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Global Principles for the Capacity Assessment of National Human Rights Institutions

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Eight Global Principles for capacity assessments of NHRIs have been identified on the basis of considerable experience and good practices developed over the years. These principles encompass compliance with human rights norms and standards, highlighting the values that underpin effective practices. The Global Principles and the wealth of analysis contained in this volume guide and strengthen capacity assessments and development of NHRIs across the world.
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lobal Principles
for the Capacity Assessment
of National Human Rights
Institutions
ANHRI
The Global Alliance of National Human Rights Institutions (ANHRI), formerly known as
the International Coordinating Committee of National Institutions for the Promotion and
Protection of Human Rights (I), is the international association of national human rights
institutions from all parts of the globe. Established in 1993 as I, ANHRI promotes and
strengthens national human rights institutions (NHRIs) to be and work in accordance with
the Paris Principles, and provides leadership in the promotion and protection of human
rights worldwide.
OHHR
The mission of the Office of the High Commissioner for Human Rights is to work for
the protection of all human rights for all people by helping to empower them as well
as assisting those responsible for upholding their rights.
UNDP
Empowered lives. Resilient nations.
United Nations Development Programme (UNDP) partners with people at all levels of
society to help build nations that can withstand crisis, and drive and sustain the kind
of growth that improves the quality of life for everyone. On the ground in nearly 170
countries and territories, we offer global perspective and local insight to help empower
lives and build resilient nations.
Copyright UNDP 2016. All rights reserved.
lobal Principles
for the Capacity Assessment
of National Human Rights
Institutions
2Global Principles For The Capacity Assessment Of National Human Rights Institutions
List of Acronyms and Abbreviations
Acknowledgements
Joint Foreword
Introduction
Objectives
Concepts and definitions
Methodology
Document Overview 
National Human Rights Institutions
& apacity Assessments 
. Capacity assessment and NHRIs:
A brief history 
. Key features of capacity assessments 
. Key issues identified by the
Sub-Committee on Accreditation 
lobal Principles 
Principle 
Pluralism, inclusion and participation 
Principle 
NHRI independence and ownership 
Principle 
Confidentiality 
Principle 
Transparency 
Principle 
Sensitivity to context
and regional specificity 
Principle 
Learning and accountability 
Principle 
Implementation and follow-up 
Principle 
Respect for rule of law and normative
frameworks 
Identifying Capacity Issues 
. Leadership 
. Institutional arrangements 
... Organizational structure 
... Accessibility 
... Mainstreaming gender equality 
. Knowledge 
... Institutional understanding, skills,
training, policy and strategy 
... Knowledge management 
. Accountability 
. Protection activities 
. Promoting human rights 
. Advice and assistance to government 
. Stakeholder engagement 
. Human rights monitoring 
Carrying Out Capacity Assessments 
. Scheduling and planning 
. Timing and readiness of NHRI 
. Capacity assessment team 
. Role of UNT 
. Language 
. Preparatory visit 
. Assessment visit 
. Findings and recommendations 
. Debriefing 
. CA reports 
Data Collection and Analysis 
. Focus groups 
. Interviews with external stakeholders 
. Questionnaires 
. Scoring and quantitative data 
Follow-Up and Sustainable hange 
Table of Contents and
List of Tables and Figures
Table of Contents and List of Tables 3
Table  Law and the normative framework 
Table  Paris Principles 
Table  Leadership 
Table  Accessibility 
Table  Knowledge and learning 
Table  Protection activities 
Table  Key capacity areas in complaints
management from CA reports 
Table  Promotion activities 
Table  Advice and assistance
to government 
Table  Stakeholder engagement 
Table  Scheduling and planning 
Table  Timing and readiness of NHRI 
Table  Capacity assessment team 
Table  Role of UNCT 
Table  Language and capacity
assessments 
Table  Preparatory visit 
Table  Capacity assessment visits 
Table  Findings and recommendations 
Table  Capacity assessment reports 
Table  Focus groups 
Table  Questionnaires 
Table  Scoring and quantitative data 
Table  Standard deviations 
Figure  Capacity-building pyramid 
Figure  Sample capacity guide statement 
Figure  Capacity Gap 
Conclusion 
References 
Annex 
lossary 
Annex 
CA Report Templates 
Annex 
Sample Capacity Issues
From Three CA Reports 
ADR Alternative dispute resolution
A-A African Gaps Analysis Methodology
AP Asia-Pacific
APF Asia Pacific Forum of National Human Rights Institutions
A Capacity assessment
AP Capacity assessment partnership
D Capacity development
MS Complaints management system
O Country Office
SO Civil society organization
ENNHRI European Network of National Human Rights Institutions
F Focus groups
ANHRI lobal Alliance of National Human Rights Institutions (formerly I-NHRI)
HRBA Human rights-based approach
I-NHRI International Coordinating Committee of National Institutions
for the Promotion and Protection of Human Rights (now ANHRI)
I-SA See SA
IHRP International Council on Human Rights Policy
IT Information and communications technology
IT Information technology
M&E Monitoring and evaluation
MOU Memorandum of understanding
NANHRI Network of African National Human Rights Institutions
NHRI National Human Rights Institution
OHHR Office of the High Commissioner for Human Rights
RWI Raoul Wallenberg Institute of Human Rights and Humanitarian Law
SA Sub-Committee on Accreditation of the Global Alliance
of National Human Rights Institutions
TMB Treaty Monitoring Body
TOT Training of trainers
UNT United Nations Country Team
UNDP United Nations Development Programme
UNE United Nations Evaluation Group
UPR Universal Periodic Review
List of Acronyms
and Abbreviations
4lobal Principles For The Capacity Assessment Of National Human Rights Institutions
This document is the product of an extensive process coordinated by the United Nations
Development Programme (UNDP) under the auspices of the Tripartite Partnership of the Global
Alliance of National Human Rights Institutions (ANHRI, formerly I-NHRI), the Office of the High
Commissioner for Human Rights (OHCHR) and the UNDP. We are grateful to the partners for their
sustained support and engagement.
Regional Networks Special thanks to the Asia Pacific Forum of National Human Rights Institutions
(APF), the Network of African National Human Rights Institutions (NANHRI), the European Network
of National Human Rights Institutions (ENNHRI), and UNDP Regional Hub for Europe and IS for
their input and participation.
Consultees The following individuals are gratefully acknowledged for their time and insights in
the context of consultations: John Dwyer, Senior Consultant on National Human Rights Institutions;
Evelyn Edroma, UNDP Policy and Programme Specialist, Rule of Law, Justice, Security and Human
Rights Team; Kieren Fitzpatrick, Director, Asia Pacific Forum Secretariat; Director, Debbie Kohner,
Secretary General, European Network of National Human Rights Institutions, Regional Coordinator,
Permanent Secretariat of the European Network of NHRIs; Antje Kraft, UNDP, Human Rights Policy
Specialist, Rule of Law, Justice, Security and Human Rights Team; Alan Miller, past Chair, Scottish
Human Rights Commission, former ENNHRI Chair and former I Secretary; Jasmina Mujkanovic,
Human Rights, Rule of Law, Justice & Security Consultant, Regional Center for Europe and IS,
UNDP; Flavia Mwangovya, Programs Manager, NANHRI; Jason Naum, Head of the Thematic Unit/
National Human Rights Institutions, Raoul Wallenberg Institute; Rosslyn Noonan, International
Human Rights Consultant, former I-NHRI Chairperson and former Chief Commissioner of the New
Zealand Human Rights Commission; Aliro Omara, Chair, Human Rights Centre Uganda; Katharina
Rose, ANHRI (formerly I-NHRI) Geneva Representative; Beate Rudolf, Chairperson of the Global
Alliance of National Human Rights Institutions and Director of the German Institute for Human
Rights; Gilbert Sebihogo, Executive Director, Permanent Secretariat NANHRI; Margaret Sekaggya,
Executive Director, Human Rights Centre Uganda, former Chief Commissioner of the Uganda
Human Rights Commission; Sisi Shahidzadeh, Deputy Chief, National Institutions and Regional
Mechanisms Section, OHCHR; Ahmed Shahid, Senior Consultant, APF, doctoral candidate, Sydney
Law School, University of Sydney; Chris Sidoti, human rights lawyer, Senior International Consultant;
former Secretary General, Australian Human Rights Commission; Vladlen Stefanov, Chief, National
Institutions and Regional Mechanisms Section, OHCHR; Isabelle Tschan, Regional Advisor, Human
Rights, Rule of Law, Justice & Security, Regional Center for Europe and the CIS, UNDP.
Project management Project management was provided by the UNDP Rule of Law, Justice,
Security and Human Rights Team through the sustained guidance and support of Ana Patricia Graça,
Policy Advisor for Rule of Law, Justice and Human Rights; Antje Kraft, Justice and Human Rights
Policy Specialist, and Sarah Rattray, lobal Policy Specialist for Human Rights.
Writer and Researcher Global Principles for the Capacity Assessment of National Human Rights
Institutions was researched and written by Pearl Eliadis.
Acknowledgements
5
6Global Principles For The Capacity Assessment Of National Human Rights Institutions
Joint Foreword
As national entities with broad responsibility for the promotion and protection of human rights,
National Human Rights Institutions (NHRIs) are a key element of the national protection system.
They can act as an important “bridge” within society – linking government, parliament, various
other state entities, academic and research centres, civil society organizations (CSOs) and the
international, regional and national human rights protection systems.
Independent and effective NHRIs can play an important role in:
Upholding and reinforcing the rule of law, good governance and the effective
administration of justice;
Combatting discrimination and advocating for the protection of minorities,
indigenous populations and vulnerable groups;
Facilitating legal and institutional reform and the improvement of security institutions,
such as the police and the prisons administration;
Monitoring places of deprivation of liberty.
The Principles on the Status and Functioning of National Institutions for the Promotion and
Protection of Human Rights (the Paris Principles, endorsed by United Nations General Assembly
resolution 48/134) require NHRIs to be: established by the constitution or law; provided with
a broad mandate to promote and protect human rights; independent from the government;
accessible; widely representative of the different components of society, and supplied with
adequate human and financial resources.
The mandates of NHRIs also include encouraging governments to ratify international human rights
treaties, implement recommendations formulated by international human rights mechanisms, and
ensure compliance of domestic legislation and policies with international and regional standards.
NHRIs monitor the situation of human rights in their respective countries and share their findings
and recommendations with the authorities and the wider public. They contribute to raising
awareness on human rights issues, enhancing human rights education and training and, more
broadly, creating a culture of respect for human rights.
Foreword 7
NHRIs can promote new approaches to indicators and data collection, for instance encouraging
their disaggregation so as to expose possible grounds for discrimination prohibited under
international law. NHRIs are amongst the actors that can play an active role in the promotion
and implementation of a human rights-based approach to development and the Sustainable
Development Goals, especially Goal 16, so as to ensure justice for all, as part of the 2030
Development Agenda.
Working in parallel on both sides of the social contract, with the authorities and civil society, NHRIs
regularly provide evidence-based information and insight on chronic and emerging human rights
issues and patterns.
To play these demanding roles effectively, NHRIs require solid capacities to safeguard their
independence and resilience to possible changes in governance infrastructures or political
changes. The lobal Alliance of National Human Rights Institutions (ANHRI), the United Nations
Development Programme (UNDP) and the Office of the United Nations High Commissioner for
Human Rights (OHCHR) have developed a dedicated partnership to support NHRIs. They have
commissioned the Global Principles and the wealth of analysis contained in this volume to guide
and strengthen capacity assessments and development for NHRIs across the world.
Co-operation with NHRIs is built on capacity assessments to identify capacity gaps and develop
targeted capacity development strategies and programmes. These assessments promote internal
learning and accountability and create some structured space for forward-looking reflection and
planning.
Eight Global Principles for capacity assessments of NHRIs have been identified on the basis of
considerable experience and good practices developed over the years. These principles encompass
compliance with human rights norms and standards, highlighting the values that underpin effective
practices. The lobal Principles also stress the importance of communication and co-operation
among NHRIs, capacity assessment practitioners, and regional and global networks of NHRIs, while
ensuring that the roles and responsibilities of stakeholders, facilitators and partners are mutually
understood, transparent and agreed upon.
We trust the Global Principles will permit experts and partners to share approaches to the design of
effective CAs that reflect human rights standards and good practice.
Zeid Ra'ad Al Hussein
UN High Commissioner
for Human Rights
Beate Rudolf
Chairperson
Global Alliance of National Human
Rights Institutions
Helen lark
Administrator
United Nations Development
Programme
8Global Principles For The Capacity Assessment Of National Human Rights Institutions
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

