United Nations Development Programme Human Development Report Office

This note should be read in conjunction with the Regional/ National Human Development Report Toolkit.

While the toolkit provides general guidance on preparing a Regional Human Security or National Human Development Report, this note gives specific A Thematic Guidance Note for suggestions on how to approach Regional and National Human the concept of human security as Development Report Teams a topic for such a report.

BY OSCAR A. GÓMEZ AND DES GASPER

Many important aspects of human development relate also to people’s security: loosely defined as people’s freedom from fear and freedom from want in a broad sense. Applying a human security approach offers an opportunity to analyse many Contents issues in an informative way. This note explains how one might go about doing that.

What is Human Security?...... 2 Human security relates to much more than secu- rity from violence and crime. A report team wanting Getting Started...... 4 to look at the security of people’s livelihoods (eco- Selecting objectives and themes...... 4 nomic, food, environment or health security) might apply a human security approach. Human security The process...... 6 can also be used to look into personal, community Preparing the Report...... 7 and political security. Indeed, human development General considerations...... 7 reports from around the world have applied the 1. Conceptualize the theme: build a approach in other innovative ways. But on each occasion, these reports have analysed a threat, or conceptual framework...... 7 groups of threats, and how they affect particular 2. Integration with human development.... 8 groups of people. 3. Data mapping...... 8 And so if one is interested in preparing a human Potential areas of analysis...... 10 development report that is focused on one or more of 1. Comprehensive-mapping reports.... 10 the threats people face, then a human security approach 2. State-building reports...... 10 is worth considering. This note explains how such an 3. Citizen security reports...... 12 approach could help, and how it might be applied. 4. (Lead) Challenge-driven reports.... 13 Resources...... 15 What is Human Security?

The human security approach was introduced The 1994 HDR was more specific, listing in the 1994 global Human Development Report seven essential dimensions of human security: (HDR), which led to a range of literature and • Economic • Food initiatives building on the idea (some of these • Health • Environmental are mentioned in the annex to this guidance • Personal • Community note), and to a series of discussions in the United • Political Nations. In 2012 the General Assembly (GA) adopted a common definition of the concept.1 This list is neither comprehensive nor defini- tive, and the UN Charter refers more flexibly to The human security approach broadens the ‘fundamental freedoms’. National and regional scope of security analysis and policy from terri- HDRs aiming to address varying categories of torial security to the security of people. The 2012 threats and values can use the human security GA Resolution stresses the role of “Member approach in analyzing the topic. Previous reports States in identifying and addressing widespread based on the human security approach have, for and cross-cutting challenges to survival, live- example, dealt with social exclusion, moderniza- lihood and dignity of their people”. In other tion and climate change; they have used examples words, threat(s) to – and values under threat where the State has been a threat; or explored in – people’s lives are the key starting point of a possible future threats. Human security is a flex- human security report. ible approach and can be tailored to different contexts and topics, according to the specific The 1994 HDR highlighted two major com- context. No matter which topic is addressed, a ponents of human security: ‘freedom from fear’ guiding principle of the human security approach and ‘freedom from want’. These freedoms, is that it requires understanding the particular from the preamble to the Universal Declaration threats experienced by particular groups of peo- of Human Rights, are part of the four human ple, as well as the participation of those people in freedoms that President Franklin D. Roosevelt the analysis process. Threats to human security famously referred to in a speech in 1941. He can exist at all levels of development. They can was advocating a world founded on: freedom emerge slowly and silently or appear suddenly of speech and expression, freedom of worship, and dramatically. freedom from want and freedom from fear.2 Subsequent debate in the 1990s added the free- Central to the approach is the idea that people dom ‘to live in dignity’. have ‘the right to live in freedom and dignity, free from poverty and despair… with an equal oppor- 1 UN General Assembly, 66th Session “Follow-up tunity to enjoy all their rights and fully develop to paragraph 143 on human security of the 2005 World their human potential.’3 Summit Outcome” (A/RES/66/290), 25 October 2012. 2 Franklin Delano Roosevelt’s address to the United States Congress, January 6 1941, chapter 36. See http:// 3 UN General Assembly, 66th Session “Follow-up www.wwnorton.com/college/history/ralph/workbook/ral- to paragraph 143 on human security of the 2005 World prs36b.htm Summit Outcome” (A/RES/66/290). 25 October 2012

