Indicators For Human Rights Based Approaches To .
Indicators for Human Rights Based Approaches toDevelopment in UNDP Programming: A Users’ GuideMarch 2006
AcronymsACHPRAfrican Charter of Human and Peoples’ RightsACHRAmerican Convention on Human RightsCATConvention Against TortureCEDAW Convention on the Elimination of All Forms ofDiscrimination against WomenCERDInternational Convention on the Elimination of allForms of Racial DiscriminationCOCountry OfficeCOECouncil of EuropeCRCConvention on the Rights of the ChildECHREuropean Convention on Human RightsFAOFood and Agriculture OrganizationFIDHInternational Federation of Human Rights LeaguesGDPGross Domestic ProductHDIHuman Development IndexHRBAHuman Rights Based ApproachHRBPHuman Rights Based ProgrammingICCPRInternational Covenant on Civil and Political RightsICESCR International Covenant on Economic, Social, andCultural RightsINGOSInternational Non-Governmental OrganizationsNGOSNon-Governmental OrganizationsNHRINational Human Rights InstitutionsOHCHR Office of the High Commissioner for Human RightsOMCTWorld Organization Against TorturePQLIPhysical Quality of Life Index
Indicators for Human Rights Based Approachesto Development in UNDP Programming:A Users’ GuideMarch 2006
Executive SummaryThis is a practically oriented Guide on indicators for humanrights based approaches to development programmesfor UNDP COs. The Guide contains separate sections on different aspects relating to the development and use of indicatorsacross the key elements of human rights programming. TheGuide summarizes the normative evolution in human rightsand explains how human rights have been mainstreamedinto the activities of all UN agencies. It also reviews the mainexisting indicators for human rights and discusses their limitations for human rights based programming. Two hypotheticalprogramme examples on access to clean water and the prevention of torture are used to show how indicators can be usedfor human rights programming. Finally the Guide offers adviceon how COs can use indicators for all phases of programmedesign, implementation, monitoring, and evaluation.
Table of Contents1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12. Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23. Categories and Dimensions of Human Rights and the Implicationsfor Developing Human Rights Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43.1. Categories of Human Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43.2 Dimensions of human rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44. Important Information and Data Sources for Measuring Human Rights:Standards, Principles and Official Statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64.1 Human rights in principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74.2 Human rights in practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74.2.1 Events-based data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74.2.2 Data based on experts’ judgement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84.2.3 Survey-based data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84.3 Official statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84.3.1 Official Statistics as approximate measures of human rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104.4 Limitations of commonly used human rights data sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104.4.1. Information source bias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104.4.2 Validity, reliability, and transparency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114.4.3. Variance truncation and aggregation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115. Developing Indicators for Human Rights Based Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125.1.1 Indicators for understanding the human rights situation at the country level . . . . . . . . . . . . . . . . . . . . . . 125.1.2 Indicators for assessing the capacities of rights holders and duty bearers . . . . . . . . . . . . . . . . . . . . . . . . . . 135.1.3 Incorporating human rights principles in the design,implementation and monitoring of UNDP programmes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145.1.4 Impact assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146. Recommendations for Using Indicators in Human Rights Based Programming . . . . . . . . . . . . . . . . . . . . . . 186.1 Programme results matter as much as programme processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .186.2 Robust initial assessment of human rights situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186.3 Aims and objectives need to be well defined . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186.4 Monitoring and evaluation procedures should be specified in the design phase . . . . . . . . . . . . . . . . . . . . 186.5 Use multiple indicators and multiple sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187. Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197.1 Conceptual and methodological sources on indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197.2 Data sources for national level indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Scale of Torture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Worker Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20A ppendix: Glossary of key terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
AcknowledgementsThis document has been authored by Dr Todd Landman,Department of Government, University of Essex (todd@essex.ac.uk) in close collaboration with Alexandra Wilde and EmilieFilmer-Wilson (UNDP Oslo Governance Centre) and ThordPalmlund (HURIST). The authors acknowledge with greatappreciation the substantive comments and inputs from thefollowing people: Rajeev Malhotra (OHCHR), Christian Resch(UNDP), Joachim Nahem (UNDP), Hans-Otto Sano (DanishInstitute of Human Rights) and Thomas Winderl.The document has been produced jointly by HURIST, the jointprogramme of UNDP and OHCHR for human rights strengthening, and the UNDP Governance Indicators’ Project, based inthe Oslo Governance Centre.
