more particularly women’s rights to adequate land and housing.

Tip 2: Planning, designing and implementing HRBA projects should occur at both the macro level (project/policy level) and at the micro level (community level) with relevant stakeholders involved at either end of the spectrum. Further, planning should clearly identify mechanisms for sharing outcomes between communities and those responsible for broad project oversight. The involvement of local communities in the design and implementation of the project can significantly contribute to the sustainability of the project and its successes.

Example: In the Lao PDR water and sanitation project, programme planning occurred at the project level with relevant NGOs, government, bilateral and multilateral institutions attending a workshop to discuss ways to support the replication of the initial pilot programme to various regions in Lao PDR. Planning was subsequently undertaken at the local level with local government representatives, village leaders and the community more generally. At the village level local needs and resources were determined, processes for working with private contractors were established and information on the quality of service provision was provided to local government officials who in turn collected this information as part of the project’s monitoring and evaluation mechanisms.

Tip 3: Finding and engaging appropriate stakeholders (both rights holders and duty bearers) particularly those that can champion the project can significantly decrease the timing and increase the likelihood of success in the realization of rights. In this process, the creation of partnerships with key stakeholders is critical – partnerships with NGOs, communities, relevant government ministries, national human rights institutions etc.

Example: In Thailand, one of the initial trainers was a government official involved in non-formal education. As a result of his involvement in the project, when the national noon formal education policy was being reviewed he strongly advocated for a human rights-based approach. This was agreed to and the means to integrate HRBA in non formal education is now being considered.

Tip 4: Leave sufficient flexibility in the programme plan to allow for external factors beyond the control of the project team.

Example: Due to the extended harsh winter season in Mongolia, extractive operations are carried by mining companies between May till mid-October. During the rest of the year the industry is relatively idle, with little political tension surrounding the mining legislation. The LLP project partners soon realized that work related to the human rights of herders had to be undertaken when the industry was active. Consequently, the strategic mapping exercises of rights issues (which included the workshops to promote “participatory agreements” in the new mining legislation) had to be rescheduled to be undertaken during this critical period.

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Tip 5: Provide for regular reviews to ensure that learning at each stage of the programme can be addressed and changes implemented during the course of programming.

Example: In Afghanistan, evaluation has resulted in a number of planned changes to programming including delivery of community awareness programmes in a second language and the introduction of additional external and internal monitoring and evaluation advisors for various components of the programme in order to ensure a better understanding of the impacts and outcomes of the various projects involved.

Tip 6: Ensure that the implementation phase of programming is sufficient, recognizing that infrastructure and behavioural, cultural and policy changes take time and effort and that a hasty delivery may not be sufficient to bring about these changes and to meet rights holders’ expectations.

Example: In Afghanistan, the evaluation of the implemented activities in two pilot provinces showed that the short duration of the project activities (four to five months) in a given province was noted to significantly affect the sustainability of the impacts of the project. This issue was repeatedly raised by the implementing partner NGOs which conducted the components of the awareness raising through radio programmes and training on the constitutional right to defence counsel during criminal proceedings. According to NGOs the time frame did not allow for enough time to follow up on the issues/cases which had come up as a result of the project activities. In order to address this issue, in 2009 the time allotted to a number of activities including the case referral process will increase significantly.

Tip 7: Planning a communication strategy that engages the media to report on the work that has been undertaken in the area can strengthen advocacy for rights issues.

Example: In Mongolia, a communication strategy that strongly utilized and engaged with the media to advocate for herder rights was adopted. This included inviting journalists to join field missions and creating documentary style programmes aired on television based on conversations with the communities impacted by environmentally unsound mining practices as well as providing press conferences.

Tip 8: Where possible utilize or engage with relevant human rights mechanisms to support local, regional and international advocacy.

Example: By creating a consultation in partnership with the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the right to non discrimination in this context, the Fiji project on women’s rights to adequate housing and land was given a larger stage and provided with a wider international audience for this regional and later national based advocacy programme.

Tip 9: Where possible ensure that planning includes means by which rights holders can establish and ensure ongoing dialogue with duty bearers to communicate the needs and efficacy of approaches to realize rights.

Example: In Lao, community water user committees were created to both monitor water and sanitation systems and to provide regular feedback to district Nam Saat authorities on issues such as quality of service provision and maintenance.

The Tools

The planning, designing and implementing of programmes vary significantly. Some programmes engage all stakeholders from the start and some programmes do this incrementally. Most programmes have separate teams for each programme component or for each project that reports to a central decision making body, whether this be the implementing partners for the project (top down) or the local community themselves (bottom up). Some projects are premised on the idea that a given output can only be initiated once the previous stage has been completed whereas in other projects multiple outputs may planned and implemented simultaneously. For each and every project, the planning, decision making, design, implementation, monitoring and evaluation will be specific to the context and nature of the project itself. Hence, most of these issues and the tools for implementation are better explored in the sections that follow on the activities that make up a HRBA. It is, however, worthwhile to note two particular tools that have been used for planning – one for a large

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national project (Lao PDR Water and Sanitation) and one in a community based project (Thailand). These tools provide a basic outline of the steps and processes that have and can be followed when undertaking a HRBA to development projects.

UNICEF Seven Steps Implementation Approach adopted in Lao PDR

UNICEF supports a national strategy developed by the government of Lao PDR that allows for a more decentralized management of water supply and sanitation. This moves the decision making level closer to communities and has resulted in the adoption of a human rights-based approach to programming. Outlined within this strategy is the ‘Seven-Steps Approach’ to Rural Water Supply and Sanitation. This approach was launched in November 1997 and further simplified in 2001 (from 12 to seven steps). The methodology of the Seven-Steps Approach aims to ensure that the planning and works are coordinated correctly and efficiently through informed choice.

Seven Steps Approach Main Activities

Step 1: Desk Research, Data Collection and Reconnaissance Survey

u

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Data collection from various source of information like Statistic Centre, Partners concerned and lessons learned.

Assess on the human resource and their capacity in the project areas.

Assess real demand from villages, district and province.

Step 2: Review and Consultation Meeting on the Implementation Process

u

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Organize a consultation meeting on the strategy and approaches/steps to be used with the district and provincial coordination units(DCU and PCU respectively).

Conduct the pilot or demonstration project as lessons for the focal staff in the targeted villages.

Step 3: Draft Project Master Plan

u Draft and develop Master and Annual Work plan.