2 At the end of 2012, some 45 Human Human Development and Human Security: Development Reports in the HDRO data- How Do They Differ? base discussed human security in different ways. Around a third of these discuss the Human development and human security are concept explicitly and this guidance note interlinked but are by no means identical. Human draws mainly on these latter reports. It development is a broad concept, aiming at enlarg- synthesizes insights from these reports and ing people’s choices and freedoms. Human secu- draws on their lessons for developing an R/ rity is about assuring priority freedoms so that NHDR on different threats, using the human security approach. It is complemented with ‘people can exercise choices safely and freely’ insights from the wider literature on human (HDR 1994, page 23) and can be confident that security analysis. the opportunities they have are protected. Some elements of the 2012 GA resolution Overall, this guidance note will guide show the links between human security and R/NHDR teams through the report writing human development and help with the concep- process, not least by clarifying the human security concept, how it relates to human tion of a human security report: development and how it can help in struc- “Human security calls for people-centred, com- turing a report on a certain threat, such as prehensive, context-specific and prevention- environmental insecurity, food insecurity or oriented responses…”. The first three elements violence and crime. It will help report teams in are shared with human development, although deciding the approach for an R/NHDR, using human security analysis is focused on threats; the the human security approach. The note and its background material provide ample reference last element implies understanding the threats in to previous reports on specific subjects that order to implement preventive measures; will be helpful. “… that strengthen the protection and empower- ment of all people and all communities” – human Country Offices (COs) considering the security analysis considers multiple providers of human security approach should bear in mind security, including citizens themselves. Human two points at the outset: security analysis explores using both empower- • Not only reports on violence can use the ment and protection to tackle specific threats to human security approach. As we explain people’s lives, and empowerment especially links in the following section, there are at least closely with human development. four common types of human security “Human security recognizes the interlinkages reports and COs are free to choose (and between peace, development and human rights, adapt) the type of approach that helps them the most. and equally considers civil, political, economic, social and cultural rights;” – thus human secu- • The concept does not only apply to fragile rity forms part of the family of human concepts states. Security, in the broad sense, is impor- (including human rights, human needs, human tant for all societies. The human security approach is flexible and can be tailored to development). different countries. “Human security is based on national ownership.” This is also a necessary standard that all NHDRs should meet.”

3 Getting Started

SELECTING OBJECTIVES a multi-issues report. This list offers a starting point for discussing the focus and theme of an R/ AND THEMES NHDR on human security:

An important initial question is whether the 1. Comprehensive mapping reports try to report should make a comprehensive review of cover major threats to all priority values, put the values under threat (usually presented as a them in perspective, and offer ideas on agen- list of securities) and the specific threats; or focus das for action. on one issue of special interest. Experience shows 2. State-building reports see state collapse/fail- that both approaches are useful and have differ- ure as the greatest threat to human security, ent applications. and so focus on building a state. 3. ‘Citizen Security’ reports focus on a subset of Multi-issue reports can: civil rights that is often of particular concern in the daily lives of citizens, notably physical • Map the situation of the country or region, and safety and freedom from unlawful disposses- help identify an agenda for action (part of which sion. Such reports could also be called citizen may eventually become the theme for a future safety reports, but the name ‘citizen security’ HDR). has become more common for this set of • Explore differences between perceived inse- concerns. curities and documented threats, within and 4. Special-focus reports, centered on key chal- across different groups and different issues. lenges other than state-building or violence and • Provide the basis for a future in-depth explo- crime, focus on some other single threatened ration of priority threats. value or type of threat, e.g. food insecurity or • Analyse issues that may become threats in the climate change. For ease of reference, we here future, including climate change. call them ‘Challenge-driven’ or, since the other types of report also respond to challenges, ‘Lead- • Promote improvement in a nation’s human- challenge driven’. security related statistics. Single-issue reports can: There is more to the report conception stage, • Offer in-depth analysis on selected threats (or however, than simply deciding which of these values under threat). four styles of report to use. The human security approach can be used flexibly; the many threats • Raise awareness and motivate action on offer many options for analysis, and so the coun- threats that are not yet widely recognized, but try context should be assessed very carefully for where evidence suggests they need to be taken each report. Some basic questions can help brain- seriously. storming during the report conception phase: Based on existing experience in R/NHDRs, we have divided all reports dealing with human • Whose security? Human security work focuses security into four main groups. The last three are on the security of people. Particular reports types of single-issue reports whereas the first is may focus on certain target (i.e. vulnerable)