1IntroductionThis Guide has been developed in response to UNDPCountry Office (CO) demand for practical guidance onselecting and developing indicators for assessing humanrights based development programmes. The Guide outlines existing human rights indicators, shows how theymay be incorporated into human rights based programmes (HRBP), and develops a framework for assistingCOs in using indicators for assessing human rights standards and principles in project programming.To help COs in their in-country HRBP, the guide specifiesseveral critical areas for using indicators.(i) Understanding the human rights situation at thecountry level through the identification and use ofindicators that can be used to provide an assessment of the baseline human rights situation.(ii) Understanding the capacities of individuals andgroups as ‘rights holders’ to claim their rights as wellas the capacities of state institutions as ‘duty bearers’ to promote and protect human rights on theground1 .These areas are based on the UNDP Guide on Applyinga Human Rights Based Approach to Development Cooperation and Programming and the UNDP Practice NoteHuman Rights in UNDP,2 both of which identify the priority areas for focusing UNDP’s support.The guide is divided into five parts.Part 1 reviews briefly the historical evolution of humanrights principles and standards (including their different categories and dimensions) and the developmentof human rights based approaches to development(HRBA).Part 2 reviews the main existing human rights indicatorsthat have been developed and provides guidance on different information sources, including event-based data,data based on expert judgements, and survey-baseddata. It then shows how these sources can be used forin-country HRBP.Part 3 shows how human rights indicators can be developedand/or applied in human rights based programming.( )(iii) Identifying and using indicators for ensuring theincorporation of human rights principles in thedesign, implementation and monitoring of UNDPprogrammes(iv) Identifying and using indicators to determine thelikely impact of programmes on furthering humanrights in the countryPart 4 provides guidance on using indicators in UNDPHRBP.Part 5 contains a list of resources on human rights measurement and the use of indicators.The appendix includes a glossary of key terms on indicators and human rights.
2ContextOver the last decade, and certainly since the 2000 UNDPHuman Development Report: Human Rights and HumanDevelopment,3 there has been an increasing convergencewithin the development and human rights agencies ofthe United Nations system in realizing the need for avariety of different indicators that reflect human rightsconcerns. From the side of international development,the demand for indicators comes from the need to mainstream human rights into development projects and tomonitor and implement a human rights-based approach(HRBA) to development more generally. From the side ofhuman rights, the demand has come from recognitionamong the human rights treaty monitoring bodies, theOffice of the High Commissioner for Human Rights, anda variety of Special Rapporteurs on the need to developindicators to monitor state compliance with humanrights treaty obligations.» The realization of human rights,» The use of human rights standards and human rightsprinciples in guiding development cooperation andprogramming, and» Capacity building for both ‘duty bearers’ to meet theirlegal obligations and ‘rights holders’ to claim theirrights.5The human rights principles to guide development programming identified in this agreement are:61. Universality and inalienability2. Indivisibility3. Interdependence and interrelatedness( )Human rights scholars and practitioners working inthe academic and non-governmental sector have beendeveloping a wide range of indicators since the early1970s, such that there is now a range of indicators acrossdifferent categories and dimensions of human rightsthat may be useful for HRBP. The categories of humanrights include civil, political, economic, social and culturalrights, all of which have found formal legal expressionin international human rights instruments. In additionto the normative development of human rights and theproliferation of legal instruments for their protection,the demand for mainstreaming human rights into allaspects of the UN’s work, including UNDP, has led to theUN Common Understanding on the Human Rights BasedApproach to Development.4 This Common Understandingcommits all UN agencies to:4. Equality and non-discrimination5. Participation and inclusion6. Accountability and the rule of lawThese six principles draw on the normative evolution ofhuman rights and are crucial for how human rights canbe promoted, protected and realized through development cooperation activities.Table 1. Main International Human Rights TreatiesNameDate when openfor signatureInternational Covenant on Civil and Political Rights (ICCPR)1966International Covenant on Economic, Social, and Cultural Rights (ICESCR)1966Optional Protocol to the International Covenant on Civil and Political Rights1976Second Optional Protocol to the International Covenant on Civil and Political Rights1989International Convention on the Elimination of all Forms of Racial Discrimination (CERD)1966Convention on the Elimination of All Forms of Discrimination against Women (CEDAW)1979Convention against Torture and other Cruel, Inhuman, or Degrading Treatment or Punishment (CAT)1984Convention on the Rights of the Child (CRC)1989Convention on the Protection of All Migrant Workers and Members of their Families1990Source: http://www.ohchr.org