Pluralism, inclusion and participation
NHRI independence and ownership
Confidentiality
Transparency
Sensitivity to context and regional specificity
Commitment to learning and accountability
Commitment to implementation and follow-up
Respect for the rule of law and normative frameworks
Introduction
Principle 1
Principle 2
Principle 3
Principle 4
Principle 5
Principle 6
Principle 7
Principle 8
Introduction 9













lossary at Annex 1










Figure 1










Objectives
Concepts and definitions
Methodology
10 Global Principles For The Capacity Assessment Of National Human Rights Institutions





Section 1

Section 2


sections 345







section 6





Document Overview
Introduction 11
Chairperson, National Commission for Human Rights of Rwanda. 12th ICC International Conference, Merida
Credit: National Human Rights Commission of Mexico
National Human Rights
Institutions & apacity
Assessments
Photo: UN Photo/Albert Gonzalez Farran
1.1 Capacity assessment and NHRIs:
A brief history
1.2 Key features of capacity assessments
1.3 Key issues identified by
the Sub-Committee on Accreditation
14 Global Principles For The Capacity Assessment Of National Human Rights Institutions
























National Human Rights
Institutions & apacity
Assessments
1.1 Capacity assessment and NHRIs: A brief history
National Human Rights Institutions & Capacity Assessments 15
¹




















Promoting compliance with the Paris Principles;
Strengthening the interface among NHRIs and between NHRIs and international and regional
organizations;
Enabling the network (NANHRI) to respond “quickly and appropriately” to requests for
assistance.











The UNDP Capacity Assessment Practice Note introduces the UNDP approach to supporting capacity de-
velopment and the basic principles underlying it. The companion guide provides the practical application of
the methodology, with a detailed step-by-step guide to conducting a CA, using the UNDP CA Framework,
which consists of a three-step process and supporting tools (UNDP 2008, 2008a).
16 Global Principles For The Capacity Assessment Of National Human Rights Institutions



baseline assessments




see Figure 1















1.2 Key features of capacity assessments
Figure 1 Capacity-building pyramid (Source RWI)
Paris
Principles
Human
Rights
Operational
Capacity
Functional Capacity
National Human Rights Institutions & Capacity Assessments 17
They are not formal evaluations that pass judgment on the institution;
They serve not only as “snapshots” of institutional capacity at a given point in time; they are
also blueprints for capacity development. In this sense, they offer a point of engagement with
NHRIs at a critical juncture in their development, connecting CAs to capacity-building;
They cover ground that is at least partially the terrain of strategic planning and other planning
and processes. As a result, these types of CAs should be embedded in the NHRI’s internal
environment through a link to other processes and internal exercises, like strategic plans,
organizational reviews and institutional or project evaluations;
They use the concept of a “gap analysis”, regardless of the formal title of the method, (See the
discussion on “capacity gaps” in the Glossary, Annex 1) to describe the disparity between where
the institution should be, or wants to be, on a given capacity issue and where it is actually;
They acknowledge, directly or indirectly, NHRI statutes and the Paris Principles as central to
understanding and benchmarking capacity, but have evolved to address a range of NHRI
functions based on good practices and lessons learned.












Recommendations relating to the selection and appointment of the governing/decision-
making body of the NHRIs (including guarantee of tenure, duration of tenure and pluralism
of body). Recommendations of this type were by far the most numerous;
Recommendations related to the adequacy of NHRIs’ funding were the second most
common type;
The third most common type of recommendation focused on ensuring an adequately wide
mandate for NHRIs and related considerations about the scope of NHRIs’ functions and
responsibilities.



1.3 Key issues identified by the Sub-Committee on Accreditation
lobal Principles
A Commission officer talking with residents of the devastated Sunkoshi area
following the April 2015 earthquake. Credit: National Human Rights Commission of Nepal
Principle 1
Pluralism, inclusion and participation
Principle 2
NHRI independence and ownership
Principle 3
Confidentiality
Principle 4
Transparency
Principle 5
Sensitivity to context and regional specificity
Principle 6
Learning and accountability
Principle 7
Implementation and follow-up
Principle 8
Respect for rule of law and normative
frameworks
20 Global Principles For The Capacity Assessment Of National Human Rights Institutions
















Pluralism, inclusion and participation
NHRI independence and ownership
Confidentiality
Transparency
Sensitivity to context and regional specificity
Commitment to learning and accountability
Commitment to implementation and follow-up
Respect for the rule of law and normative frameworks


lobal Principles
Principle 1
Principle 2
Principle 3
Principle 4
Principle 5
Principle 6
Principle 7
Principle 8
Global Principles 21












Engaging with and involving each staff person and member of the NHRI in the CA, giving equal
weight to the informed views of all persons across the organizational hierarchy;
Actively seeking views about the NHRI through effective consultation and cooperation with
external stakeholders.