4 groups, but should explain their selection Institutional consolidation, often emphasised criteria. in state-building and citizen security reports, is • Security of what? What values are in need most relevant when: of protection? The human security approach considers the ‘survival, livelihood and dig- • Institutions for a particular issue already nity’ of individuals. The 1994 HDR list of exist, but need to be strengthened (and offer seven areas of security offers examples of good possibilities for strengthening). important values, but it is up to teams to tai- • The relation between particular institutions lor their selection of values according to the and the issue is very close. context of the study. Institutional innovation, most relevant when: • Security from what? What threats are most relevant at a particular time and place? One • The issue is an emerging challenge requiring must also decide on the number of issues to be new institutional approaches. included and how they interrelate. Consider as well the perception of threats compared to • The report would like to explore the roles their actual occurrence. of different stakeholders in the provision of security. • Who can play a role? While recognizing the state’s primary role, many actors can and • The present approach to the issues would should play a part, including individuals, benefit from a far-reaching reinterpretation. businesses, communities and international Some additional considerations in choosing the organisations. overall approach are: • What means for promoting human security can be used? While some common tools/ • Degree of structural ownership: if national strategies are suggested (e.g. the principles of stakeholders are well accustomed to the pro- being comprehensive, contextual, participa- duction of R/NHDRs, it can be easier to deal tory, and preventive), reports should be cre- with sensitive issues. ative, innovative, and differentiate according • Precedents: previous reports could have to the context. opened the opportunity to follow-up in depth • Target levels – are there examples of too little on certain issues. or too much (human) security? One should • Timeliness: forthcoming events can deter- preferably use some form of cost-benefit anal- mine the focus—e.g., approaching the end of ysis to explore trade-offs implicit in focusing the MDG period can trigger a comprehensive on one threat rather than another, and on one mapping report to explore how to set the type of response compared to another (Jolly post-2015 agenda. and Basu Ray 2006). • COs, especially if preparing their first human security report, may wish to include issues Another consideration at this stage is whether already conventionally recognized as ‘secu- to focus primarily on institutional consolidation rity’ matters, in order to show the value or institutional innovation. These approaches added by also broadening the meaning of are not exclusive, but the choice will have an ‘security’ beyond these conventional topics. impact on many aspects of the report. The deci- sion to favor one over the other is usually justi- fied by one or more of the following reasons.

5 THE PROCESS • Match the budget and the methodology selected. Different types of reports have dif- The key steps in the process for preparing every ferent budget requirements. Comprehensive R/NHDR apply here (see Section 2 in the R/ mapping reports and those including elabo- NHDR toolkit). But adopting a human security rate surveys are more expensive. focus also requires highlighting the following • Consider the need to train people in human aspects. security analysis, particularly if it is new to • Build strong partnerships throughout the the country, and ensure there is a range of whole report process. The process of preparing different skills and perspectives present in the an R/NHDR depends on established partners report team. The team should reflect the trans- and new strategic ones, the choice of which disciplinary nature of human security. should vary according to the type of human • The background papers are the backbone of security report and issues selected. the report, and thus it is crucial that agree- • Broad consultations around strategic choices ment on all the basic questions about the per- are important in order to decide an approach spective of the study has been reached and is and framework. As human security reports are reflected in the terms of reference for commis- tailored to the context, and the choices taken sioned work. must take into account sensitivities around • The final report can be greatly improved the issues discussed, involving all stakehold- through extensive peer review, throughout the ers is important. The consultations could start course of the project that gathers feedback on by asking what human security means in this conceptual, statistical and political issues, etc. specific country at this time.4 • A long-term perspective is important. Human • Given the novelty of human security reports in security is an exploratory and relatively new some places, it can be useful to identify jointly approach, which partly will deliver impacts with all stakeholders a distinctive profile/ in the longer term because it can stimulate rationale for the report, to clarify its specific rethinking and promote new cross-sector link- contribution to the nation. ages. Therefore it is valuable to engage actors • Involve strategic partners. The choice of in the process who will reflect on the concept emphasis on institutional change or insti- and have a capacity/willingness to innovate tutional consolidation has implications for after they return to their daily roles (e.g. in the which organizations would be of most stra- police, military, or planning offices). tegic interest for the report team. A report • Be sure to nurture the technical networks that focused on consolidation would seek a close are created around the report process. The interaction with the organizations targeted. capacity created is an impact of the report and One focused on innovation could be cata- those people can go on to champion human lyzed by the involvement of recognized agents security thinking. of change (Such as those seeking change through advocacy, investment, building knowledge and/or political will).

4 As the UN General Assembly Resolution notes, human security is based on national ownership. Since the political, economic, social and cultural conditions for human security vary significantly across and within coun- tries, and at different points in time, a human security approach must strengthen national solutions which are compatible with local realities.

