INSTITUTIONS HUMAN RIGHTS NATIONAL MANUAL FOR CAPACITY ASSESSMENT

A B CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Design andLayout: Communication Inis –www.iniscommunication.com http;//asia-pacific.undp.org Bangkok 10200, 3rd Floor NokAve. Rajdamnern Building, Service UNDP Asia-Pacific Regional Centre tohelp insight and local perspective empower lives andbuildresilient nations. global offer we territories, and countries 177 in ground the On everyone. for life of that quality the improvesgrowth of kind the sustain and drive and crisis, withstand can nations that build help to society of levels all at people with partners UNDP CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Acknowledgements

This manual is the product of a partnership between the Asia Pacific Forum of National Human Rights Institutions, the Office of the United Nations High Commissioner for Human Rights, and the United Nations Development Programme Asia Pacific Regional Centre. It was authored by Heidi Han, who worked on six of the seven assessments and developed the capacity assessment for National Human Rights Institutes training module. The manual has benefited from comments and contributions from Francesca Albanese, Aparna Basnyat, Johanna Cunningham, Kieren Fitzpatrick, Emilia Mugnai, Sisi Shahizadeh, Chris Sidoti, and Sudarshan. Dipa Bagai, Niloy Banerjee, Robert Bernado, and Pauline Tamesis, and have also been supporters of the Capacity Assessments for NHRIs from the outset.

The team appreciates the insights, professionalism and friendship of the staff of the National Human Rights Institutions whose commitment to their work, and to doing their work even better, has driven this process and helped make these assessments so successful. The evolution of this methodology to its current level of sophistication and effectiveness is due to the contributions that they have made – by being open to experimentation; by reacting and commenting during their own assessments; by contributing to debates in workshops, training sessions and APF forums; and by generously sending staff to participate in assessment teams. Our particular thanks to Hashimah bt Nik Jaafar, Ahmad Ameen, Samar Tarawneh, Weerawit Weeraworawit, Hussein Bitar, and Randa Siniora who not only contributed to their own NHRI assessment but gave their time and efforts to the assessment of in other countries. Acronyms

AIHRC Independent Human Rights Commission APF Asia Pacific Forum of National Human Rights Institutions APRC UNDP Asia Pacific Regional Centre CA Capacity Assessment CAP Capacity Assessment Partnership CSO Civil Society Organisations HRCM Human Rights Commission of the ICC International Coordinating Committee of National Human Rights Institutions for the Promotion and Protection of Human Rights ICHR Independent Commission for Human Rights of the Palestinian Territories INGO International Non-Governmental Organisations NCHR National Centre for Human Rights in NHRCM National Human Rights Commission of NHRCT National Human Rights Commission of Thailand NHRI National Human Rights Institutions NIRMS National Institutions and Regional Mechanisms Section, OHCHR NGO Non-Governmental Organisations OHCHR Office of the High Commissioner for Human Rights SUHAKAM Human Rights Commission of UN United Nations UNCT United Nations Country Team UNDP United Nations Development Programme Table of Contents

I. Introduction ...... 1

II. The capacity assessment approach for NHRIs ...... 5

III. The step by step guide to conducting a capacity assessment for a national human rights institution ...... 9 3.1 Preliminary – engaging with the NHRI ...... 11 3.2. The preparatory visit ...... 12 3.3 Before the assessment visit ...... 14 3.4. The assessment visit ...... 14 3.5 After the assessment visit ...... 32

IV. Linking the capacity challenges to the response strategies ...... 35 1. Strengthening independence and legitimacy 35 2. Strengthening the NHRI’s institutional arrangements (internal policies, processes and plans) ...... 37 3. Strengthening leadership and management functions ...... 38 4. Strengthening human resource management ...... 39 5. Strengthening knowledge and knowledge management ...... 40 6. Strengthening partnerships and external relations ...... 42