Applying the principle in practice
Internally 

Focus groups to identify core capacity issues;
Anonymous surveys or questionnaires based on the identified capacity issues. Answers are
subsequently ranked for each of the selected capacity areas. The data is then disaggregated to
provide more detailed and textured information about diverse views, enabling the identification
of issues that may be specific to particular sub-groups.
Externally

Principle 1 Pluralism, inclusion and participation
22 Global Principles For The Capacity Assessment Of National Human Rights Institutions








 










Applying the principle in practice
The NHRI leadership is independent: it requests the capacity assessment and is not pressured
to do so by the government or other external actors;
Independence and ownership over the CA process is documented in a memorandum of
understanding (MOU) negotiated early in the process to secure the agreement of the NHRI,
to share common understandings of the advantages, risks and disadvantages of the CA, and
to set out the roles and responsibilities of the NHRI and the CA team;
The MOU formalizes the commitment of the CA team to the CA process, and that of the NHRI
to cooperating with the process and to learning and accountability through follow-up and
implementation of the CA report and its recommendations;
The NHRI gives the CA team the responsibility of facilitating the process. The team comprises
a group of “trusted peers,” and typically includes former senior officials from other NHRIs in the
region, peer assessors from other regional NHRIs and staff from UNDP and/or OHCHR from
other countries;
The CA team undertakes the capacity assessment; the NHRI receives and comments on the
draft CA report, as well as on the final CA report;
NHRI ownership implies that the NHRI will have control over the release of the final report.
The MOU generally provides that the final report will be disclosed at least to staff, and that
the NHRI will provide a comprehensive summary of the CA report on its website. In the AP
context, the MOU generally requires the NHRI to consider the public release of the full report.
Principle 2 NHRI independence and ownership
Global Principles 23

















Applying the principle in practice
The principle of confidentiality applies to both the NHRI and the CA team in their respective areas
of responsibility;
The NHRI commits to respecting the confidentiality of feedback given by staff and members;
no one will be subject to reprisal;
The CA team undertakes to respect the confidentiality of all aspects of the process;
In terms of the self-assessment techniques used in the CA process, confidentiality is protected by
minimizing the chance that the views of individual staff members will be communicated to their
own managers or to NHRI leadership in general. In practice this means, for example, that focus
groups should not include both managers and their staff;
Notes from focus groups and responses to questionnaires are confidential and are disclosed only
to the CA team;
The CA team cannot disclose the report. The disclosure and dissemination of the report is
controlled by the NHRI, including disclosure to the public or to the SCA;
In the event that a staff member experiences reprisal as a result of the CA process, mechanisms
should be in place to ensure that staff members are protected. Possible mechanisms should
include a process to alert the CA team leader and referral to the internal NHRI mechanism that
generally handles internal allegations of discrimination or harassment, or to independent NHRI
members. Such mechanisms should generally be designated in advance, potentially through
the MOU process. They should complement each other.



Principle 3 Confidentiality
24 Global Principles For The Capacity Assessment Of National Human Rights Institutions











Applying the principle in practice


How the CA process is conducted;
The relationship between the CA team and the NHRI;
The disclosure of information within NHRIs and to stakeholders and the broader public.
Transparency in conducting the CA






Transparency between the CA team and NHRI









Transparency among stakeholders and the public




Principle 4 Transparency
Global Principles 25








In an East African country, the final results of a CA
were shared with stakeholders and the broader
development community, providing highlights,
methodology and key priorities.
The NHRI agreed to the presentation, which was
conducted jointly by the CA team and the NHRI just
after the CA concluded: the presentations about the
CA process and its outcomes were made by the
Chief Commissioner, UNDP and the external facili-
tator. The NHRI leadership attended the session, as
did key staff members and the NHRI liaison to the
CA process.
Invitations were also extended to members of the
international community and to donors, as well as to
the representatives of civil society who had partici-
pated in the external consultations. Given that seri-
ous concerns had been expressed, especially among
stakeholders, about the commitment and credibility
of the NHRI and the CA process in general, the pres-
entation was very well received, as it disclosed can-
didly the capacity gaps of the NHRI, as well as the
areas of capacity-building needed to support insti-
tutional development.
The resulting increase in trust and credibility led
directly to the development of a project document,
prepared by UNDP and based on the CA findings,
leading in turn to funding for two major areas iden-
tified by the CA report.
Country example
26 Global Principles For The Capacity Assessment Of National Human Rights Institutions




()
() ()





















Applying the principle in practice
Institutional development






Connection to other processes





is

Principle 5 Sensitivity to context and regional specificity
Global Principles 27







Enabling environment









Political will to support the NHRI;
Attitudes/perceptions of the international community/donors;
Attitude of the media and the broader ‘public profile’ of the institution;
Acceptance of the institution by CSOs;
Existence and impact of external regulations and rules, including public service administrative
rules that may affect the institution;
Existence of, and interaction with, parallel or “competing” institutions.





The enabling environment of a particular NHRI may
include other parallel or competing public institutions
that have general or specialized human rights man-
dates. In the case of an African NHRI, an established
government agency in the justice department had
been functioning for years as a de facto NHRI, even
though it was not independent from government.
The CA report of a new NHRI analysed the views
of the commissioners with regard to the impact of
the established agency on the capacity of the new
NHRI, including its ability to communicate its role to
the public and avoid confusion. The CA report made
recommendations with regard to future negotiations
between the two institutions and proposed an MOU
to address the impasse of functional overlaps.
Country example
28 Global Principles For The Capacity Assessment Of National Human Rights Institutions















Serve to identify capacity issues and indicators that will benchmark progress;
Support evidence-based approaches to capacity development;
Systematically document the CA process.




Applying the principle in practice


















Principle 6 Learning and accountability
Global Principles 29



A preparatory mission or preliminary exchange to confirm the intent and readiness of the NHRI;
The development of an MOU, setting out roles and responsibilities, clarifying expectations and
committing the NHRI to disclosing the report (if accepted) to staff, as well as to some form of
review process or follow-up, as appropriate;
A commitment by NHRI leadership to implement findings on a priority basis, working with
regional or international partners.




An NHRI undertook a CA shortly after an external
evaluation had generated a list of recommendations
that the institution had already started implement-
ing. The CA was initiated as part of a regional strat-
egy to support capacity development in the region. A
senior official of another NHRI served as a member
of the CA team to facilitate the exchange of experi-
ences between the institutions.
The CA report built on previous recommendations,
assessed progress to date and introduced new strat-
egies for moving forward, including a specific strat-
egy dealing with accountability that addressed exter-
nal aspects of accountability such as public reporting,
as well as a commitment to full reporting of the
NHRI’s internal and external evaluations.
Staff later reported the CA process had opened up
lines of communication and encouraged participation
in a way that had not previously occurred. By creat-
ing an internal space for reflection about the insti-
tution and its future development, the CA process
fostered an environment whereby staff and mem-
bers were consciously working towards improving
the NHRI’s capacity, based on a new, shared under-
standing of the institution. The leadership’s account-
ability for results meant that the CA recommenda-
tions could be documented and tracked. Finally, the
CA team member from the other NHRI returned
with greater experience of and expertise in the CA
process.
Country example
30 Global Principles For The Capacity Assessment Of National Human Rights Institutions













Principle 7 Implementation and follow-up
An NHRI underwent a CA in 2012 and then adopted
the CA report’s recommendations. The recommen-
dations were implemented through an ongoing
series of strategies and actions.
Three years later, the regional network and the NHRI
embarked on discussions to carry out a review to
follow up on progress. The objectives of the pro-
posed 2015 review were identified as follows:
Identify and record the NHRI’s progress in imple-
menting the recommendations of the 2012 CA;
Identify barriers to full implementation and ways
to overcome them;
Provide, for their consideration, advice to the
incoming NHRI members on priorities in the
development of the next stage of capaci-
ty-building and for possible incorporation in a
new strategic plan, and
Contribute to the regional understanding of the
impact of the CA process.
The NHRI team agreed and proposed that the review
team comprise one member of the regional network
and one member of the NHRI.
Country example
Global Principles 31