6 Preparing the report

Once the type of report and process has been Examples include: (1) moving the perception of decided, it is time to plan the preparation. The an issue from one based on fear to seeing it as process combines three components: prepar- also an opportunity; (2) strengthening the bridge ing the conceptual framework, planning the to human development themes through working approach to data, and designing and using the with the concept of securitability, which concerns validation and consultation mechanisms. The people’s ability to contribute to their own secu- components do not change very much accord- rity, the ability to avoid, cope with and overcome ing to the type of human security report, so we situations of human insecurity5; (3) avoiding present them in general terms first, and then offer unnecessary securitization of issues that could be specifics for each of the four types of report. dealt with through a human needs perspective on welfare systems6; (4) and combining human security and human rights perspectives to iden- GENERAL CONSIDERATIONS tify various ways to overcome challenges. • Some successful teams have found it useful to 1. Conceptualize the theme: build a agree on a conceptual map of the report, or conceptual framework some other visual representation of the con- • Agreeing on definitions, terminologies and cepts behind the report (e.g. Benin NHDR language – the process for the report concep- tion, composition and refinement will benefit 5 http://www.lu.lv/fileadmin/user_upload/lu_portal/ from building a general agreement on the defi- projekti/citi_projekti/undp2003_ful_en.pdf (securitability nitions, terminologies and language to be used. is a concept developed by the Latvia NHDR 2003) • No idea is beyond discussion. For instance, 6 Securitization means calling something a security the question “whose security?” is one of the problem, including when it might not necessarily be one. If a subject is successfully ‘securitized’ this legitimizes less explored questions in existing human resort to extraordinary means to solve the problem, e.g. security reports and often needs more careful declaring a state of emergency or mobilizing the military. attention—in terms of identifying vulnerable Further, if something is labeled a as a security problem, populations, exploring improved targeting it can be seen as illegitimate for ordinary public debate— see Barry Buzan, Ole Waever, and Jaap de Wilde, Secu- strategies, and the like. rity: A New Framework for Analysis (Boulder: Lynne Ri- • Human security usually acts as an umbrella enner Publishers, 1998). Some issues like HIV-AIDS have been presented as security threats but some experts concept, that is, it helps in linking approaches have resisted this approach given the consequences it and other concepts that actors use in their daily can have— Michael J. Selgelid and Christian Enemark, work related to the issue(s) at hand. We men- “Infectious Diseases, Security and Ethics: The Case of tion some of those concepts in the examples of HIV/AIDS,” Bioethics 22(9) 2008 pp 457–465; a security focus can be of help in the moment of crisis to raise human security reports given below, but there awareness and momentum for action, but the nature of are plenty more. the HIV threat and the relevant policy responses better fit an approach framed in terms of needs and welfare. For • Human security reports do a better job when a perspective that frames also understanding conflict in they link to the other human concepts, espe- terms of (frustrated) human needs and drives, see Bur- ton, J. W. 1990. Conflict: Basic Human Needs. New York, cially human development and human rights. NY: St. Martin’s Press.

7 2011, see also box on page 11). Teams can try Regional (and global) reports are also helpful to do the same during their consultations. for addressing thorny issues at a national level, and offer advantages for dealing with many transna- tional issues, such as migration or climate change. 2. Integration with human development One common task for all teams working on 3. Data mapping reports is to explain the links between human security and human development. According to Data, whether primary or secondary, must be at the kind of human security report envisioned, the the heart of the report. Sources can be primary explanation might differ: or secondary. • If possible include some primary data collec- • Integration can happen at least at three dif- tion: Undertaking a survey or other data ferent levels: (1) at the conceptual level (Arab gathering activity to support the NHDR will Countries 2009, Afghanistan 2004), (2) at the increase the chances of having a successful data level (Benin 2011, Costa Rica 2005), or report. Collecting data is a demanding activ- (3) at the policy relevance level (Latvia 2003). ity in terms of time, effort and resources, so Previous reports offer examples, some of each group has to make a cost-benefit analy- which are named below, and new teams are sis before deciding what to do. In any case, encouraged to explore the options. the more sensitive the issue at stake, the more • At the conceptual level, there are different important it is to have solid evidence. aspects noted in the literature, among them: • Considerations for deciding to collect primary (1) human security criteria help prioritize data include: (1) when gaps in data critically human development concerns and protect affect a report’s analysis and can’t be filled by the most fundamental choices and freedoms in-depth analysis of existing surveys; (2) when inherent in the human development approach; there is capacity and budget to collect and (2) human security analysis is concerned with analyze the data in a timely manner. assuring basic threshold levels, as emphasised for example by the MDGs; and (3) human • Reporting on human security will often benefit security analysis is concerned with downside from understanding both the objective and subjec- risks that could endanger and destabilise tive sides of threats (and of the values threatened) human development achievements. and then systematically comparing them. Such an analysis is encouraged, as perception data • At the data level, the analysis will benefit from complement objective data and may increase the comparing human development measure- impact of a study. Perception data can be gath- ments with the data on human security gath- ered through group discussions or individual ered for the report. surveys, can offer insights about a population’s • The constructive perspective of human devel- state of mind and can identify ungrounded per- opment policies complements the threat- ceptions (and/or weaknesses in official data). focused human security approach. Perception surveys can offer a fruitful niche for primary data gathering for human-security Bear in mind that human security reporting may oriented HDRs and offer an attractive start- involve sensitive issues that require special han- ing point for teams: see e.g. Latvia 2003, Benin dling, through (1) establishing deep and inclusive 2011; several citizen security reports offer good national ownership and (2) robust grounding of examples too (e.g. Caribbean Regional Report the research including support wherever neces- 2012, Costa Rica NHDR 2005). sary by solid data.