Step 4: Capacity Building and Training for the District and Provincial Levels

u Organize Community Dialogue Training for the focal staff.

Step 5: Conduct Community Dialogue and Develop Village Action Plan at the grass root level

u

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Promote hygiene education and sanitation at the villages.

Complete demand assessment in the villages.

Finish the technical survey for water and sanitation construction, design and budgeting.

Establish the village water and sanitation committee (WATSAN) and responsibilities.

Prepare agreement and contract with villagers.

Develop Village Action Plan (VAP)(what activity, where, time, who will take action, support/contribution share etc.)

Step 6: Physical Implementation and Construction

u

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Physical WES construction.

O&M training for the WATSAN committee.

Follow up & Supervision.

Step 7: Monitoring & Evaluation u

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Set up monitoring system.

Organize a review meeting for the past implementation. and planning workshop for the coming year.

The Seven Steps Implementation Approach focuses on community participation and dialogue, enabling communities to put forward their demands for supply, use, ownership and maintenance of services. A team from the Centre for Environmental Health and Water Supply, Ministry of Health (NAM SAAT) (Centre for Environmental Health and Water Supply, Ministry of Health) team presents different types of water supply and latrine systems to villagers, explaining how much each type costs and what contributions must be made by the community. This process also helps establish community user groups (WATSAN committees), which build village consensus on contribution rates, maintain water systems, promote hygiene messages, and liaise with

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officials. The process involves data collection, consultation, the development of both long term and short term project and village based action plans and monitoring and evaluation. Further, this approach is cyclical and provides for ongoing planning and review.

The ‘4 A’s Approach.

This approach provides a good example of how programming can be directly linked to human rights standards as articulated in the Stamford Common Understanding.

While the community of Ban Buphai primarily referred to rights enumerated within the constitution and national legislation these were drafted with a solid basis in the Universal Declaration of Human Rights. The training on how to practically implement HRBA programmes was directly derived from international human rights instruments. Referencing General Comment 13 of the Committee on Economic, Social and Cultural Rights on the right to education, the trainers encouraged project leaders to design their programmes consistent with the General Comments of the Committee on Economic, Social and Cultural Rights, stressing issues of availability, accessibility, acceptability and adaptability. In applying the four A’s to programming, community trainers were taught to consider the availability of services, resources and systems to address rights issues, to determine whether the most disadvantaged groups/individuals would be able to access these resources, services and systems and whether they would be acceptable within the cultural and social context of those individuals/groups. This approach encouraged community trainers to ensure that, when projects were designed, the needs and rights of the most disadvantaged individuals and families were considered, and that these individuals were explicitly involved in the programme planning. Further, this approach demanded that scope was built into programming to reflect on activities and adapt them as required. Finally, the 4 A’s were used to inform the monitoring and evaluation process, providing the benchmarks against which the success of the projects could be determined.

2. Situational Assessments

The Process

As noted in the Stamford Common Understanding the following are the elements of good programming practices that are also essential under the HRBA and relevant to situational analysis:

g Analysis includes all stakeholders;

g Situation analysis is used to identity immediate, underlying, and basic causes of human rights violations/development problems.

The following are the questions that must be asked in a situational analysis:

g What are the rights violations and denials, which rights are not being realized?

g Who are the poorest and most vulnerable communities and individuals and how can we find out?

g What is the legislative, policy and practice environment that has led to the denial of these rights? What are the immediate, underlying and basic causes of development problems?

In answering the questions, the following should be factored into the process:

g Disaggregated data: In collecting data to analyze the situation, where possible all efforts should be made to find out the impact of non-realization or violation of rights on various groups. Data at both the macro and micro levels, where possible and relevant, should be disaggregated by gender, age, disability, ethnicity, income and geographical location. Issues of inequity and discrimination will be more easily uncovered through the use of disaggregated data.

g Participation: All relevant stakeholders should be included in the situational assessment (both duty bearers and rights holders). Understanding of the legislative, policy and practice environment should not only consist of desk top research and national and local statistics. Where possible, both policy

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makers and rights holders should be consulted in ascertaining the multiple dimensions of non-realization of human rights. At this stage, partnerships should be established and actively engaged in the process.

g Accountability: Communities and government officers should be provided with the relevant findings of the situational analysis to both triangulate the findings and to engage all parties in the ongoing project.


These are recommendations for consideration during the situational assessment and analysis phase that have emerged from the pilot projects’ experiences as well as from discussions held at the LLP workshop.

Tip 1: Use situational analysis to engage both local communities and government. Engaging all stakeholders in the situational assessment not only empowers the communities involved, but also engages government on the relevant rights issues. This can greatly facilitate government participation in the project allowing capacity development and advocacy for the necessary changes in policy and government planning that may lead to the realization of rights.

Example: In Fiji, a regional Consultation on Women’s Right to Adequate Housing and Land was held in October 2004. During this regional consultation, women’s stories and case studies were documented and used to identify the issues and causal factors with respect to non realization of Pacific Island women’s rights to adequate housing and land. This process enabled participants to share their stories with relevant government stakeholders. This consultation process was also used to support the development of a framework for a HRBA analysis of women’s rights to housing and land to ground the advocacy work of NGOs and the UNDP in a rights-based thinking. The findings from the national and regional consultation were subsequently requested to inform Fiji’s National Strategic Planning for Housing in 2006.

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Tip 2: Ensure that situational analysis examines the economic, social and cultural context at both the macro and micro level to ensure that the analysis reveals the often multiple and interdependent underlying causal factors for non realization of rights.

Tip 3: While the Stamford Common Understanding notes situational assessment and analysis and capacity development as two distinct and essential elements of HRBA, they may need to be undertaken jointly or, in fact, capacity building, particularly around human rights for local communities, may need to come first before a community is able to explore the human rights issues that need to be realized.

Example: In Ban Buphai in North Eastern Thailand, a community based HRBA project was undertaken. In this project capacity development with respect to teaching the community about human rights and how to implement a Human Rights-Based Approach was the first activity that was undertaken and it informed the subsequent situational analysis of rights issues for the community.

Tip 3: When obtaining data from surveying, be aware of who is collecting the data and how the data is collected. In collecting the data, be sure that privacy is respected and that unless absolutely necessary personal data should not able to be attributed to individual survey participants. Additionally, those collecting the data should not be personally known to the participant. Be aware at all times of power relationships between the facilitator/surveyor and the participant, and between participants. In the case of focus group discussions, ensure that there are no, if minimal, power differentials between participants. This can be done by grouping participants in one or more of the following categories: gender; age; disability; income; geographical location; and ethnicity.