Table 2. List of human rights protected under international law1Non-discrimination21Freedom of opinionand expression41Compulsory primary education2Life22Freedom of the press42Humane treatment whendeprived of liberty3Liberty and security of the person23Freedom of assembly43Protection againstimprisonment for debt4Protection against slaveryand servitude24Freedom of association44Expulsion of aliens only by law5Protection against torture25Participation in government45Prohibition of war propagandaand incitement to discrimination6Legal personality26Social security46Minority culture7Equal protection of the law27Work47No imprisonment for breachof civil obligations8Legal remedy28No compulsory or forced labour48Protection of children9Protection against arbitrary arrest,detention, or exile29Just and favourable conditionsof work49Access to public service10Access to independentand impartial tribunal30Trade unions50Democracy11Presumption of innocence31Rest, leisure and paid holidays51Participation in culturaland scientific life12Protection againstex post facto laws32Adequate standard of living52Protection of intellectualproperty rights13Privacy, family, homeand correspondence33Education53International and social orderfor realizing rights14Freedom of movementand residence34Participation in cultural life54Political n55Economic self-determination16Marry and found a family36Protection of andassistance to children56Women’s rights17Protection and assistanceof families37Freedom from hunger57Prohibition of the death penalty18Marriage only with freeconsent of spouses38Health58Prohibition of apartheid19Equal rights of men andwomen in marriage39Asylum20Freedom of thought,conscience and religion40Property( )
3Categories and Dimensions of Human Rights and theImplications for Developing Human Rights IndicatorsRights have a long tradition in theory and history, buthuman rights are a modern set of individual and collective rights that have been formally promoted andprotected through international and domestic law sincethe Universal Declaration of Human Rights in 1948. ThisDeclaration contains thirty articles delineating all humanrights that ought to be protected. Since the Declarationwas not legally binding, the international communityhas established a series of international treaties that arelegally binding for state parties and that have expandedboth the scope and depth of those rights that oughtto be protected (see Table 1). The 1966 InternationalCovenant on Civil and Political Rights (ICCPR), the 1966International Covenant on Economic, Social, and CulturalRights (ICECSR), the First and Second Optional Protocolsto the ICCPR, and the Universal Declaration itself formwhat is known as the International Bill of Human Rights.( )There are additional human rights treaties at the regionallevel, most notably the 1950 European Convention onHuman Rights (ECHR), the 1969 American Conventionon Human Rights (ACHR), and the 1981 African Charteron Human and Peoples’ Rights (ACHPR)7, which havemechanisms for rights protection for state parties in thesedifferent parts of the world. To date, no such mechanismhas been established for any part of the Asian region.Taken together, these international and regional instruments for the promotion and protection of human rightshave increasingly represented a global consensus on aset of rights that ought to be protected. However, a precise enumeration of human rights may vary dependingon the type of reading given to the various human rightsinstruments. Table 2 lists a total of 58 human rights foundin the international law of human rights.3.1. Categories of Human RightsThe normative evolution of rights has given rise to twobroad categories of human rights:(i) Civil and political rights uphold the sanctity of theindividual before the law and guarantee his or herability to participate freely in civil, economic, andpolitical society. Civil rights include such rights asthe right to life, liberty, and personal security; theright to equality before the law; the right to protection from arbitrary arrest; the right to the dueprocess of law; the right to a fair trial; and the rightto religious freedom and worship. Political rightsguarantee involvement in public affairs, and includesuch rights as the right to speech and expression;the right to assembly and association; and the rightto vote and political participation.(ii) Economic, social, and cultural rights promote individual flourishing, social and economic development,self-esteem, and identity. Economic and social rightsinclude such rights as the right to a family; the rightto education; the right to health and well-being;the right to work and fair remuneration; the right toform trade unions and free associations; the right toleisure time; and the right to social security. Culturalrights maintain and promote sub-national culturalaffiliations and collective identities, and protectminority communities against the incursions ofnational assimilationist and nation-building projects.They include such rights as the right to the benefitsof culture; the right to indigenous land, rituals, andshared cultural practices; and the right to speak one’sown language and to ‘mother tongue’ education.3.2 Dimensions of human rightsIn addition to these two broad categories, there are alsodifferent dimensions to human rights. While traditionally,civil and political rights have been seen as the ‘negative’ri
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