8 • Two helpful classifications for thinking about the security situation are presented in the following tables: Table 1: Perceptions versus evidence

Security Perception is of low threat Perception is of high threat

Evidence shows threat is low Security Excessive worry

Evidence shows threat is high Insecurity

Excessive confidence

Table 2: Expert views versus popular views **

EXPERTS EXPERTS ASSESS EXPERTS UNDERESTIMATE DANGER ACCURATELY OVERESTIMATE DANGER DANGER

THE PUBLIC UNDERESTIMATES Time bomb Expert alarmism DANGER Public blindness THE PUBLIC ASSESSES DANGER Threats are well ACCURATELY Professional blindness THE PUBLIC OVERESTIMATES understood DANGER Unfounded public panics Society-wide panic

** Beyond this classification are the unknown unknowns which no one can estimate properly. or indexes. Devising these surveys is more demanding in terms of resources, time, capac- There are at least two strategies for surveys and ity and coordination but, given the potential they serve different goals: wealth of information from them, some reports • Short thematic surveys devised to deal with can make such surveys their main pillar. specific issues—e.g., identifying the degree of • Consider preparing an HS Index, to focus discus- discrimination towards an ethnic group; docu- sion and attention: preparing a country index menting public perceptions of specific threats; can help synthesise information, add appeal or evaluating reliance/trust in different secu- to the report, and help communicate the find- rity providers. These studies are cheaper and ings. An additional added value of new mea- easier to carry out than longer surveys (dis- surements is that they can help with a report’s cussed next). But while careful design can help follow-up, especially if the data collection is ensure they provide good information, reports mainstreamed through partnerships forged will often require more information than those during the report preparation. The reports of provided in such surveys. Benin 2011 (see box on page 11) and Costa Rica 2005 provide impressive examples.7 • Comprehensive surveys covering a wide range of issues allow the testing of several hypotheses 7 There are several approaches to measuring human and building comprehensive measurements security and producing an index.

9 help understand empowerment and to under- POTENTIAL AREAS OF ANALYSIS stand how different threats can be tackled. 1. Comprehensive-mapping reports • Consider using different approaches to gather information on difficult issues—e.g. some sen- Description: sitive topics might be better covered via writ- ten questionnaire than through face to face R/NHDRs that present an overview of the key interviews (illustrated by the Latvia report). threats to priority values in a given country (or region), including challenges that require institu- tional innovation. Points to bear in mind: • The standard seven security categories — eco- Application: nomic, food, health, environmental, personal, • Mapping reports can be used to study a variety community and political security — can be of threats, including those that are not yet on used if they are useful for the particular report, the radar-screen but which may soon become but feel free to adapt, or add to them. big issues. They can provide a basis for future • Make sure the list of threats examined includes reports and inform preventive action. both popular issues and less well known ones. • Mapping offers an opportunity to ponder the • Comprehensive mapping reports cover many real importance of threats versus the attention issues, so it is essential to frame the report’s society places on them, as well as whether objectives clearly. some of those threats are (or could be) seen as • There is a trade-off between examining all opportunities —e.g., migration. threats or taking a detailed look at fewer • This kind of report offers an opportunity to threats and their interconnections. It is not examine the statistics used by local institutions realistic to expect that one report can suggest for policy and to identify data gaps. solutions for all issues. • The design of the report can also be tailored to • A mapping report is useful for identifying assess the situation of different networks (seen future research agendas, but usually less useful as security providers) and how these networks for an in-depth study of root causes of threats. protect and empower the population.

Supporting concepts: 2. State-building reports Risk perception, Network theory, Governance, Description: 8 Securitability. R/NHDRs using a multi-issue framework to consider the complexities of institutional con- Role of perception measurement: solidation and to help reconstruct a failed, or The relationship between objective threats and near-failed, state. subjective threats is fertile ground for analysis. • It can be useful to consider both the personal Application: and social spheres separately, especially to • This type of report is specific to fragile or failed states. 8 For more information on supporting concepts, • Emphasis is often placed on human security please see: Oscar A. Gómez S., Des Gasper, Yoichi Mine: providers and the strengthening/consolidat- Good practices in addressing human security through Human Development Reports – report prepared for the ing of institutions. That means the question of Human Development Report Office, UNDP, 2013. orienting state institutions towards providing