Example: The Thailand project was clearly participatory at every stage. There was significant consultation with the entire community and the project committee members clearly consulted with the marginalized in the community in undertaking work to advance their rights. These groups were given active responsibility for the project despite initial reluctance, and the outcomes for these groups were substantial, including training and provision of land by the community to increase their personal incomes. The only concern with this otherwise successful project was about the process for obtaining the information necessary to determine what projects would best support greater self sufficiency and income stability for the poorer members of the community. As part of the ToT programme, community members had a one day session on undertaking surveys. On the evening of the training, committee members went to the houses of the identified ”poor“ and interviewed them, asking them for an extensive list of personal details including annual income. This raises a very serious issue with respect to privacy.

Whether they were reluctant or otherwise, these families were effectively asked to provide personal information to members of their own community, in a situation where power relations would have been unlikely to have been equal. The ability of these families to actually deny this information would have been quite limited. This was a highly paternalistic and in some ways an invasive approach to surveying, particularly given the absence of anonymity. From a human rights perspective there was a clear violation of the right to privacy. However, the project was successful and the participants were consequently provided with significant resources in order to secure their livelihood. Furthermore, this type of positive paternalism was culturally acceptable and had resulted in a number of previously successful community development projects. The primary lesson from this project was that the same outcomes would have been possible if someone from outside the community had undertaken the surveying, and that greater monitoring of the content and process was required to ensure that there is no violation of rights even if it seems to be culturally acceptable.

The Tools

A variety of participatory tools were used by the projec reviewed by the LLP to explore the human rights dimensions and to provide appropriate information to inform project development. It should be noted that some of the situational assessments had been undertaken prior to the LLP phase of the project and hence, the following are the tools that were used for the situational assessment undertaken prior to the LLP;

g National and local statistics;

g Government, bilateral and multilateral agencies and NGO reports on rights issues;

g Systematic reviews of relevant legislation.

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The following are the tools used to undertake a situational assessment used for the LLP project:

National Consultations/Workshops: Fiji, Lao PDR, Mongolia and Viet Nam all undertook national consultations/workshops with relevant NGOs, government stakeholders and donors. These consultations not only provided information on the situation of rights holders, but also, in the case of Lao PDR and Mongolia, provided HRBA training to government. For both Fiji and Lao PDR, the situational assessment/capacity development explored as well as documented case studies and personal stories which informed, highlighted and provided powerful advocacy tools for HRBA and for the development of the programme.

Surveying and Focus Group Discussions: The Access to Justice at the District Level program in Afghanistan undertook an initial situational assessment in 10 districts in different regions to provide realistic data regarding the current state of the justice sector and the human rights challenged involved (see attachment B for survey questions).

General Observations and Challenges

In countries where there is a high degree of sensitivity on particular rights, project co-ordinators may choose to forego the collection of rigorous data on these rights issues and focus on less contentious ones. It may be argued that collecting evidence of sensitive human rights violations as part of the programme process can, in some instances, be counterproductive (at least in the short term) to the realization of other rights. The situational analysis itself, however, and the rigour of the data collected provides an invaluable tool for future advocacy, particularly with respect to providing objective data highlighting areas where governments are clearly not meeting their obligations. The decision whether to explore sensitive rights issues in the situational assessment of HRBA projects is therefore a country team decision that should be premised on strategic planning in the area.

Example: The Pacific Women’s Rights to Adequate Land and Housing project attempted to hold national workshops in Tonga to advocate for the HRBA to Housing and Land for Women. This however was met with opposition from the government and the consultations could not be held. UNDP, as part of its ongoing strategic planning for the realization of these rights in the region, responded by proposing further regional consultations. These consultations, aimed at regional intergovernmental agencies such as the Secretariat of the Pacific Community, Pacific Island Forum Secretariat as well as bodies such as UNESCAP and Commonwealth Local Governments will seek to further advocate for the HRBA to housing issues at the regional level, in an attempt to place ongoing pressure on governments that are sensitive to these issues. In this way, the information and resources collected through the initial situational analysis in Fiji can and will be used to further the human rights agenda in the region.

3. Capacity Building

The Process

Programmes assess the capacity of rights-holders to claim their rights and of duty bearers to fulfil their obligations. They then develop strategies to build these capacities (Stamford Common Understanding).

As should be clear from the section above, situational assessment and capacity development may, in a number of instances, not follow a clear progression from one to the other. However, this section will specifically focus on capacity development to enable an exploration of the issues, challenges, tools and approaches that may arise or be adopted when undertaking capacity development activities.

As noted in the Stamford Common Understanding, the following are elements of good programming practices that are essential under the HRBA and relevant to capacity development:

g People are recognized as key actors in their own development, rather than passive recipients of commodities and services;

g Strategies are empowering, not disempowering;

g Analysis includes all stakeholders;

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g The development process is locally owned.

The following are the questions that must be asked in a capacity building process:

Rights Holders:

g What do rights holders believe are the barriers to the realization of their rights?

g What are the capacities that are required to support rights holders to realize their rights?

g What skills/information do rights holders need to realize their rights? u Programming skills (HRBA, planning, evaluation, project management)? u Understanding of international human rights?u Understanding of local legal system and rights?u Opportunities to be involved in decision making, greater authority?u Livelihood skills?u Resources?u Language and literacy skills?

g Who do they believe are the duty bearers?

g What do they believe are the barriers to duty bearers meeting their obligations?

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Duty Bearers:

g Do duty bearers understand their responsibilities to respect, protect and fulfil human rights under international obligations?

g Do duty bearers understand their responsibilities to respect, protect and fulfil human rights under their legal system?

g What are the factors that are impeding duty bearers from realizing their responsibilities?

u Lack of resources – financial, infrastructure, or human (skills and institutional capacity).u Lack of authority – legal, moral, spiritual or cultural.u Lack of responsibility – refusing to accept obligations and demonstrating.

no political commitment to doing so.u Lack of coordination between levels and sectors.u Lack of knowledge or understanding of responsibilities.u Lack of security.u Lack of geographical access to rights holders.u Corruption.

g What do they need to overcome these impediments?

u Resources.u Knowledge of rights and responsibilities.u Formal mechanisms to engage with rights holders.u Authority to undertake decision making.u Mechanisms for greater co-ordination between various levels of government.u Mechanisms for ensuring their security.u Mechanisms or processes for overcoming geographical challenges.