V. Country experiences: from Malaysia to Mongolia ...... 45 The Human Rights Commission of Malaysia (SUHAKAM) ...... 45 The Human Rights Commission of the Maldives (HRCM) ...... 46 The National Center of Human Rights in Jordan (NCHR) ...... 47 The National Human Rights Commission of Thailand (NHRCT) 47 Independent Commission for Human Rights of the Palestinian Territories (ICHR) 48 The Afghanistan Independent Human Rights Commission (AIHRC) ...... 48 The National Human Rights Commission of Mongolia (NHRCM) 49 Annexes ...... 50 Annex 1. Briefing Note on the Regional Capacity Assessment Partnership for NHRIs 51 Executive summary ...... 51 Project overview ...... 53 Implementation ...... 55 Benefits to NHRI ...... 58 Benefits to other NHRIs ...... 59 Annex 2. The Capacity Assessment Matrix for National Human Rights Institutions (NHRIs) ...... 60 Annex 3. Sample Capacity Assessment Worksheet ...... 68 Instructions and Worksheet ...... 68 Score/Rating: ...... 68 Annex 4. Sample Excel Spreadsheet ...... 70 Annex 5. List of Documents to Review ...... 75 Photo: UNDP Picture This / Leonardo Sexcion Sexcion /Leonardo This Picture Photo: UNDP H CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS the capacity assessmentmethodology initsregion. applying in interest an expressed has Institutions, Rights Human National Pacific Asia wellthe As Forum’s of African in Africa, body sister Network the has soughtassistance too. process withthePalestinian andAfghanistan Commissions, and same the out roll to reached been has agreement initial Now Jordan. and 2009, and this year have been implementing the same process in Thailand and 2008 in Maldives the and Malaysia of commissions rights human the of assessment capacity facilitated jointly difference. example, we big For a make can we together that us tells past the in Commissioner High the of Office the and Forum Pacific Asia the with working of experience UNDP’s I. INTRODUCTION Helen Clark at the National Human Rights Commissions Commissions Rights Human National Bangladesh the at Clark Helen 13 November 2010 Regional Forum Regional

1 I. INTRODUCTION Introduction 2 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS methodology for NHRIs. for methodology assessment in capacity yet a flexible systematic, much more comprehensive, resulted have and assessments capacity previous the from learned lessons the incorporated assessments capacity these of Each (NHRCM). Commission Human Mongolia of Rights Human Independent National the the and Afghanistan (AIHRC), (NCHR), the Commission Rights Jordan (IHRC), Palestine in Rights in Human Rights Independent Commission the Human Thailand, of for Commission Rights Centre Human National the engaged have with partners CAP the assessments, capacity two first the Since These Maldives. the model methodologysuitablefor NHRIs. of Commission Rights a developing in helped that experiences were Human assessments learning valuable the with then and (SUHAKAM) Malaysia Rights of Commission Human the with conducted,first In 2008-09, two pilot capacity needs assessments of NHRIs in the region were strategies to foster thisimprovement. potential and improve,to needs it which in areas self-identify NHRI the help to intended is NHRIs.methodology of assessmentcircumstances revised The assessment template for national institutions – and adapted it generic to a the – particular methodology assessment region. capacity UNDP the the took partners in The NHRIs CAP to the assistance coordinated 2008, provide July to In developed was world. the around establishment NHRIs the of supporting strengthening of and/or history long a had similarly has OHCHR region. the in NHRIs independent of strengthening and establishment the supports that organisation based member a is Pacific Forum Asia rights. The human of protection and promotion the for systems national to support the of part as NHRIs of number a supported has Asia-Pacific UNDP the region, In each experience of years Institutions. Rights Human National and to providingsupport in has organisation strengths the on based is partnership The Assessment astheCapacity since become Partnership known (CAP). Human Rights National Institutions through capacity needs assessment. strengthen That collaboration to has initiative an began in APRC) (UNDP Centre Bangkok Regional Pacific Asia Programme Development andthe (OHCHR) Nations Rights United Human for High Commissioner the of Office the (APF), Institutions Rights Human National of Forum Pacific Asia the 2008 In The CAP partners consider that their regional experiences of capacity capacity of experiences regional their that assessment for NHRIshave globalsignificance. hope They you agree! consider partners CAP The needs assessment. capacity a of conduct the for guide step by step easy an provides also It it. for relevance doing in involved its is what and it, from gain and can they that benefits the NHRIs, is assessment capacity what discusses manual This institutional strengthening. undertake they when NHRIs assist to cooperation international for basis firm capacity future a provides also It areas. significant most the in gaps those close tostrategies forecasting capacities,developing importantly, most and, gaps current capacity identifying requirements, assessing in elements quantitative and qualitative both incorporates It facilitators. expert external byassisted assessment self processof a with providesNHRIs rights.It human of protection and promotion the in effectiveness their increasing and NHRIs strengthening to approach useful very a offers methodology adapted The - TheAssessmentPartnership, Capacity 2011