Legal framework





Applying the principle in practice



Table 1


Principle 8 Respect for rule of law and normative frameworks
Common Practice hallenges Lessons Learned
Examine the legislative/
normative context in detail, i.e.,
constitutional and legislative
texts, to identify key capacity
issues
Moving beyond “capacity on
paper” to functional capacity to
protect and promote human rights
Integrating norms from regional
regimes (e.g., Europe) that interact
with national law
Reproducing legal texts makes the
CA report long and unwieldy
Legal standards are necessary
but not sufficient. “Paper review”
of laws and Paris Principles must
be supplemented by a functional
assessment
Integrate regional standards, where
applicable (e.g., intergovernmental
mechanisms such as the African
Union and the European Union)
Laws and constitutional provisions
are placed in annexes to reports,
whereas relevant analytical
discussions of capacity connected
to the legal framework are included
in the CA report
Table 1 Law and the normative framework
32 Global Principles For The Capacity Assessment Of National Human Rights Institutions
The Paris Principles


minimum





³


For example, one commission had the power to issue summons in its statute, but the CA report noted that
the power was rarely used. The capacity gap was based on comparing the legal authority with the lack of
legitimacy or authority in practice.
Using the Paris Principles as a source of external standards has been criticized as inappropriate for certain
local contexts, especially as regards independence. See, e.g., Julie Merton, “Evaluating NHRIs: Considering
Structure, Mandate, and Impact”, in Human Rights, State Compliance and Social Change: Assessing National
Human Rights Institutions, Ryan Goodman and Thomas Pegram (eds) (New York: Cambridge University
Press, 2012) cited in Carver 2014, p. 3.
Common Practice hallenges Lessons Learned
Analyse “implementation gaps,”
where powers exist in law but are
not actually used,² to inform key
capacity issues
Moving beyond “capacity on
paper” to functional capacity to
protect and promote human rights
Integrating norms from regional
regimes (e.g., Europe) that interact
with national law
Reproducing legal texts makes the
CA report long and unwieldy
Legal standards are necessary
but not sufficient. “Paper review”
of laws and Paris Principles must
be supplemented by a functional
assessment
Integrate regional standards, where
applicable (e.g., intergovernmental
mechanisms such as the African
Union and the European Union)
Laws and constitutional provisions
are placed in annexes to reports,
whereas relevant analytical
discussions of capacity connected
to the legal framework are included
in the CA report
Address areas where the NHRI is
not complying with its own laws
or where laws are ambiguous or
have internal gaps
Addressing deficiencies in
enabling laws is the prerogative
of the government, and is not the
responsibility of the NHRI
At the request of the NHRI,
the CA mission can be used as
an opportunity to meet with
government and legislative officials
to raise the issue of advocating for
amending the law where needed
Table 1
Global Principles 33








Applying the principle in practice




Table 2


Sections 6.2 and 6.3 of the SCA Rules of Procedure provide the Sub-Committee with
authority to develop ‘General Observations’ on common and important interpreta-
tive issues on the implementation of the Paris Principles. Accreditation applications
are assessed in relation to the Paris Principles as interpreted through the SCA General
Observations.
An NHRI in a post-conflict country operates pursu-
ant to legislation that confers a wide mandate, as
would be expected of an “A” status institution. It
also has been given separate authority pursuant to
a peace process to investigate and monitor human
rights violations and crimes against humanity that
took place during the conflict.
The NHRI underwent a CA, and several capacity gaps
and issues were identified. While the Paris Principles
may have been relevant to the general issues raised,
the principles by their very nature are not designed
to be detailed enough to support a CA process, at
least not in isolation. Consider, for example, the fol-
lowing issues:
Capacity for strategic advocacy, including in rela-
tion to the CA recommendations;
Capacity to develop annual work plans in consul-
tation with regional offices;
Capacity to ensure communication flows within
the NHRI, between central office and regional
offices and across other divisions and offices;
Capacity to coordinate, collaborate and commu-
nicate regularly with justice sector actors to fol-
low up on and advocate for implementation of
the NHRI recommendations, and to monitor the
criminal justice system;
Capacity to undertake investigations and moni-
toring in a skilled manner due to adequate train-
ing, including introductory courses, targeted
forensic exhumation and other specific skills
modules.
Country example
34 Global Principles For The Capacity Assessment Of National Human Rights Institutions
Common Practice hallenges Lessons Learned
Use the Paris Principles as external
standards to identify capacity
issues
Determining how explicit the
discussion of the Paris Principles
should be, given that CAs are not
“compliance mechanisms”
The Paris Principles are minimum
standards: the CA process requires
a level of detail and benchmarking
of functions that exceed the scope
of general principles
The Paris Principles provide critical
information about the capacity
issues against which NHRI
performance is benchmarked
across multiple capacity areas
OR they can be reflected through
a single generic capacity issue,
e.g., “compliance with the Paris
Principles”
Paris Principles form a critical
part of capacity issues but are not
“the whole story” Benchmarking
capacity requires information
from a range of elements, e.g.,
legal standards, the UNDP CA
Framework, good practices, etc.
Use the Paris Principles to
benchmark capacity issues
connected to independence,
pluralism, breadth of mandate,
funding, diversity of members
and staff, appointments, tenure
and removals, and legal immunity
Developing the Paris Principles for
other functional areas
The Paris Principles are relevant
across all areas of institutional
and functional capacity
Distinguish the CA process from
the accreditation process
Using the Paris Principles may
generate confusion between the
CA and the accreditation process
Advance briefings, concept notes
and MOUs help to ensure a clear
understanding of the process and
its objectives, and to distinguish
CA and accreditation processes
A majority of reports do not
invoke or use the SCA General
Observations as a source of
information about capacity issues
Inadequate use of the General
Observations to supplement the
more general Paris Principles
SCA General Observations
provide supplementary, practical
information on a range of capacity
issues and are useful for CAs
across a range of functional areas
(see below)
Table 2 Paris Principles
Global Principles 35
The following functional capacity areas are derived from the SCA General Observations and can
serve as additional points of reference in relation to the capacity to undertake or assure:
Complaints handling and alternative dispute resolution (ADR) for NHRIs that have the
jurisdiction to accept complaints;
Autonomy in terms of methods of operation (e.g., funding, taking up any issue, publicizing
a position, stakeholder engagement, etc.);
Contribution to national reports and preparation of independent reports for treaty monitoring
bodies (TMBs), universal periodic reviews (UPRs) and special procedure mechanisms in the
international system;
Monitoring of detention facilities, whether as national preventative mechanisms or as part
of the general mandate;
Preparation and wide distribution of annual reports on the national situation with regard
to human rights in general and on more specific matters;
Provision of effective remedies to address human rights violations.
Palestinian law enforcement in Ramallah take part in a training program run by the Independent Commission on Human Rights
Credit: Palestinian Independent Commission on Human Rights
Identifying Capacity Issues
Human rights “study club” for school girls; Gulhi Island, Maldives
Credit: Human Rights Commission of the Maldives
3.1 Leadership
3.2 Institutional arrangements
3.3 Knowledge
3.4 Accountability
3.5 Protection activities
3.6 Promoting human rights
3.7 Advice and assistance to government
3.8 Human rights monitoring
38 Global Principles For The Capacity Assessment Of National Human Rights Institutions












 See Annex 3: Sample capacity issues from three CA reports.
Who identifies capacity issues?








Identifying Capacity
Issues
Identifying Capacity Issues 39








See Table 3.
3.1 Leadership
Table 3 Leadership
Common Practice hallenges Lessons Learned
Define leadership functionally,
i.e., not only NHRI members but
also senior staff, and sometimes
middle management
Sensitivity to criticism;
encouraging leaders to share
responsibility and authority
Ensuring that staff can
comment candidly on
leadership
Identifying specific or
minority concerns
A broader definition of leadership means
that NHRI members are less likely to take
criticism personally (Principle: pluralism,
inclusion and participation)
Effective CA processes generate
transparent, reliable information and
enhance the credibility of the overall
process (Principle: transparency)
Protect the identity of all staff and
leadership in the CA process (Principle:
confidentiality)
Disaggregate data from questionnaires
to pinpoint and address divergent views,
e.g., by gender, region, occupational
classification, etc. (Principle: pluralism,
inclusion and participation)
Ensure pluralism in the leadership
in reference to diversity, gender,
ethnic groups
Addressing other areas such
as disability, indigenous
status, etc., as appropriate
Questionnaires can include other areas or
aspects of identity, including disability, as
appropriate (Principle: pluralism, inclusion
and participation)
Include questions about
independence, i.e., willingness
to speak out, take sensitive or
difficult positions; to “stand up”
to government when required
Addressing these issues in
a report may be politically
sensitive
NHRIs must balance the
need to speak out with
institutional survival in some
cases
CA processes sometimes address very
sensitive issues through meetings or
side reports (Principles: confidentiality,
transparency)
CA reports should address the political
context in which NHRIs operate to
place this issue in context (Principles:
transparency; sensitivity to context and
regional specificity)
40 Global Principles For The Capacity Assessment Of National Human Rights Institutions
Sample indicators


Pluralism (diversity) of leadership group;
Independence/capacity to withstand pressure from government authorities;
Reputation and credibility;
Capacity to understand and implement vision, mission;
Capacity to fully utilize staff skills, expertise;
Capacity to foster an environment where all are motivated, feel “heard”;
Human resources, including the extent to which pluralism is fostered.