In light of the fact that capacity development is contingent on the capacities of both duty bearers and rights holders in a particular context, the process for capacity development will vary from project to project. What needs to be undertaken, however, regardless of the project is building the knowledge of both communities and institutions on human rights and the HRBA. Other specific approaches that can and were adopted by the projects reviewed by the LLP were:

g infrastructure development (Afghanistan and Lao PDR);

g training courses on various aspects of the law for judicial officials and community (often religious) leaders (Afghanistan and Mongolia), including training to understand and apply provisions in the legislation for increased participation in the decision making process (Mongolia);

g national consultations on HRBA with government and NGOs (Lao PDR and Fiji);

g focus group discussions and meetings with media organizations and media training organizations on training and reporting on human rights issues (Vietnam);

g training on survey techniques;

g training on creating community based indicators (Thailand);

g training on participatory approaches to situational analysis, monitoring and evaluation and, the establishment of regular community dialogue with government (Lao), and;

g community based campaigns (Lao PDR, Afghanistan).

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Regardless of the approach adopted, HRBA requires that the following principles be taken into account;

g Bottom Up and Top Down: Both rights holders and duty bearers require capacity development, particularly around rights issues. See tips and challenges below.

g Equality and Non discrimination: It is critical that capacity development specifically includes the most marginalized and disadvantaged, particularly with respect to highlighting their rights. Great sensitivity is required, with recognition of vulnerabilities, language, cultural considerations and power dynamics.

g Participation: All relevant stakeholders should be included in the capacity development activities. Where possible both duty bearers and rights holders should be consulted on what they think are the key capacity limitations of duty bearers.

g Accountability: Communities and government officers should be provided with updates on the capacity development that is to being undertaken. Where possible senior officials need to be informed and engaged in the capacity development activity. Furthermore, local officials need to know that authorities are supportive of the activity.


These are recommendations for consideration during the capacity development phase that have emerged from the pilot projects’ experiences as well as from discussions held at the LLP workshop.

Tip 1: Successful case studies can gain support for the acceptance and adoption of HRBA by policy makers and communities. If no pilot project has been undertaken, use examples of successful programmes in your area or on the types of rights that you wish to realize. Evidence of successful programming in the form of case studies can support a human rights agenda even in politically sensitive environments. The caveat is that the nature of the programme itself necessarily needs to be relatively non-contentious. The introduction of human rights-based language, however, and familiarity with human rights-based programming could potentially lay the groundwork for future, more politically sensitive areas to be explored.

Example: In the case of Lao PDR, a previous pilot project on the right to water and sanitation, significantly increased the acceptance of the project by policy makers and greatly supported the national roll out of HRBA for water and sanitation projects. In Thailand, the success of Ban Buphai’s projects resulted in the adoption of the HRBA process in surrounding villages.

Tip 2: If resistance to the notions of human rights is likely, where possible highlight compatibility with local legislation or customary laws.

Example: In Afghanistan, in regards to the acceptance of the notions of human rights by the beneficiaries, both among the claim holders and duty bearers, it was reported by the implementing partners that they were mostly positively received. However, it should be noted that the training and the materials were not solely based on the international and statutory human rights notions, but were quite extensively “blended” with the corresponding Sharia principles which facilitated much their acceptance by the beneficiaries. To avoid the rejection of the human rights notions outright, the AJDL team often advised the implementing partner NGOs to discuss the rights covered by the training topics without calling them “human rights” and while highlighting their correspondence to relevant Islamic principles. A religious leader complimented the AJDL training content as being balanced and showing how notions of human rights are interlinked with the relevant Islamic principles, therefore not being “alien” to the Afghan society.

Tip 3: In working with vulnerable or disadvantaged communities, capacity development should be respectful and culturally and linguistically appropriate with explicit recognition of power dynamics to ensure that groups or individuals are not hindered from appropriate capacity development.

Example: In Balah and Herat in Afghanistan, after a review of the local capacity development activities for communities, it was found that a significant proportion of the population was not able to access the radio programmes because they were not delivered in their language. In order to reach at least a majority of Afghans, these programmes will now be broadcast in both the Dari and Pashtu languages.

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Tip 4: When selecting trainers to undertake a ToT on HRBA, make sure that they are representative of the communities that they are going to share their training with. If there are sensitivities regarding gender, ethnicity, disability, income, age or language in the region, make sure that members of these groups are able to receive the training and plan ways to address any potential power differential or obstacles to full participation.

Tip 5: If undertaking capacity development activities, make sure that the timing of the project activities coincides with a period where the maximum number of targeted stakeholders will be available to participate.

Example: In Afghanistan, a school programme was initially planned without taking into account school holidays. The programme schedule therefore needed to be adjusted to take into account the holidays.

Tip 6: Where possible, ensure that capacity building activities exist in complement to human rights training activities to support rights holders to not only be able to identify rights issues but also to be able to seek the fulfilment of rights from duty bearers. Recognizing the need for both the top down and bottom up approaches entails ensuring that communities are able to appropriately articulate their rights and have the resources and understanding to navigate formal institutional settings as well as ensuring that formal institutions are capacitated to mediate or address these issues.

The Tools

Traditional Training of Trainers techniques. Training can include training of rights holders and duty bearers on human rights issues and how to implement a HRBA, or on other relevant skills. These trainers in turn can train their communities/organizations on utilizing and adopting these skills.

Example: The Mongolia project used ToT techniques to work with community leaders, environmental groups and local administration to promote the provision in the new mining legislation on participatory agreements. These trainings were conducted during field missions to affected communities, and served the purpose of delivering non-formal legal education, improving access to information and strengthening local capacities for participation in decision making.

National Consultations: These consultations can bring together duty bearers or rights holders or both. While having both can support a dialogue on rights between duty bearers and rights holders, and provide a forum for duty bearers to hear the concerns and issues raised by communities, attention needs to be paid to any potential intimidation or security risk when addressing a sensitive rights issue. In the instances where this is likely to be the case, separate consultations for rights holders and duty bearers may be required. Importantly, documentation of the process can support future advocacy and ongoing application of a HRBA approach.