3 I. INTRODUCTION Photo: UNDP Picture This / HO NGOC SON SON NGOC /HO This Picture Photo: UNDP 4 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS or capacities, does the NHRI need to build to be as effective as possible possible as effective as be future? to the in build to need NHRI the does capacities, or processes, and skills what future: the to looks it – assessment needs a is It past. the to looks – evaluations evaluation an not is It NHRIs. with to working approach of kind different a is methodology, (CA) UNDP’s for assessment on based capacity is strategies which develops assessment, The analysis, improvement. the on organisational based and, goals, its from NHRI assessment achieving the The preventing them. challenges key to analyses and available identifies method resources human and financial utilising the fully possible, as efficiently and to effectively as NHRIs mandate and their supporting fulfill OHCHR to APF, approach between systematic a develop to partnership sought a UNDP, as above described CAP, The requirements.capacity the futureforecasting assessing and weaknesses, identifying NHRI, the of in situation current elements quantitative and qualitative both incorporates to approach step by methodology assessment challenges. The step organisational specific identifying a provide to and facilitators expert external by Institutions assisted assessment self of process a Rights describe to developed been has (NHRI) Human National for Manual Assessment Capacity This APPROACH FOR NHRIs II. THE CAPACITY ASSESSMENT

5 II. THE CAPACITY ASSESSMENT APPROACH FOR NHRIS The Approach 6 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS and the product. process the over ownership full has is an internal self-assessment, the NHRI it Becausefacilitators. CA of team a of support and assistance the staff–with and commissioners itself–the NHRI the inside experts self-assessment,the by undertaken a is It NHRI. the of outsidersintimatewithno knowledge not an external exercise, is undertaken by process assessment the Uniquely, business processes as well as analysing stakeholder positions. stakeholder and analysing as well functions as operational processes business structure, helps also valuable organisational its a process CA is review The NHRI and the out process implementation. its carried planning be strengthening can of strategic It means the NHRIs. with of conjunction processes in priority planning work planning, and strategic the setting complements assessment capacity The required. if resources resources, increase to team CA financial The opportunities result. on a be advise may additional also that can although mobilise staff, or to resources not physical is objective report’s The NHRI. the of primary resources obtainable reasonably or current the within are that more strategies NHRI the identify to of tries It procedures effective. more and and efficient processes internal the staff, the individual of strengthen making to and capacities the strategies developing The including proposes NHRI. whole, a as the then NHRI of report deficiencies are final or staff gaps’ so, assessment’s doing ‘capacity In the the years. identify improve five to to next the invited needed over are NHRI the of developments what functioning and are NHRI weaknesses and the strengths of current the what asks assessment capacity A etc.). rights, rights human human towards behaviors overall and as attitudes well as policies, and laws, laws enabling NHRI (e.g. mandates and fulfill to such its NHRI the enables standards that (individual climate policy a and international effectively Principles; with Paris the as and compliance efficiently capacities); and run full institutional to the NHRIs internal in the of institution: involved capacities rights human factors national a of core functioning the effective considers assessment The achieve as an organization. are doing and what we want to officers, to really analyze what we and it helped all of us, including the because it’s a self assessment process It was a very useful tool for us Hashimah NikJaafar Hashimah SUHAKAM Secretary Photo: iStock

7 II. THE CAPACITY ASSESSMENT APPROACH FOR NHRIS The Process Process The

8 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS 2 The preparatory visit preparatory 2 The d. c. b. a. NHRI the with –engaging 1 Preliminary A NATIONAL HUMAN RIGHTS INSTITUTIONCONDUCTING A CAPACITY ASSESSMENT FORIII. THE STEP BY STEP GUIDE TO h. g. f. e.

Appoint members to the CA team and staff more fully, to seek the necessary formal approval If the NHRI is interested, propose a preliminary visit to brief commissioners process in simple terms, pointing out the benefits in undertaking a CA Provide the chairperson with a short briefing paper that introduces the CA of interest introduce the CA methodology to the institution and invite an expression Conduct aninitialexchange with the chairperson of the NHRI to Brief the UN Country theUNCountry Brief Team stakeholders to beinterviewed outside and reviewed be to documents identify Officer Liaison the With Have theNHRIappoint aseniorpersonasitsLiaisonOfficer commissionersBrief andstaff l. k. j. i. visit assessment the 3 Before y. x. w. v. visit assessment the 5 After u. t. s. r. q. p. o. n. m. visit assessment 4 The