Sample indicators

Organizational policies, rules and values, as well as clearer and more detailed reporting
structures and job descriptions;
The division of roles and responsibilities;
The implementation of measures to support equality and anti-discrimination.
3.2 Institutional arrangements
3.2.1. Organizational structure
Identifying Capacity Issues 41





See Table 4.
Sample indicators

Geographic accessibility to people in different parts of the country, including
in remote regions and rural areas;
Communications channels and media platforms for the public, e.g., print media,
electronic media and social media;
Accessibility to marginalized or vulnerable populations, including people with disabilities.
3.2.2. Accessibility
Table 4 Accessibility
Common Practice hallenges Lessons Learned
Address accessibility in general
terms
Addressing the many dimensions
of accessibility
Each aspect of accessibility should
be clearly and separately assessed
where appropriate
Effective programmes of outreach
and information dissemination,
including, where applicable,
translation into local languages
(Principles: pluralism, inclusion
and participation; transparency)
Address accessibility for persons
with disabilities
Integrating requirements of the
UN Convention on the Rights of
Persons with Disabilities, and the
role of NHRIs as independent
mechanisms
Principles of universal design
can be used to promote physical
accessibility
Accessibility for people with
disabilities requires closer and
systematic attention in CA reports
Outreach programmes to people
with disabilities, ensuring they can
access the NHRI and its services,
as well as provide input on its work
(Principles: pluralism, inclusion and
participation; transparency; respect
for the rule of law and normative
frameworks)
42 Global Principles For The Capacity Assessment Of National Human Rights Institutions




Sample indicators

Gender equality among staff, at all levels of the organization;
Gender equality among leadership;
Gender-based approaches to programming;
Gender mainstreaming;
Internal capacity to undertake gender-based analysis of government budgeting.
Lessons learned













Sample indicators

Understand and implement the NHRI’s mandate, objectives, roles and responsibilities;
Understand and apply the law, including international human rights law;
Understand and implement the technical skills to perform roles;
3.2.3. Mainstreaming gender equality
3.3 Knowledge
3.3.1. Institutional understanding, skills, training, policy and strategy
Identifying Capacity Issues 43
Access training opportunities;
Assess training impacts, including through self-evaluation, peer learning and integration of
learning into work;
Develop standard operating policies/strategies for implementing the mandate of the NHRI;
Obtain English-language training.


Table 5
Sample indicators

Monitor and evaluate M&E systems capture, manage and use administrative data and
information, and harness it to develop internal policies and standard operating procedures (SOPs);
Develop databases and information management systems IT systems automate processes
and facilitate the retrieval of information that is easy to use and accessible to staff internally
(including those in regional offices), and serve as an electronic repository of public information
and other documents in the public domain, including to persons with disabilities;
Research and write reports Lack of internal capacity to undertake analytic research and report
writing is noted in the majority of CA reports. In particular, staff have indicated the need for
training and professional development in these areas.
3.3.2. Knowledge management
Table 5 Knowledge and learning
Common Practice hallenges Lessons Learned
M&E systems Strengthening M&E systems
Building capacity to determine
whether the institution is making
an impact on human rights in the
country
Improved M&E systems support
improved internal and external
accountability
Enhanced capacity to manage
complaints systems, track
complaint management data and
improve annual reporting can, at
least in part, address both these
challenges
44 Global Principles For The Capacity Assessment Of National Human Rights Institutions
Internal accountabili 
sections 3.13.2
section 3.6


See Table 6








Undertake impartial/thorough investigations;
Investigate in a timely manner;
Follow up recommendations (monitor and compliance) (Carver, 2014, p. 21).
Common Practice hallenges Lessons Learned
Complaints handling and
investigations systems and
internal units
Improving system information
about caseload
Self-assessment information is
important but could be validated
by empirical data on caseload age,
disposition data and delays
Software/automation of case
management systems (CMS) is a
common theme in CA reports
Improving complaints management
effectiveness
Developing regional CMS solutions
NHRIs would benefit from a
system-wide solution tailored for
NHRIs
Most institutions can make
recommendations following
investigations
Addressing concerns about a lack
of legislative authority to grant
remedies in many countries
There may be other ways to
seek remedies, such as seeking
standing/amicus status before
courts
Table 6 Protection activities
3.4 Accountability
3.5 Protection activities
Identifying Capacity Issues 45
DiscussionInvestigations into complaints are fundamental to many NHRIs. The mecha-
nisms through which files are handled and complaints processed are called Case Management
Systems (CMS).








See Table 7.
Sample indicators

Effectiveness of complaints handling mechanisms;
Clear workflows and decision points;
Effective screening and triage;
Timely communications with parties;
Identifying and addressing urgent complaints.







5 For example, a 2009 CA cited in APF 2014.
46 Global Principles For The Capacity Assessment Of National Human Rights Institutions



See Table 8.


Table 7 Key capacity areas in complaints management drawn from CA reports
apacity Area
Investigating and resolving complaints
Indicators
Improvements in:
Outcome: Effective, clear rules and
procedures
Investigations manual
Internal workflow procedure, decision-making steps and decision
points
Data collection and analysis for caseload and delays
Outcome: Information technology Ability to automate aspects of workflow; generate statistics
Disaggregate data
Outcome: Competent and skilled staff
to receive and investigate complaints
Qualifications and training in complaints management
 see Knowledge, section 3.3
Outcome: Capacity to secure
redress/remedies
Number of cases where redress provided
Interventions before courts/adjudicative bodies
Outcome: Capacity to conduct
investigations into systemic
complaints
Capacity to identify trends, undertake systemic research
and investigations
Outcome: Accessibility (complainants) Accessibility of complaint form, e.g., ease of obtaining
and completing form
Ability to obtain information about status of complaints;
accessibility to persons with disabilities
Outcome: Alternative dispute
resolution
Number of cases assigned to/resolved by ADR
Satisfaction of parties involved in ADR processes
3.6 Promoting human rights
Identifying Capacity Issues 47
Sample indicators

Promote awareness of human rights through media campaigns;
Develop education curricula;
Develop promotional materials for public education and advocacy
Train public officials, including law enforcement and military;
Undertake formal consultations and partnerships with stakeholders;
Evaluate and track impact of training sessions;
Undertake Training of Trainers.
Table 8 Promotion activities
Common Practice hallenges Lessons Learned
Public education, awareness,
some external training
Indicators tend to be extremely
generic
Improved indicators target specific
areas of activity, e.g., promotion
activities that are aimed at specific
stakeholder groups
Promotion activities at the head
office level
Improving access, skill
improvement opportunities for
regional offices
Disaggregation of information can
identify particular capacity gaps at
the regional level
Representatives from NHRIs in the Asia Pacific region at the annual meeting
of the Asia Pacific Forum of National Human Rights Institutions
Credit: Asia Pacific Forum of National Human Rights Institutions
48 Global Principles For The Capacity Assessment Of National Human Rights Institutions



See Table 10.
Common Practice hallenges Lessons Learned
Public education and promotion
activities
Targeting specific
stakeholders, especially
vulnerable groups
CA processes that reach out to target
specific groups are more likely to build
nuanced and targeted public education
activities
CAs uses stakeholder meetings
to “validate” self-assessment
information
Soliciting information that may
go beyond issues raised in
self-assessment process
Ensure that CA processes are not
limited, and that they offer a broad
opportunity to provide input beyond
the capacity issues that may have been
identified internally
3.7 Advice and assistance to government
3.8 Stakeholder engagement
Common Practice hallenges Lessons Learned
Advice and assistance to
government (executive branch,
parliament, law enforcement,
military, etc.)
Developing capacity to liaise with
government institutions and law
enforcement, especially in volatile
political situations
Standing or permanent
arrangements for liaison (such
as standing membership in
committees of legislature) help to
mainstream NHRI engagement
Advice on legislation, policy and
national plans or reports
See above
Improving support for development
of national human rights action
plans and similar human rights
planning tools, including business
and human rights
See above
Table 9 Advice and assistance to government
Table 10 Stakeholder engagement
Identifying Capacity Issues 49
Sample indicators
In relation to this capacity issue, CAs aim for improvements in the capacity to:
Increase visibility and public respect for the institution;
Use training opportunities to engage stakeholders by including non-governmental
organizations (NOs) and grassroots groups as trainers and trainees;
Finance CSOs through programmatic activities.
General human rights monitoring


Monitoring detention facilities






Sample indicators

Appropriate skills and expertise related to the mandate;
Systematic and unannounced inspections or visits;
Access to facilities where NHRIs are partially or entirely denied access;
Specialized gender guidelines for inspecting detention facilities.
Discussion 