Example 1: Both Lao PDR and Fiji used regional/national consultations to not only highlight stories and testimonies that could later be used in the creation of a handbook on a human rights-based approach to adequate housing and land for women, but also more generally to raise awareness of the human rights-based approach.

Example 2: Lao PDR had a particular emphasis on educating duty bearers on the value of a human rights-based approach with particular reference to the initial case study in Luang Prabang and the success in the delivery and maintenance of water and sanitation. This was followed by training for both, village communities and government officials from central, district and provincial NAAM SAT offices in participatory rural appraisal, participatory situational analysis, and participatory monitoring and evaluation (M&E).

Workshops: Workshops to develop capacities of duty bearers to meet their obligations can be integral to programming and the successful long term realization of rights.

Example: The Mongolia project designed a workshop for the judiciary to raise their awareness of issues relating to environmental law and the impact of extractive mining practices on herder communities. For this, the project developed a judiciary manual on environmental law, engaged a former NY judge who worked on PIL cases and shared best practices in promoting human rights of vulnerable communities by the courts in India.

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Undertaking Mock and Dramatized Scenarios: This approach directly engages participants in potential scenarios and not only provides and teaches them the skills and information that are required but also helps lead them through the process, providing guidance on what to do and how to manage various situations.

Example: The project in Afghanistan employed mock trials in its various training sessions to allow the participants of the training to learn both the procedural and substantive aspects of the law. This was viewed as a valuable component of the training given that a number of participating justice sector professionals, including judges, were unfamiliar with the procedurals aspects of trials before the training.

Use of Media: Local radio can provide an invaluable source of information for local communities and has the advantage of accessing more remote areas. Radio programmes can take on a number of forms and hence can appeal to a variety of audiences.

Example 1: The AJDL in Afghanistan was also involved in local capacity development through the design and implementation of a radio programme comprising spots, debates, presentations, drama, songs and opinion surveys on human rights issues in the area of justice and rights. In Mongolia, print and broadcasting media has been extensively utilized to promote herder rights.

Example 2: In Mongolia, journalists were invited to join a strategic mapping exercise to capture the impact of mining practices on herder communities. The workshops where herder communities raised and discussed these issues were recorded and a documentary made that was used as part of a series of educational activities for other herder communities. This documentary was also aired on national television thereby raising awareness of the issue nationally.

Village public awareness campaigns: Again, this can take a number of forms.

Example: In Afghanistan, in conjunction with the radio programme, a village public awareness campaign has and will continue to be implemented which includes seminars, workshops, mobile theatre, video shows and poster exhibitions for around 500 villages in 60 districts (two-to-three actions per village).

School Based Education on Human Rights: School based education on human rights can be critical for long term acceptance of human rights and behavioural change.

Example: In Afghanistan legal awareness programmes were delivered to both teachers and students in primary and secondary schools. It was, however, noted that there was limited acceptance of notions of human rights by students in some schools and that the delivery of one-off programmes on this issue was contributing to the perception that the education programme lacked relevance to them. The programme is considering providing further and more rigorous education to teachers and possibly looking at means to embed human rights into the curriculum.

Project Implementation and Management Skills: Communities may not have the requisite skills to undertake and manage projects and may require support and a step-by-step guide on how to translate the principles of the HRBA to practice in their specific context.

Example: In Thailand, additional workshops were requested by the Ban Buphai community and representatives from the four other villages who were adopting the HRBA to address community issues. The request for incremental training on the practical application of the HRBA to project design and development highlighted a need for project management and development training skills to complement training on human rights laws and basic HRBA training.

Providing Resources/Tools for Evidenced Based Advocacy: Such resources/tools could include a compilation of case studies on how human rights issues are impacting on rights holders (Fiji, Mongolia), providing examples of how HRBA can support the realization or rights (Lao PDR, Fiji), or showing evidence of legal precedent in the form of case studies/guides to legislation on particular rights (Mongolia). Such a compilation can not only be used for evidenced based advocacy but also provide valuable guidelines on how the HRBA can be adopted to further the realization of human rights.

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What is highlighted in the instance of Viet Nam is that programming solely comprising capacity development activities would struggle to evidence consistency with the necessary and essential components of a human rights-based approach as defined under the Stamford Common Understanding. Though invaluable as a means for capacity development of communities, consultation for the production of a handbook on the HRBA alone, without any rigorous situational analysis or monitoring and evaluation would be difficult to argue to be in and of itself (under a strict interpretation of the Stamford Common Understanding) a HRBA project. While it had distinct components of the HRBA, such as increasing the awareness of rights by journalists (through its workshops and consultations), there was no rigorous situational analysis of the human rights landscape, there were no further activities to actually support journalists to report on human rights in the longer term (through networks etc), and, importantly, there were no mechanisms to monitor changes in human rights reporting over time. This is not to say that the project wasn’t of value, rather that there is a strong argument that the human rights-based approach had not been applied.

4. Monitoring and Evaluation

The Process

Programmes monitor and evaluate both outcomes and processes guided by human rights standards and principles (Stamford Common Understanding).

As noted in the Stamford Common Understanding the following are the elements of good programming practices that are essential under the HRBA and relevant to monitoring and evaluation:

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g Both outcomes and processes are monitored and evaluated;

g Participation is both a means and a goal;



g Both top-down and bottom-up approaches are used in synergy;

g Measurable goals and targets are important in programming;

g Programmes support accountability to all stakeholders.

The following are the questions that must be asked in monitoring and evaluation:

g What are the key goals/outcomes of the programme? What does success look like?

u What are the human rights that have been realized? u How can we tell whether they have been realized?

g What are the processes that need to be monitored and evaluated?

g How can they be monitored and evaluated? How will we know whether they are working well?

g Who will monitor and evaluate the programmes? At the macro level? At the micro level?

g Do those undertaking the monitoring and evaluation have the necessary skills to do so?

g What skills and resources are required for monitoring and evaluation at both the micro and the macro level of both outcomes and processes?

g How regularly will monitoring and evaluation take place?

g How will information from the micro level be gathered at the macro level?

g How will the outcomes from the monitoring and evaluation be tied in to programme planning?

g How will these outcomes be shared?

g How will the outcomes help to further the human rights agenda?