stakeholders during the assessment visit appointments for the assessment team to interview the outside Arrange for the Liaison Officer or UNDP Country Office to make Agree ontheprogram andschedulingfor theassessment visit visitandthedocuments readpreliminary aninitiallistoflikelycoreMake issues, the basedondiscussionsduring Obtain andread therelevant documents, suppliedby theLiaisonOfficer Monitor andevaluate implementation implementation schedule an with together NHRI, the from report the to response formal a Obtain and directors andprovide it to theNHRI Finalisecommentsconsidering bycommissionersmade NHRI report the Finalise the draft report for the commissioners and directors for comment Present the draft report to commissioners and directors and brief them on it Prepare withfindingsand report, adraft recommended strategies strategiesDevelop worksheets Analyse qualitative andquantitative information from focus groups and Administer worksheets separately to commissioners andstaff Prepare theworksheets from thematrix Finalise thesetofcore assessment matrix issuesusingthecapacity collaboration, andpastplannedengagement withtheNHRI stakeholderstoinformation collect oncoordination, external Interview technical capacities, andpossiblestrategies to address gaps capacity directors andwiththestaff to identify core issues, required functional/ Conduct separate focus group discussionswithcommissioners,

9 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 10 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS then, withNHRIconfirmation, adhereto them. strictly to develop members should agree at this point on dates for each step of the process difficult and it and time consensus wastes approaches and best strategies. To go ensure this continuity the team and come members Having process. CA the throughout consistent be should team the of members The can beperceived asoverpowering by theNHRIbeingassessed. should the CA team exceed five persons.It becomes unwieldy to manage and NHRI staff member and as a subject of an assessment. Under no circumstances joins the team, providing valuable experience from both the perspective of an Institutions (APF). A senior officer of an NHRI that has already undertaken a CA Human Rights (OHCHR), and the Asia Pacific Forum of National HumanRights PacificRegional Centre (UNDP APRC), theOffice of the High Commissioner for Asia UNDP the members, CAP the by sponsored being is project the region PacificAsia the In visit. preparatory the undertake will team the of members all not though organisations, sponsoring the from drawn and by appointed are CA team the of members the visit preparatory a confirms NHRI the When approval by the during the NHRI visit,is necessary as described in 3.2. section however,formal CA; the for support of indication an is visit preparatory the to Agreeing team. assessment the by visit preparatory a stage: next the to proceed to whether decision briefing informed an make the and proposed is fromwhat note understand to able be should NHRI The appropriate. as NHRI, specific the of situation particular the for adapted be should note The 1). (Annex attached is note briefing model A NHRI. the to beneficial is it why explanatory short paper or briefing note to explain clearly what is offered and a with provided be should NHRI the of chairperson the interest, initial Upon but, ifthat isnot possible, theninwriting. person in preferably NHRI, the of head the with discussed and raised is offer buildinganddevelopneeds for strategies capacity to meetthoseneeds? The its identify to CA interested a be in NHRI the would offer: an with beginsThis CA. the for board on fully is NHRI the that ensure to is step first essential The 3.1 NHRI the with –engaging Preliminary the facilitation team. for Officer Liaison be to person senior a CA. appoints the then with NHRI The proceed to agreement formal provide should NHRI the entails, CA a what of During the preparatory visit, on the basis of the briefing and full understanding agrees to doso. stressed that the final can bereport shared with stakeholders only if the NHRI be should It report. final the of confidentiality the of assured be should They and and the number kinds of stakeholders the CA team would need to meet. worksheets assessment the identified, be will issues key how with familiar that there are for nosurprises themwhentheCAtakesplace. They shouldbe ensure to important is It staff. NHRI beforebriefed be should Commissioners and immediate benefit. direct of be to intended is it that and NHRI the foris NHRI, the that by process undertaken a is CA actual the that is message important The anxieties. and doubts resolve and questions answer process, and objectives clarify to opportunity an is briefing investment. The this from benefits ensuing the to as also but needs, previously CA a have time required the that to as NHRIs assessment an from undertaken perspectives provide to useful also is It focus group discussion and about two hours to complete the CA worksheets. a for minutes 90 about – onerous overly not is this that but worksheets, the all and commissioner staff will need to make time to meet with the assessment every team and to fill out that explain to important is It over. is it receivewhen will they product the and staff, and commissioners on place will it which it will be conducted, the time it will take as well as any other demands NHRI. the assessment,processthe the of Theobjectives bythe team explains of staff and commissioners the briefs team the visit preparatory the During members present. two least at be should there but visit preliminary the in involved be to team the before month a about actual assessment visit, is days,important for this. It is three not necessary for all of to the CA two of visit preparatory A that basis. on exercise the undertake to agree and – results the – and involved process is the what clearly understand must They NHRI. the of staff all and Prior to the assessment itself, the CA must be explained to the commissioners visit The preparatory 3.2. 11 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 12 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS should encourage this interest team assessment as commissioners. the The UNCT NHRIcan play theimportant withparts in meetings assisting in including points,keyinterestnumberinvolvedassessmentof thebea to inseek at and teamthemightrequire fromUNCT.the Sometimes keenwilltake a UNCT the about the CA project, the team’s schedule for the assessmentthem brief and UNCT relevant with the officialsshouldmeetandteam in anyCA The assistance Representative. Resident UNDP the through usuallyTeam, Country UN local Duringpreparatorythe visitassessmentthe teamalsomakes contact withthe the preparatory visit, or by e-mail as soon as possible Officerafter. gathers the documents and provides them to the team, if UNDP,possible duringOHCHR, andother national, regional andinternational governmentactors. The Liaison CSOs, INGOs, academic researchers, APF, from ministries and agencies, local NGOs and documents, reports.includealsoexternalcanThey relevant and documents legal NHRI, the of structure the on documents plans, work plans, strategic internal include can and documentsBackground read should assessment.thebeginthey analyseas team the that documents background key identify also team the Liaison Officer and The usually there are nomore ofaboutanhoureach. thaneight interviews, say; to something have might who stakeholder every interview to try to desirable or necessary not is it reason thatsources.For data subjective potentially on perspective external an obtaining of means a provide simply They are not selected to be representative of NHRI or partners focus areas but perceptions in order to validate or challenge what those inside the NHRI think. internal in to) opposition (or included of confirmation as serve performance they Instead, review. the NHRI of evaluations external not are interviews These media. the and centers, government, academic organisations, example, international of NGOs, for range perspectives, broad different a ensure from to drawn be areas should interest They work. its and NHRI the of interviewed. They should be people with existing knowledge and experience Together the and identify team stakeholders outside be Officer to Liaison the finalized not too long ago… our current Strategic Plan which we was useful because we could link it to The timing of the capacity assessment International Human Rights Rights Human International Commission of Thailand of Commission National Human Rights Rights Human National Atchara Shayakul AtcharaShayakul Affairs Bureau Affairs