10 human security is pursued. The capacity to Putting human security analysis into provide human security depends on an effec- practice: The 2011 Benin National tive state that can manage public goods. Human Development Report • This type of report could also be relevant for cases of catastrophic disaster and crisis response. The 2011 Benin NHDR makes a broad array of policy recommendations, fol- Supporting concepts: lowing an analysis of the seven securities, State building, security sector reform, peace and highlights the most urgent issues. building, good governance.9 Recommendations often target multiple levels and sectors – the individual, the local Role of perception measurement: and the national level, the private sector, civil society and development partners • Perception measures are useful to understand and they correspond with recommenda- the instability of institutions. tions for enhancing human development. • Depending on the context, perception surveys However, they are not able to analyse also cast light on whether conflict is the main many threats in depth and instead provide concern or threat affecting populations. a basis for further analysis. Points to bear in mind: Comprehensive mapping reports can thus guide future analysis and influence • Multiple concepts are important in state- policy decisions, as the Benin example building reports and it can be demanding to shows: work with all of them – so be careful to avoid conceptual confusion or using too many con- 1. The report developed a Human cepts at the same time. Human development Security Index1 and introduced it into and human security can serve as umbrella the national statistical system. The concepts under which other aspects can be partnership with the national statistical elaborated. Remember that the integration agency assured the sustainability of the can be done at different levels: the conceptual, Human Security Index and also made data, or policy proposition levels. it easier to monitor the impact of the report through the new index. • Data tends to be scarce in such countries, so the problem of how to get it (including 2. The report also came up with 21 human through innovative methods) can be central to security priorities2, covering all the cat- the report. egories proposed by the first UNDP human security report in 1994. While • State-building challenges and opportunities the government (and parliament) must are different in each country, so the structure decide the policy agenda, the report of the report and its adaptation to context will can catalyze their considerations. differ and help determine whether the report has policy relevance. • Prioritization between topics may be less important than in other report types. As 1 http://hdr.undp.org/en/reports/national/af- rica/benin/NHDR_Benin_2010-2011.pdf, page 108 9 For more information on supporting concepts, please see: Oscar A. Gómez S., Des Gasper, Yoichi Mine: 2 http://hdr.undp.org/en/reports/national/af- Good practices in addressing human security through rica/benin/NHDR_Benin_2010-2011.pdf, page 25 Human Development Reports, Report prepared for the Human Development Report Office, UNDP, 2013.

11 presented by the Afghanistan team (see box), the threats underlying the fragility of the state Putting human security into practice: are strongly interrelated, and the extent of Policy recommendations in the interdependence prevents giving a hierarchy 2004 Afghanistan National Human to them. Effective institutional consolidation Development Report1 requires dealing with all key challenges simul- taneously, notwithstanding the pragmatic • The report’s recommendations are cen- need to prioritize. tered on addressing the causes of conflict • State-building reports should have an optimis- in order to achieve at least a minimum tic outlook that can inspire institutional con- standard of security that allows for sur- solidation, possibly through offering a new vival, livelihood, and dignity. development vision for the state. • All development strategies based on human security and human development analyses 3. ‘Citizen Security’ reports need to address inequalities between groups in order to avoid failure and renewed conflict. Description: Disaggregated analysis across social, ethnic, These R/NHDRs concentrate on a single set of gender and regional groups is essential. values that are often known as citizen security and • The government should deal with issues on the institutions that deal with that set. Citizen of justice and stability simultaneously. security reports serve as an example of how to con- • The government needs to regain its monop- centrate on one specific set of threats/values to help oly of ensuring physical security, ending the consolidate existing institutions/organizations (see privatization of physical security services. the contrast with the other types of reports). 1 http://hdr.undp.org/en/reports/national/asia- Application: thepacific/afghanistan/name,3292,en.html • Fundamentally oriented to explore issues of 10 crime and violence. Supporting concepts: • Be aware that the broad approach of human Citizen security, Fear of crime, Security sector security is narrowed by this focus on rather tra- reform, Conflict studies. ditional threats, specifically violence and crime. • It is important to relate the concept to the Role of perception measurement: human security component of ‘personal secu- • To compare the level of fear with the actual rity’: lay out the reasons for that explicit focus occurrence of the phenomenon. and ensure that the linkage to broader human • To assess the perceived ability of institutions security is kept in mind throughout the report. in tackling the phenomenon. • This report model is also useful when assess- ing institutions/organizations dealing with a Points to bear in mind: specific issue—e.g., the police. • It is fine to do this sort of report using a tradi- • Experience in citizen security perception sur- tional ‘security sector’ focus, human security veys shows the possibility of sophisticated questionnaire design for data collection. 10 For more information on supporting concepts, please see: Oscar A. Gómez S., Des Gasper, Yoichi Mine: • This is a useful approach for analyzing root Good practices in addressing human security through causes of crime and violence. Human Development Reports, Report prepared for the Human Development Report Office, UNDP, 2013.