While monitoring and evaluation will be contingent on the project and the processes involved, a HRBA requires that the following principles be taken into account;

g Bottom Up and Top Down: Monitoring and evaluation is required at both the project level and at the community level. The outcomes as well as the process at both the community and the project level need to be regularly monitored and evaluated.

g Equality and Non discrimination: It is important that programmes are able to monitor the impact of programming on the most disadvantaged. Where possible data specifically needs to capture this impact. Further, the processes need to be monitored to ensure that these groups and individuals have been able to participate fully and that the processes have been appropriately designed and implemented such that no discrimination or violation of the rights of these groups has occurred at any of stage of the project. The monitoring and evaluation process needs to ensure that the design has been cognizant of the needs, capacities and power imbalances that may impact on these groups.

g Participation and Accountability: Representatives of all relevant stakeholders should be included in the monitoring and evaluation activities. Findings, outcomes and discussions of changes to the project will need to be discussed and shared with relevant project group representatives.

g Linkages to Human Rights Instruments: Outcomes should evidence realization of human rights, or at least identify the means by which the project will contribute to the future realization of rights. Clearly identifying how the outcomes and activities relate to international human rights standards and to the recommendations of international human rights mechanisms should also be an integral part of the process of UN country planning and programming.

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These are recommendations regarding monitoring and evaluation that have emerged from the pilot projects’ experiences as well as from discussions held at the LLP workshop.

Tip 1: Monitoring and evaluation should occur regularly throughout the project at both the macro (broad project level) and micro level (for each component of the project) with learning informing every stage of the programme cycle and providing valuable lessons to be considered in the roll-out of programmes in other locations.

Tip 2: Good indicators and baseline data must be identified from the very beginning to ensure appropriate monitoring of outcomes over time.

Tip 3: When surveying at workshops, participants need to evaluate not only the performance of the facilitators but also the value of the programme, the impact of the programme, their future use of the programme and additional information required for future workshops or for general information.

Tip 4: Monitoring and evaluation at the community level can significantly engage and secure ownership of locally based projects.

Example: See example in the section on capacity building.

Tip 5: In working with vulnerable or disadvantaged groups in communities, any monitoring and evaluation that involves surveying, focus group discussions or interviews requires consideration of the needs, capacities and power imbalances that may impact on these groups.

Tip 6: Do not presume that those undertaking monitoring and evaluation activities have the relevant skills to do so.

Example/s: In the Thailand project, some villages struggled to determine objective indicators for their programmes, proposing indicators that were about the happiness of disadvantaged groups that was to be determined by surveys by the project committee. An understanding of indicators and how to utilize more objective data had not been part of the initial programming, and therefore further work in this area was required.

Tip 7: Planning is required to ensure that project outputs, impacts as well as project partners’ processes are regularly monitored and evaluated.

In the case of Afghanistan, monitoring and evaluation by implementing partner NGOs was primarily focused on surveys of workshops undertaken and participant assessments of the performance in delivery. The project has had to re-examine the monitoring and evaluation processes to ensure that the processes and content for delivery of programmes by NGOs was included in the monitoring and evaluation plans for the overall project.

The Tools

Gathering the data

Qualitative and Quantitative Surveying (workshops, interviews, focus group discussions).

Indicators: Most of the projects reviewed by the LLP have utilized indicators both at the community and project level. In the projects a range of indicators were used in several areas, from measuring the outcomes of vocational training for communities (see attachment C for indicators used in the Thailand project) to service provision and delivery. In Fiji, the indicators were focused on workshop outcomes, though broader indicators on women’s rights are being developed and utilized in the Pacific region. These latter indicators are critical

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components of monitoring and evaluation for advocacy based programmes, which requires longer term monitoring of the human rights landscape and the impact of project work on the realization of these rights.

Participatory Monitoring and Evaluation: Lao PDR has implemented both formal monitoring and evaluation systems at the village level, with information provided by village committees and reports gathered by provincial authorities. Both the local authorities of NAM SAAT and the representatives from the villages involved initially had a training on participatory monitoring and evaluation to support this process. The systematic monitoring of the broader programme is undertaken by NAM SAAT Central with the planning units from the Ministry of Health, the Committee for Planning and Cooperation, the Ministry of Foreign Affairs and UNICEF.

Dissemination of Outcomes from Monitoring and Evaluation

Community Meetings: For Thailand, the monitoring occurs primarily at the village and CLC level with outcomes of each activity shared monthly with the whole community, determined by indicators produced by project groups. Meetings are also held with members of the various villages undertaking HRBA programmes to share progress and outcomes and to determine opportunities to work together or support each other in the realization of human rights.


Challenges Presented

Ascertaining changes in human rights over short time frames and being able to attribute these to project outcomes is extremely difficult. In the instances where human rights issues are localized and projects clearly focused on specific activities or service provision (rather than primarily on advocacy), monitoring is far more straight-forward. While reports from the international human rights mechanisms are produced regularly the tie with project based outcomes is uncertain and largely under-developed. Adopting a regional or national approach to monitoring human rights in particular areas of sensitivity, as has been undertaken in the Pacific for Women’s Rights, ensures that while directly linking programme outcomes to changes in the realization of human rights is difficult, programming is informed by human rights mechanisms and human rights indicators in broader national or regional monitoring. Indicators tied in with human rights instruments, monitoring of media reports and changes in policies can all be monitored at the country level over time and these can and should inform and be informed by projects undertaken.

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5. Key Takeouts: Lessons Learned from the LLP

The necessity of ensuring linkages with international human rights norms, standards and principles.

g An essential component of HRBA, reaffirmed by the Stanford Common Understanding, is that programming is guided by international human rights norms, standards and principles and is informed by the recommendations of international human rights mechanisms.

g It should be acknowledged that in the actual implementation of the projects examined by the LLP this requirement has not been consistently respected. This is probably due to the criteria for the selection of the projects, which did not explicitly demand it.

g Firmly linking programming to the international human rights instruments provides a legally binding framework for states that serves as an entry point for dialogue with duty bearers at all levels. Additionally, human rights standards help focus development objectives by providing the criteria to define the minimum content of the entitlements and obligations against which duty bearers can be held accountable. Finally, recommendations of international human rights mechanisms, by highlighting the main concerns of the international community on the human rights situation in a specific country, allow prioritisation of actions and can be a powerful tool for advocacy (as evidenced by the Fiji project).