3.9 Human rights monitoring
Carrying Out Capacity
Assessments
Representatives of the Network of African National Human Rights Institutions In a meeting
the President of the Republic of Mali. Credit: Network of African National Human Rights Institutions
4.1 Scheduling and planning
4.2 Timing and readiness of NHRI
4.3 Capacity assessment team
4.4 Role of UNT
4.5 Language
4.6 Preparatory visit
4.7 Assessment visit
4.8 Findings and recommendations
4.9 Debriefing
4.10 A reports
52 Global Principles For The Capacity Assessment Of National Human Rights Institutions


Carrying Out Capacity
Assessments
Common Features Challenges Lessons Learned
CA processes range between
3 and 6 months (1-3 months
advance planning; 0-3 day(s)
preparatory visit; 1-2 week(s)
CA mission; 4 weeks CA report)
Logistics
Funding lengthy CA processes
Large NHRIs with regional offices
generally require longer timeframes
Ensuring communications, internal
travel and security arrangements,
and translation
In many developing countries,
full-scale CAs are not affordable
without access to development
assistance or other external
funding sources
Large NHRIs/those with regional
offices require more time
CA processes that take place in
compressed timeframes may be
compromising the quality and
outcome of CAs by reducing the
preparation time and the mission
Adequate advance planning
helps to ensure logistics are pre-
arranged
CA team selection
Ensuring advance notice to partners
to free up CA team members for
full duration of CA mission and
follow-up as required
Lead partner advises all partners as
soon as the first contact with NHRI
takes place
4.1 Scheduling and planning
Table 11 Scheduling and planning
Carrying Out Capacity Assessments 53






See Table 12
Common Features Challenges Lessons Learned
MOU Using the MOU as an opportunity
to set out expectations, as well as
issues related to NHRI commitment
to the CA process, follow-up,
disclosure of the final report
MOU clarifies expectations and the
mutual rights and responsibilities
of the parties, including critical
aspects of implementation and
follow-up; CA practitioners should
be “blunt” about fact that NHRI
leadership will likely hear things
they may not want to hear
Table 11
4.2 Timing and readiness of NHRI
A consultant was brought in to participate in a CA
mission, unaware that the NHRI leadership saw the
CA as a direct avenue to accreditation. There was no
separate preparatory visit.
The final CA report was mildly critical. The NHRI
leadership refused to accept anything that was not
wholly positive, and sought amendments to the final
report. The external facilitator declined to alter the
CA report, leading to its rejection by the NHRI mem-
bers. The report was not disseminated to staff and
remained confidential.
Although there is little that can be done to discern
hidden motives, early dialogue and preliminary steps,
such as an MOU, can elicit important information
about the NHRI’s motivation for engaging in the CA,
and can lead to better understanding on the part of
the CA team.
Country example
54 Global Principles For The Capacity Assessment Of National Human Rights Institutions
Table 12 Timing and readiness of NHRI
Common Features Challenges Lessons Learned
Determine readiness
NHRI voluntarily initiates request
for CA; leadership is “on board”;
NHRI commits to follow-up
NHRI seeing CA process as a “path”
to accreditation
Ensuring the approval of all NHRI
members, not only senior ones
Preliminary engagement helps to
ascertain motives for engaging in
CA; ensures readiness
Promote positive features
of NHRI
Preparing leadership for unplanned
consequences
Advance communications should
describe disadvantages and risks,
alerting NHRI leadership that they
will likely hear difficult things
Determine level of development
of NHRI
Very new NHRIs may not be
appropriate candidates for CAs
Most CAs are carried out with
NHRIs that have been in existence
for at least two years
Majority of NHRIs accredited as A
or B status
Determining whether non-
accredited NHRIs should benefit
from CAs
Majority view: Eligibility for CA
should depend on serious intent
to conform to Paris Principles, not
accreditation status
Minority view: Accreditation
status is an appropriate proxy
for institutional readiness and is
relevant to decisions about where
valuable resources should
be invested
Continuity of leadership Managing process if leaders
change midstream
Continuity of leadership during CA
process presents fewer risks
Examine whether other processes
are underway or just finished
Creating “assessment fatigue” No hard and fast rule about when
capacity assessments take place in
relation to other processes, e.g.,
strategic planning, evaluations
CA is likely to remain an isolated
one-off process if there is no clear
articulation to other processes
Carrying Out Capacity Assessments 55
4.3 Capacity assessment team
Table 13 Capacity assessment team
Common Features Challenges Lessons Learned
CA team members generally have
NHRI experience
Managing teams where one
or more members have little
NHRI experience
“Recycling” the same
CA experts, thus
“institutionalizing” the CA
process
NHRI experience is a key aspect of
CA team success and helps to build
credibility; less experienced team
members can be coached
Variation in team members becomes
easier when CA team members are
brought in from other NHRIs
Teams of 4-6 people with:
NHRI expertise, preferably
with regional experience
Statistical expertise
One person from NHRI
in region that recently
underwent a CA
Logistical support
Cost
Ensuring adequate expertise
and skill sets
Logistical support can be provided by
NHRI to reduce costs; travel costs should
be reduced by having NHRI experts from
the region
External facilitators rather than
evaluators
Explaining the extent to
which CA facilitators actually
“drive” process even though
they are not evaluators
Prior briefings or advance materials to
clarify what self-assessment means and
the respective roles and responsibilities
Independence of CA team Maintaining confidentiality
and CA team independence
Determining role of NHRI
liaison* and UN Country
Office (CO) staff
Majority view: CA team members should
not be drawn from NHRI itself or from the
UN Country Team (UNCT); regional UN
staff are a preferable option to in-county
staff
Minority view: In some cases, the use of
staff from the UNT has worked well, but
it is not the accepted practice; some CA
practitioners reject this option
Availability of CA team Ensuring that CA team
members are present for
entire mission
A functional approach can assist in
determining who is needed, when and
for how long; this should be agreed in
advance and not assumed
* NHRI liaison: There is normally a designated liaison between the CA team and the NHRI. There have been examples where a
member of the NHRI leadership was a team member, but this does not appear to be the general practice. Having someone
from the NHRI on the team and involved in the preparation of reports that might be critical of the NHRI could interfere with
the independence of the CA process and the ultimate credibility of the CA report.
56 Global Principles For The Capacity Assessment Of National Human Rights Institutions


See Table 14
4.4 Role of UNCT
Table 14 Role of UNCT
Common Features Challenges Lessons Learned
UNCT staff are not generally from
CA team
Ensuring in-country UN awareness
of and support for process
Ensuring access to connections
with other UN programmes and
agencies, and knowledge of in-
country issues
UN in-country interest and
engagement to be encouraged,
but actual attendance at meetings
requires “sensitive judgments”
(APF, 2014, p. 24)
Perceived conflict of interest,
potential repercussions for country
staff, and process integrity point
towards a general policy of
excluding UNCT
CA team should meet with UNCT
as part of the engagement with
stakeholders and should brief
UNCT leadership on CA results
UNCT staff can be actively
engaged in follow-up
UN staff from the region on CA
teams (although not the UNCT)
Securing availability of busy UN
staff for entire duration of CA
mission
Whether staff from other regions
are appropriate team members
No hard and fast rule, other
than the importance of ensuring
consistent availability of team
members for the duration of the
CA mission
Supports South-South exchange
and peer learning
Carrying Out Capacity Assessments 57


See Table 15
Discussion 






4.5 Language
Table 15 Language and capacity assessments
Common Features Challenges Lessons Learned
English and French are main
languages to date
Ensuring that key documents
(questionnaires and final reports)
are available in national languages
where required
Ensuring timely access to
translated documents
Key documents should be
translated into national language
Translations and interpretation
should be arranged in advance
and provided on a timely basis
Majority of CA reports:
language comprehension not
perceived as an issue by
CA team
Minimizing misunderstandings in
meetings, focus groups
As a rule, using UNCT staff as
interpreters should be avoided due
to risks to staff confidentiality
Professional independent
interpreters are generally a better
option
Translation and interpretation
appear to be provided as a matter
of course where required
Timing and cost Translation and interpretation
arrangements negotiated
during prep visit; in one case,
interpretation handled on the spot
by independent regional consultant
and CO staff
58 Global Principles For The Capacity Assessment Of National Human Rights Institutions




See Table 16
Discussion 


4.6 Preparatory visit
Table 16 Preparatory visit
Common Features Challenges Lessons Learned
Prep visits are used to prepare the
ground and build trust
Cost and time Prep visits, or at least prior
interaction, are important tools for
the organization of the mission and
for building trust
Misunderstandings and planning
challenges once the CA team
arrives can occur without a prep
visit
One or two persons required
for visit
Availability of consultants See above
Discussing and finalizing MOU Ensuring understanding of pros and
cons, as well as risks
MOUs help to secure shared
understanding of CA process
Carrying Out Capacity Assessments 59