12 research certainly includes room for more traditional analysis. Make sure though to link Putting human security into practice: the analysis with human development, and Policy recommendations in the 2012 ensure that the links are well understood and Caribbean RHDR guide the report. • Perceiving citizens as co-producers of • The approach carries the risk of giving lower security: the report recommended the priority to other, sometimes more funda- strengthening of citizen participation and mental, issues of human security in a society community engagement. and also to the rights and needs of non-citi- • Overhauling the justice system, e.g. by zens, who risk exclusion, possibly leading to improving access to justice through reduc- stigmatization. ing costs and providing low cost alterna- • A major challenge — and opportunity — for tives for case settlements or by establishing human security analysis arises when the per- rehabilitation strategies for juveniles. ception of crime and its impacts is (consider- • Ensuring that national security policies are ably) greater than the reality. linked to long-term development policies • While it seems in principle a focused approach, • Scaling up prevention programmes. The many different threats can be considered report calls for greater attention to crime under ‘citizen security’. Sensitive issues, such as a social problem and for programmes as domestic violence, are often overlooked, targeting the roots of crime and promot- though they are important for citizen security. ing greater social justice. • The analysis offers the chance for strong and rich policy messages. Keep in mind though limitations, e.g. if they concentrate too much that these reports often analyze institutions on the traditional security apparatus, or fail to that are not necessarily accustomed to hav- suggest alternatives when perception of crime ing their performance evaluated, such as the is much greater than its actual occurrence. police, and that objective evaluations of their performance are hard to find, while negative perceptions often prevail. Because of that, 4. (Lead) Challenge-driven reports robust scaffolding for the report, includ- Description: ing solidly grounded data, is highly recom- mended, as seen in the Costa Rica 2005 and R/NHDRs that concentrate on a single challenge the Caribbean 2012 reports (see box). while exploring its multiple determinants; the • Due to the mentioned sensitivities, robust challenge is typically found to be open to mul- sample sizes are particularly desirable to tiple responses, which need not be constrained to ensure the data are beyond reproach. act only within conventional institutions. • A careful preliminary assessment is neces- sary in order to decide on the approach to Application: take – whether to apply the concept of citizen • The model makes a comprehensive review of security; to try addressing the issue as one of one selected family of threats (or one threat- personal security through a challenge-driven ened priority value). report; or by re-assessment in comparison with • The focus on one lead issue allows a sharper other threats through a comprehensive map- focus, and leads to testing hypotheses and ping report. Citizen security reports can add connections between different possible causes valuable inputs but at the same time can have and effects.

13 • It can also explore complex issues such as social exclusion from a threat perspective. Putting human security into practice • The approach allows flexibility in proposing – Policy recommendations in the 2012 institutional consolidation or innovation. Africa RHDR: • Often these reports can be based on an The report ensured food security was seen established conceptual framework (e.g. if the as a multi-faceted challenge, therefore policy selected challenge is food security), which recommendations should encompass various also provides the opportunity for the R/ areas, such as: NHDR to go further and add additional/ • Encouraging adoption and sustainable use alternative human security based concerns to of agricultural inputs. the established definition (e.g. Africa RHDR • Investing in infrastructure and develop- 2012, see box on page 15). ing financial markets (including credit and • Conceptual clarity and a focus on causes and insurance). challenges helps lead to specific and clear pol- • Creating and applying local knowledge (e.g. icy recommendations. via agricultural extension services, which promote new agricultural practices and Supporting concepts: support to generate and diffuse localized knowledge). Other securities (e.g. food security, energy secu- • Engaging youth in agriculture. rity, water security; perhaps climate security, • Stimulating individuals to take action for cultural security); social exclusion, modernity, good nutrition (e.g. during pregnancy and transition.11 breastfeeding). • Generating public action and nutri- Role of perception measurement: tion-focused policies (e.g. micronutri- • Perception surveys offer a new lens through ent campaigns, behavioral change, food which R/NHDRs can re-examine phenomena supplementation). that have become viewed in a standardized way. • Voice and participation, e.g. through pro- • Lead-challenge survey reports can learn from ducer organizations. citizen security reports, as they provide useful • Social justice and accountability e.g. through experiences in perception surveys.12 social audits, access and control over land.

Points to bear in mind: climate change – two related issues, but huge • Including more than one lead challenge can topics in their own right – is probably better affect the final result by diluting the report off focusing on one of the two challenges and and preventing in-depth analysis. If it is not presenting the other through the framework essential to add a second or third lead chal- of analysis established for that first challenge. lenge, then it is better to discuss those themes • To be clear: looking at multiple threats/causes as issues related to the selected lead. For relevant to a particular lead issue remains instance, a report addressing food security and essential in this type of study, and adds value 11 For more information on supporting concepts, compared to more conventional studies in please see: Oscar A. Gómez S., Des Gasper, Yoichi Mine: these sectors. The problem mentioned above Good practices in addressing human security through concerns trying to consider two or more lead Human Development Reports, Report prepared for the challenges (leading threatened values) in a Human Development Report Office, UNDP, 2013. single report. 12 ibid, for more information on perception surveys.