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The necessity of both bottom up and top down approaches.

g The engagement of all stakeholders in the initial situational assessment is valuable not only for understanding the underlying basic causes of the rights issue, but also to help enlist the active engagement of government stakeholders. Furthermore, a rigorous situational assessment that takes into account social, economic and cultural factors at the macro, micro and meso level can ensure a more holistic approach to programming at the outset.

g Ongoing engagement and consultation with stakeholders to create opportunities and channels for dialogue between duty bearers and rights holders can significantly increase the probability of realizing sustainable outcomes.

g The essential criteria for good programming under the Stamford Common Understanding require that both top-down and bottom-up approaches are used in synergy, particularly with respect to capacity development around human rights. In the instance where human rights issues are contentious, serious capacity building strategies need to be in place to ensure that, though not necessarily required initially, a programme for capacity development of all parties is planned in one form or another.

g Certain human rights can be easily secured where community will and resources exist and this in itself can provide sufficient evidence to advocate for later government involvement.

g Despite the differences across programmes, it can be said that those programmes that had active government involvement (partly because they were less contentious) were more successful at realizing human rights on a larger scale at least in the short term.

g The implication of local empowerment without appropriate monitoring is that the structures that exist at the local level within communities may be reinforced or unquestioned through the programme design.

The necessity of addressing context: local customary law and negative local perceptions of rights.

g Where human rights may be perceived as contrary to customary law there may be opportunities to “blend” the informational and training materials based on the international and statutory human rights notions with the corresponding customs and principles of the relevant faiths and traditions. Finding commonalities in principles and ideas may greatly facilitate the engagement of beneficiaries with human rights without dismissing their local relevance.

g When international human rights norms can be potentially confronting and abstract from the lives of local communities, reference to the national constitution and law (where available) may be one way in which to show the direct connection between international human rights instruments and legislation that has direct reference to these communities’ lives.

g Understanding relevant legislation can be incredibly challenging for the communities. Simplified summaries of all the relevant legislation and case studies distributed to communities during the human rights training may support understanding in this area and provide a valuable resource tool for future use.

g Where the marriage of customary law and international human rights law is not possible, the UN agency needs to be clear on its position with respect to the human rights agenda, with a clear strategy for addressing this issue as part of a longer term strategy for the gradual realization of this right.

g Creating formal institutions that are also blended/directly engaged with or that explicitly recognize customary practices and/or administered by traditional justice providers may actually reinforce the integrity and allow change in traditional customary law, while also introducing potential flexibility and capacity into the legal system.

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The need for monitoring, evaluation and evidence.

g The sustainability of the programme and programme outcomes are dependent on appropriate, continuous monitoring, evaluation and feedback at all levels of programming. This reflects the critical importance of accounting for contextual factors that need to be monitored over time as well as the need to adjust programme implementation strategies to reflect relevant lessons learned over the previous period or in alternate locations. In order to do this good indicators and baseline data should to be identified from the outset of programming

g The creation and provision of appropriate materials derived from findings from programming and situational analysis can help support the replication of the programme in other locations as well as providing valuable tools for evidence based advocacy. This would include simplified explanations of relevant legislation and international law, case studies, action guides to a HRBA etc.

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Attachment A u The Human Rights-Based Approach to Development Cooperation

Towards a Common Understanding Among UN Agencies

Introduction

The United Nations is founded on the principles of peace, justice, freedom and human rights. The Universal Declaration of Human Rights recognizes human rights as the foundation of freedom, justice and peace. The unanimously adopted Vienna Declaration and Programme of Action states that democracy, development, and respect for human rights and fundamental freedoms are interdependent and mutually reinforcing.

In the UN Programme for Reform that was launched in 1997, the Secretary-General called on all entities of the UN system to mainstream human rights into their various activities and programmes within the framework of their respective mandates. Since then, a number of UN agencies have adopted a human rights-based approach to their development cooperation and have gained experiences in its operationalization. But each agency has tended to have its own interpretation of approach and how it should be operationalized. However, UN interagency collaboration at global and regional levels, and especially at the country level in relation to the CCA and UNDAF processes, requires a common understanding of this approach and its implications for development programming. What follows is an attempt to arrive at such an understanding on the basis of those aspects of the human rights-based approach that are common to the policy and practice of the UN bodies that participated in the Interagency Workshop on a Human Rights based Approach in the context of UN reform 3-5 May, 2003. This Statement of Common Understanding specifically refers to a human rights-based approach to the development cooperation and development programming by UN agencies.

Common Understanding

1. All programmes of development co-operation, policies and technical assistance should further the realisation of human rights as laid down in the Universal Declaration of Human Rights and other international human rights instruments.

2. Human rights standards contained in, and principles derived from, the Universal Declaration of Human Rights and other international human rights instruments guide all development cooperation and programming in all sectors and in all phases of the programming process.

3. Development cooperation contributes to the development of the capacities of “duty-bearers” to meet their obligations and/or of “rights-holders” to claim their rights.

1. All programmes of development co-operation, policies and technical assistance should further the realisation of human rights as laid down in the Universal Declaration of Human Rights and other international human rights instruments.

A set of programme activities that only incidentally contributes to the realization of human rights does not necessarily constitute a human rights-based approach to programming. In a human rights-based approach to programming and development cooperation, the aim of all activities is to contribute directly to the realization of one or several human rights.

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2. Human rights standards contained in, and principles derived from, the Universal Declaration of Human Rights and other international human rights instruments guide all development cooperation and programming in all sectors and in all phases of the programming process.

Human Rights principles guide programming in all sectors, such as: health; education; governance; nutrition; water and sanitation; HIV/AIDS; employment and labour relations and social and economic security. This includes all development cooperation directed towards the achievement of the Millennium Development Goals and the Millennium Declaration. Consequently, human rights standards and principles guide both the Common CountryAssessment and the UN Development Assistance Framework.

Human rights principles guide all programming in all phases of the programming process, including assessment and analysis, programme planning and design (including setting of goals, objectives and strategies); implementation, monitoring and evaluation. Among these human rights principles are: universality and inalienability; indivisibility; interdependence and inter relatedness; non-discrimination and equality; participation and inclusion; accountability and the rule of law.