See Table 17
4.7 Assessment visit
Table 17 Capacity assessment visits
Common Features Challenges Lessons Learned
On-site CA visit Managing a labour intensive
process that is recognized as
“intrusive” for NHRIs
Ensuring sufficient time is spent
with NHRI
Legal analysis, NHRI background,
etc. should be prepared in advance
to reduce on-site workload
Minimizing the time of consultants
in their offices and drafting reports
to increase “face time” with NHRI
Online survey tools like
SurveyMonkey allow one person
to work from a remote location,
thus reducing mission costs and
improving on-site productivity
Maintaining communications
through “off-line” and informal
discussions, formal meetings
Being perceived as “aligned” with
certain members of the NHRI
leadership
Strategic and even-handed
informal meetings can strengthen
trust in the CA team and its work
Generally 1-2 weeks Ensuring adequate time for focus
groups, external meetings and
debriefing
A minimum of 10 days is generally
required
60 Global Principles For The Capacity Assessment Of National Human Rights Institutions


See Table 18.
4.8 Findings and recommendations
Table 18 Findings and recommendations
Common Features Challenges Lessons Learned
Findings balance institutional
capacities (including leadership)
and functional capacities
Handling negative findings when
NHRI leadership is resistant
Ensuring completeness
Consistent communications and
debriefing prevent “surprises,” i.e.
integrated risk disclosure
Balanced approach (drawing on
legal framework, Paris Principles,
good practices in assessing
functional capacities)
Focus on human rights capacity Assessing capacity in other
mandate areas
No discussion of this issue in
consultations or CA reports
Findings are comprehensive Ensuring findings are material and
important to the NHRI
Recommendations are prioritized
to propose capacity development
(CD) activities and underpin
implementation plans
Focus on internal NHRI capacity Integrating aspects of external
environment that are relevant to
capacity
Contextualizing findings and
recommendations as distinct from
“playing back” known facts to the
NHRI leadership
Findings based mainly on self-
assessment
Interpreting results when capacity
gaps do not reflect actual
institutional weaknesses
Analysing gaps, strengths and
weaknesses, as well as feedback
from stakeholders and empirical
data (e.g., CMS) can provide
a better overall assessment of
capacity
Small number of findings deal with
internal malfeasance
Preventing reprisals; handling
allegations that may not have been
proven
Reporting malfeasance to the
immediate superior of the
individual responsible
Carrying Out Capacity Assessments 61










See Table 19Annex 2
4.9 Debriefing
4.10 CA reports
Table 19 Capacity assessment reports
Common Features Challenges Lessons Learned
NHRI is primary beneficiary and
“owner” of the report
Ensuring transparency to staff,
stakeholders and public
MOUs commit NHRI to disclose
accepted reports to staff, and a
summary of the CA report to be
shared publicly
If the NHRI refuses to make the
report public, the decision has to
be respected unless there a prior
agreement otherwise
CA reports are complete and
reflect material and important
information
Reports generally in the range of
50 pages + (excluding annexes)
Making sure that reports are
reasonably brief and convey
meaningful information about
priorities
Recommendations and priorities
should be fully documented and
include implementation plans
Templates and related information,
including concept notes, ques-
tionnaires, summary tables, charts,
etc., are best placed in annexes
CA reports identify relevant
information about core capacity
issues and gaps
Making the report easy to read and
understand
Select a reasonable number of pri-
ority capacity issues
Leadership provides input into
draft reports, can make requests
for changes
Managing findings or
recommendations with which the
leadership is uncomfortable or
disagrees
Two to three drafts may be needed
If requested changes are problem-
atic, CA team may decline to make
changes, in which case there is a risk
the report will not be accepted
62 Global Principles For The Capacity Assessment Of National Human Rights Institutions







Comparability 






Chairperson of the Afghanistan Independent Human Rights Commission, talks with a class of female students
Credit: Afghanistan Independent Human Rights Commission
Carrying Out Capacity Assessments 63
Afghan Interdependent Human Rights Commission - 2011 capacity assessment
Credit: Asia Pacific Forum of National Human Rights Institutions
Data Collection
and Analysis
The Philippines Commission on Human Rights runs community education programmes in barangays (villages)
across the country. Credit: Philippines Commission on Human Rights
5.1 Focus groups
5.2 Interviews with external stakeholders
5.3 Questionnaires
5.4 Scoring and quantitative data
66 Global Principles For The Capacity Assessment Of National Human Rights Institutions





Focus groups (internal);
Questionnaires (internal);
External interviews with stakeholders;
ICC/GANHRI-SCA accreditation reports;
Previous annual reports, strategic plans, work plans, performance targets, evaluations, etc.;
CMS information.








See Table 20
Data Collection
and Analysis
5.1 Focus groups
Carrying Out Capacity Assessments 67
Table 20 Focus groups
Common Features Challenges Lessons Learned
Standard questions designed to
elicit basic information about
capacity
Ensuring reliability of subjective
views or information that may be
subject to peer pressure
Views and perceptions can serve
as proxies for capacity, eliciting
consensus and organizational level
Information can be validated
through other sources, e.g.,
meetings with external
stakeholders and internal empirical
data, especially as regards case
management information
All staff and members participate,
including in regional offices
Ensuring that during the planning
phases, staff are made aware of
the process and are available
Prior planning and early
communications promote full
attendance
Focus groups identify capacity
issues, which then serve as the
basis of the questionnaires
Encouraging “group think” which
then gives rise to a self-fulfilling
prophecy that is reinforced in the
questionnaire but may not reflect
actual individual views
Possible strategies:
validating data with information
from other sources
using FGs for one subset of
respondents and questionnaires for
another (although these will have
implications for the inclusiveness of
the process)
Size of groups generally restricted
to 10-12 people
Ensuring confidentiality (large
group settings are more likely to
result in inappropriate information
sharing)
Groups should be kept small to
protect staff, ensure sufficient
time; they benefit from the
particular advantages of FGs as
a qualitative tool through small
group settings
Some CA processes place all staff
and members in a single meeting/
group, which raises concerns about
confidentiality, intimidation and
poor group dynamics
6 The Asia-Pacific methodology method asks three standard questions in FGs:
1. What does the NHRI do well?
2. What does the NHRI need to do better to be more effective in undertaking its mandate?
3. What strategies and actions can be taken to build the required additional capacity?
68 Global Principles For The Capacity Assessment Of National Human Rights Institutions











Common Features Challenges Lessons Learned
Majority of FGs formed along
functional lines, sometimes on a
regional or self-selecting basis
AP always offers women the
possibility of gender-specific
groups; other divisions possible
based on minority status, regional
offices
Choosing groups to reflect
pluralism and diversity
Significant time is needed to plan
for group composition, and to
frame and facilitate discussions
Giving staff the option to have
specific FGs helps to reinforce
pluralism
Information about gender, minority
status, position, education, etc.,
can also be obtained through
questionnaires in a personal
information section
Confidentiality and ensuring the
security of staff
Staff should not be intimidated,
should be free to express views
Staff and leadership should not be
placed in same groups
No information about who said
what in meetings should be shared
outside CA team
Roughly 90 minutes is adequate
for FGs (120 if interpretation
required)
Ensuring all staff have opportunity
to speak; managing language
issues
Smaller groups are preferable given
the relatively short timeframe
Build in extra time for interpretation
where required
Table 20
7 Cass R. Sunstein and Ried Hastie (2015) argue that while individuals are likely to show impulsive or emo-
tional thinking, these characteristics are exacerbated in small group contexts. The result is withholding of
crucial information or the repression of insights that might offend or irritate other group members, thus
“squelching” rather than enhancing diversity and generating a consensus.
Carrying Out Capacity Assessments 69













Highlight trends, including divergent trends within the NHRI, using disaggregation;
Offer anonymity;
“Rate” the findings from FGs;
Enhance perceptions of rigour through the resulting quantitative data.