14 Resources

Background material for this guidance note Oscar A. Gómez S., Des Gasper, Yoichi Mine: Good practices in addressing human security through Human Development Reports. Report prepared for the Human Development Report Office, UNDP, 2013. UNDP Human Development Report 1994, New Dimensions of Human Security (New York, UNDP, 1994). Available at http://hdr.undp.org/en/reports/global/hdr1994/ Commission on Human Security, Human Security Now: Final Report (New York: CHS, 2003). Richard Jolly and Deepayan Basu Ray, The Human Security Framework and National Human Development Reports: A Review of Experiences and Current Debates, NHDR Occasional Paper 5 (New York: Human Development Report Office, UNDP), 2006. Available athttp://hdr.undp.org/en/media/ NHDR_Human_Security_GN.pdf

Regional and National HDRs reviewed for this guidance note

COMPREHENSIVE FO- NARROWER FOCUS CUS

Investigation of the context- Focus on a priority threat- Focus on a priority set of Focus on a selected, specific range of primary ened means: the State threatened values: citizen context-specific threats to primary values, safety, often with main primary threatened and without restriction in attention to use of conven- value or primary terms of how to organize tional security instruments threat, without restriction in terms security provision of how to organize security provision

Comprehensive mapping State-building reports ‘Citizen security’ reports Lead-challenge driven reports  Afghanistan (2004)  Caribbean (2012) reports  Arab Countries (2009)  Democratic Re-  Costa Rica (2005)  Africa (2012)  Benin (2011) public of Congo  Philippines (2005)  Chile (1998)  Kenya (2006) (2008)  Macedonia  Latvia (2003)  Occupied Palestinian (2001)  Thailand (2009) Territories (2009/10)  Mali (2009)  Senegal (2010)

Other relevant literature, resources, stakeholders for human security analysis The report database of the Human Development Report Office, includes all reports drafted on the subject of Human Security: National reports http://hdr.undp.org/xmlsearch/reportSearch?y=*&c=n&t=human_security_and_conflicts&lang=en&k= &orderby=year Regional reports http://hdr.undp.org/xmlsearch/reportSearch?y=*&c=r&t=human_security_and_conflicts&lang=en&k= &orderby=year

15 Human Security Unit, UN Office for the Coordination of Humanitarian Affairs (OCHA) The Human Security Unit (HSU) is part of the UN Office for the Coordination of Humanitarian Affairs (OCHA) since 2004. It manages the UN Trust Fund for Human Security (UNTFHS) and sup- ports ongoing discussions at the General Assembly. Its objectives are: • Underscore the importance of human security for all • Respond to different situations of human security • Develop practical tools • Disseminate lessons learned and foster collaboration Contact details: [email protected] The HSU maintains a list of relevant UN documents and some literature at: http://www.unocha.org/humansecurity/resources/publications-and-products

Human Security Index The Human Security Index (HSI) results from over 25 years of indicator development. It was first released at the Conference ‘Towards a Sustainable and Creative Humanosphere in 2008 (GIS IDEAS) and as a refined version by the UN Economic and Social Commission for Asia and the Pacific in 2009 (http://www.unescap.org/pdd/publications/workingpaper/wp_09_03.pdf). It has an economic, an environmental and a social component and could provide useful input for the development of indi- ces within NHDRs. Information on the Human Security Index: http://www.humansecurityindex.org/

Human Security Alliance The Human Security Alliance works to create regional coordination in South and South East Asia for human security through a networked alliance of organizations and specialists that are assisting com- munities and organizations in addressing their human security challenges. http://hsa-int.net/ Focus on political and personal security:

Ford Institute for Human Security The Ford Institute for Human Security engages in independent and collaborative research on causes of political violence, the effects of conflict on civilians, methods of conflict resolution, and transitions from conflict to stable peace. We make our research findings available through publications, presentations and consultation to national and international policy makers, non-governmental organizations and other interested parties. The Ford Institute treats human security and national security as mutually reinforcing. The gravest threats to human security arise when governments are unable or unwilling to protect their population from internal and external threats. Governments face their greatest challenges when the lives and livelihoods of the people they govern are threatened. http://www.fordinstitute.pitt.edu/

Human Security Report Project Analyzing trends in organized violence around the world: www.hrsgroup.org

Human Security Gateway Related to the Human Security Report Project, the Gateway is an online database of human security related resources: http://www.humansecuritygateway.com/aboutUs.php

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