These principles are explained below.

g Universality and inalienability: Human rights are universal and inalienable. All people everywhere in the world are entitled to them. The human person in whom they inhere cannot voluntarily give them up. Nor can others take them away from him or her. As stated in Article 1 of the UDHR, “All human beings are born free and equal in dignity and rights”.

g Indivisibility: Human rights are indivisible. Whether of a civil, cultural, economic, political or social nature, they are all inherent to the dignity of every human person. Consequently, they all have equal status as rights, and cannot be ranked, a priori, in a hierarchical order.

g Inter-dependence and Inter-relatedness: The realization of one right often depends, wholly or in part, upon the realization of others. For instance, realization of the right to health may depend, in certain circumstances, on realization of the right to education or of the right to information.

g Equality and Non-discrimination: All individuals are equal as human beings and by virtue of the inherent dignity of each human person. All human beings are entitled to their human rights without discrimination of any kind, such as race, colour, sex, ethnicity, age, language, religion, political or other opinion, national or social origin, disability, property, birth or other status as explained by the human rights treaty bodies.

g Participation and Inclusion: Every person and all peoples are entitled to active, free and meaningful participation in, contribution to, and enjoyment of civil, economic, social, cultural and political development in which human rights and fundamental freedoms can be realized.

g Accountability and Rule of Law: States and other duty-bearers are answerable for the observance of human rights. In this regard, they have to comply with the legal norms and standards enshrined in human rights instruments. Where they fail to do so, aggrieved rights-holders are entitled to institute proceedings for appropriate redress before a competent court or other adjudicator in accordance with the rules and procedures provided by law.

3. Programmes of development cooperation contribute to the development of the capacities of duty-bearers to meet their obligations and of “rights-holders” to claim their rights.

In a HRBA, human rights determine the relationship between individuals and groups with valid claims (rights-holders) and State and non-state actors with correlative obligations (duty- bearers). It identifies rights-holders (and their entitlements) and corresponding duty-bearers (and their obligations) and works towards strengthening the capacities of rights-holders to make their claims, and of duty-bearers to meet their obligations.

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Implications of A Human Rights Based Approach to Development Programming of UN Agencies

Experience has shown that the use of a human rights-based approach requires the use of good programming practices. However, the application of “good programming practices” does not by itself constitute a human rights-based approach, and requires additional elements.

The following elements are necessary, specific, and unique to a human rights-based approach:

a) Assessment and analysis in order to identify the human rights claims of rights-holders and the corresponding human rights obligations of duty-bearers as well as the immediate, underlying, and structural causes of the non-realization of rights.

b) Programmes assess the capacity of rights-holders to claim their rights and of duty bearers to fulfil their obligations. They then develop strategies to build these capacities.

c) Programmes monitor and evaluate both outcomes and processes guided by human rights standards and principles.

d) Programming is informed by the recommendations of international human rights bodies and mechanisms.

Other elements of good programming practices that are also essential under a HRBA, include:

1. People are recognized as key actors in their own development, rather than passive recipients of commodities and services.

2. Participation is both a means and a goal.

3. Strategies are empowering, not disempowering.

4. Both outcomes and processes are monitored and evaluated.

5. Analysis includes all stakeholders.

6. Programmes focus on marginalized, disadvantaged, and excluded groups.

7. The development process is locally owned.

8. Programmes aim to reduce disparity.

9. Both top-down and bottom-up approaches are used in synergy.

10. Situation analysis is used to identity immediate, underlying, and basic causes of development problems.

11. Measurable goals and targets are important in programming.

12. Strategic partnerships are developed and sustained.

13. Programmes support accountability to all stakeholders.

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Attachment B u Samples of Questions Used During Field Missions in Afghanistan

Note: not all of these questions have been used in every contact, but the following should give a good idea of the sort of questions asked. Depending on interlocutors, the responsiveness of the stakeholders and time constraints, the team went through a slightly different list of questions in each meeting.

g Who in the district settles disputes brought forward by citizens?

g What kind of disputes is brought forward by citizens?

g What is the relation between local shuras, the District Court, police and prosecutors, and the Governor’s Office?

g Is there any external influence exerted on the district court officials?

g Do you think that the population in the district is aware of its rights under the Afghan Constitution?

g Do the local shuras refer cases to the District Court and if yes, which cases or in which situations?

g Is the District Court notified of decisions taken by local shuras?

g What are the most pressing problems in your community regarding rights of citizens?

g Are there any female shuras established in the district?

g Is there a working relationship between male and female shuras?

g What is the level of school attendance, for girls and boys?

g What is the level of qualification of school teachers, male and female?

g What are the obstacles to higher enrolment in schools?

g How are serious criminal cases like murder dealt with in the district?

g What is the minimum age for girls and boys to get married in local practice?

g What is the position of officials and elders in the districts towards under-age marriage?

g What, according to you, makes a good judge for the community?

g Do you see a need for greater capacity for the District Court, in terms of personnel and facilities?

g Does the District Court take up an appellate function towards the local shuras in certain cases?

* Note: Afghan law prescribes the minimum age for marriage as 16 years for girls and 18 years for boys. This is, however, regularly by-passed by citizens and officials alike.

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Attachment C u Project Indicators ThailandOutcome from Group Discussions

Day 4 (18 October, 2007)

Refresher Training on Rights-Based Approach Programming for CLC Committees, Ubon Ratchathani, Thailand

1. Indicators

Ban Buphai Sub-district

Human Right Issues Indicators

1. Equity and equality 1.1

1.2

1.3

1.4

1.5

1.6

1.7

1.8

Unity among all members of the community;

Participation in all community’s activities;

Right to acquire and use the funds borrowed including community welfare;

Utilization of public land resources throughout community;

Helping disadvantaged persons together;

Right to live together/non-discrimination;

Setting up committees for security purposes;

Community members gain more income.

Sukwattana Sub-district


1. Elderly persons and disabled persons’ welfare

1.1

1.2

1.3

1.4

Participation in all community’s activities;

Receiving community welfare;

Right to work (occupation);

Setting up committees for security purpose.

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Nune Sung Sub-district


1. Reservoir and National Park overlay community members’ land

1.1

1.2

1.3

Getting better Community economic;

Getting compensated land for those who effected from reservoir and national park overlay community members’ land;

Supporting from government agencies continuously (especially from Royal Irrigation Department and Royal Forest Department).

Nune Ruang Sri


Education

Community welfare for community members as well as for disadvantaged persons

1.1

1.2

1.3

1.1

1.2

1.3

Responding to Education base on the need of community raise by community committees;

Sharing some profit from all community funds to support all children in community;

Setting priority to Education for disabled persons.

Receiving welfare with equally for all elderly persons;

Assistance to disadvantage persons to look for jobs and gain income;

Assistance to disadvantage persons/homeless disabled persons to have their own residence and food as well as support them to participate in community development.

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