See Table 21
5.2 Interviews with external stakeholders
5.3 Questionnaires
70 Global Principles For The Capacity Assessment Of National Human Rights Institutions
Table 21 Questionnaires
Common Features Challenges Lessons Learned
Self-assessment questionnaires
administered to all members
and staff
Handling insufficient returns of
questionnaires given that low
response rates diminish the value
of the information
Inclusion and participation are key
process values and outcomes of
the CA processes that hinge on
self-assessment; the views of
both the staff and leadership are
required
High levels of return can be secured
through appropriate preliminary
planning, as well as mechanisms to
encourage the completion of the
questionnaires, such as ensuring
the confidentiality of results
Low response rates increase error
margins; NHRIs should be advised
in the report that the quantitative
data may not be reliable
Small number of questionnaires
only uses qualitative comments
without a quantitative dimension
Ensuring familiarity with
quantitative methods
Training and support for
quantitative methods in the
francophone context can assist in
developing the skills to administer
questions that are ranked by
numeric value; (in addition to
English, SurveyMonkey is available
in French, Spanish and Portuguese)
Not all staff are able to answer
all questions
Handling data from staff who
have no knowledge of the subject
matter addressed in a given
question
Questionnaires in Asia-Pacific
methodology model now allow
respondents to skip questions that
they cannot answer
Questionnaires cover range
of NHRI capacity issues
Length and complexity Questionnaires now shorter (e.g.,
15 pages in AP context) with
simpler capacity guide statements
Questions about personal
information and profile
Maintaining confidentiality
throughout the process; protecting
staff from reprisal
CA teams must supervise
administration and physical
collection of completed forms with
no involvement of NHRI liaison,
leadership or staff
Additional information serves to
support the disaggregation of data
in the analysis phase
Carrying Out Capacity Assessments 71





See Table 22
Figure 2 Sample capacity guide statement


see Figure 2
5.4 Scoring and quantitative data
Common Features Challenges Lessons Learned
Quantitative data illustrates or vali-
dates the qualitative comments
Handling discrepancies between
quantitative and qualitative data,
e.g., instances where comments
diverge from numeric ratings for the
same topic
Reconciling inconsistent data can
sometimes be handled in the analyt-
ical sections of the report, or by ig-
noring responses that clearly reflect
lack of understanding. On the whole,
contradictory data is not reconciled
Data is often entered by hand, or
increasingly, through online survey
tools
Manual input is susceptible to hu-
man error
Online survey tools may require
training of staff and reassurances of
confidentiality
SurveyMonkey or similar online
forms automate the process, reduce
error and protect sensitive informa-
tion
Table 22 Scoring and quantitative data
Issue 1 The NHRC's law (the NHRC Act) and legal framework enables it to function as a fully effective NHRI in
accordance with the Paris Principles
What score, between 0 and 5, reflects your assesment of the capacity the NHRC has now in the particular
area of work (how well it is doing in those areas)?
. No capacity
. Very low capacity
. Only basic or low level capacity
. Medium partially developed capacity
. Well-developed level of capacity
. Fully developed relevant capacity
What is the basis, with evidence, of the rating you have given?
72 Global Principles For The Capacity Assessment Of National Human Rights Institutions
Common Features Challenges Lessons Learned
Questionnaires use 4, 5 and 6-point
scales, with the majority using a
6-point scale (0-5)
Effectiveness Framework uses a
compressed (0, 1, 2) scale
Lack of systematic rating scales
across regions
Some indication of a lack of compre-
hension of the expanded rating scale
A more compressed [0,1,2] scale
might be better understood and
would also align with the Effective-
ness Framework
Standardized scales may support
eventual comparability of reports
in and across regions, according to
some consultees, but there was no
consensus on this point
Majority of reports provide sum-
mary tables or graphs to illustrate
quantitative data but not full data
sets
A minority of reports, notably in the
African region, do provide data sets
to the NHRI
Addressing issues of NHRI owner-
ship in CA methods that do not pro-
vide depersonalized data to NHRIs
(depersonalized data contains no
information of any kind that could
allow the response to be traced back
to any individual)
A-GA reports generally provide de-
personalized data sets in CA reports
Questionnaires are retained by the
CA team and should never be shared
outside the team under any circum-
stances
Providing data sets on a depersonal-
ized basis allows for testing validity,
error and an analysis of standard
deviations, while protecting confi-
dentiality
Ratings are used to convey infor-
mation about capacity gaps
Gaps are calculated based on full
data sets, and they include answers
from people who provide no objec-
tive basis for their answers
Capacity gaps may not represent the
most significant capacity issues
All responses treated equally, in-
cluding from respondents with little
or no understanding of the ques-
tion or the capacity area; however,
disaggregation allows the reader to
position the response in terms of se-
niority or membership in a particular
functional group in the NHRI
Closer examination of institutional
weaknesses based on function and
external interviews may be more
relevant to selecting priorities than
subjective perceptions of gaps
Capacity and required capaci-
ty are represented by calculating
the average in each capacity area
in Asia-Pacific methodology and
A-GA methods
Large standard deviations in both
methods suggest high variability
Data points are often spread far from
the average or mean, so that the
capacity gaps may not be reliable
indicators of priorities and cannot be
judged with confidence
Instrument is designed to elicit
ranking information about capacity
issues, which is then analysed and
quantified
Concerns regarding accuracy and re-
liability of data
CA teams should reveal issues re-
garding accuracy and reliability to
NHRIs, e.g., in the event of low re-
turn rates, problems in variability or
statistical significance, and should
explain these limitations in the re-
ports, in the interests of transparency
Table 22
Carrying Out Capacity Assessments 73
Lack of alignment














How reliable and meaningful is the data?
Confidence levels









In one CA process, the NHRI had more than 200
staff. However, only 25 individuals responded to the
questionnaires.
As a result, the response rate was less than half of
the 25 percent needed to have a (relatively low)
confidence level of 80 percent. More to the point,
although the CA report raised the issue of the rea-
sons for the low return rate, there was no warning in
the report regarding the implications for the qual-
ity of the data.
Country example
74 Global Principles For The Capacity Assessment Of National Human Rights Institutions




In Table 23, data was excerpted from the questionnaires of three country examples to demonstrate how the
use of averages can provide misleading information about the extent of capacity problems and capacity gaps.
Country example
Table 23 Standard deviations
Sample Capacity Issue Average Capacity Standard Deviation
Institutional arrangements
“Commission generally has proper
internal organization that facilitates
its proper running”
3.0 1 .1
Meaning that responses between
1.9 and 4.1 are considered normal
(on a scale of 1-5)
Accountability
“Commission has capacity to
collect feedback, measure
results and identify lessons to
enable adjustment of policies,
programmes, and strategies”
2.7 1.4
Meaning that responses between
1.3 and 4.1 are considered normal
(on a scale of 1-5)
Leadership
“Leadership has the ability to
develop, communicate and give
direction on vision, mission, values
and policies for the Commission”
3.3 1.1
Meaning that responses between
2.2 and 4.4 would be considered
normal (on a scale of 0-5)
The high levels of variance mean that answers are just as likely to be at the low end of the scale as at the high
end for a given response. Consequently, the averages in the above examples convey little meaningful information
about capacity. These concerns are magnified when the capacity gap is identified, since what may appear to be
a gap when one looks at the average may actually not be a gap, or a significant gap, at all. Although the Asia-
Pacific methodology reports do not provide data sets, one CA practitioner indicated that there were similar
issues with the variability of data in the AP region and, consequently, similar concerns about how reliable and
meaningful the data is as an indicator of capacity gaps.
Carrying Out Capacity Assessments 75
Launch of the workshop on strengthening the National Human Rights Commission of Senegal
Credit: Network of African National Human Rights Institutions
Follow-Up
and Sustainable hange
Professional training programme for prison officials; Maafushi, Maldives
Credit: Human Rights Commission of the Maldives
78 Global Principles For The Capacity Assessment Of National Human Rights Institutions





Follow-up should be an integral part of the CA process. MOUs are an effective mechanism,
at the outset, to secure NHRI commitment and ensure a clear understanding of the parties’
respective roles and responsibilities;
All parties should recognize that implementation is a complex, long-term process that engages
several actors, not all of whom are under the control of the NHRI. It is also an iterative process
that may not always be reflected in a linear progression of improvements;
The NHRI should report on progress in the implementation of the CA report in a manner that
emphasizes the importance of ensuring that the M&E framework is “harnessed to drive a
better process” (APF, 2014);
Follow-up and implementation should be designed to track unintended consequences arising
from findings and recommendations in a balanced way, even if they are negative (UNDP, 2012);
Follow-up protocols are a useful tool to ensure shared understanding of what comes after the
CA is completed, integrating the follow-up commitments in the MOU with the findings and
recommendations incorporated into the implementation plan. They may include follow-up
missions that take place a few years after the CA;
Unlike CA teams, which generally do not include members of the NHRI, the follow-up mission
(or review mission as it is sometimes called) may include members of the NHRI, and indeed
arguably should include members of the NHRI, to reinforce the principle of NHRI independence
and ownership, as well as learning and accountability;
The period immediately following a CA has been shown to be a fruitful stage for working with
government to modify the NHRI mandate though amendments to its statute, discussing the
CA results with development partners to secure funding for designated areas of priority, and
for making internal improvements to organizational structure, investigations and complaints
handling.
Follow-Up
and Sustainable hange
Follow-Up and Sustainable Change 79