ae rsosblt fr hs hwvr n oe ae te sitne f the of assistance the hasbeen Office required.UNDP Country cases some in however this; for responsibility takes usually Officer Liaison The stakeholders. external with the interviews including hour-long assessment, the to up lead the in team assessment the and Officer Liaison the between confirmed and finalised be should schedule The be collectedandreviewed canbefound at Annex5. should that backgrounddocuments the of list A documents. these on based a make can team The effectively. provisionalcorepossible of list toissues addressedbe assessmentthe during operate to needs NHRI the capacities functional and technical the legal of sense mandate, a NHRI’sgive and authority, the and framework of understanding basic a provide The visit. assessmentdocuments the before team CA the by assessed and analysed is The documentation collected during the preparatory phase of the assessment assessment visit the Before 3.3 officials UNCT participating ofin appropriateness meetings. the about judgments sensitive make to theNHRI inthe implementation ofthe CA report. However, theteam will need these steps are discussed in further detailhere.these steps are discussedinfurther of Each directors. and commissioners the to it present and report the draft then strategies.They development capacity and recommendations possible identify to both analyses and discussions, the from findings qualitative combines with data, quantitative the collects then team The week. second the in early complete staff NHRI the which collection data quantitative the worksheets for the prepare will team the the visit, the over through Generally, midway weekend interviews. external and discussions group focus and individual begins team CA the week, first the In weeks. two over conducted are schedule. Typicallyassessments intensive very a expect should team the Good preparation can reduce the pressure during the assessment period, but The assessment visit 3.4. 13 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 14 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS the CA team. It is not to obtain a performance evaluation oftheNHRI. isnotto obtainaperformance the CAteam. It theNHRI with discussions group commissioners and staff and from the documentation previously provided focus to the from findings the validate to only is interviews stakeholder external the of purpose the above, noted As questions. three same the ask stakeholders external the with interviews The partners and stakeholders external with Interviews 3.4.2 3. 2. 1. The group discussionsfocus onthree mainquestions: Itis needs. capacity to different understandtheissuesbothhorizontally andvertically.important have may position of levels and categories different and departments Different NHRI. the within position of levels and fromcategoriesand all whole. fromdepartments all selected be should a They as NHRI the for sample valid a be to number staff total the of proportion large sufficiently a be should involved number The organisation. whole the of representative are they that ensure to important is it involved, be to are staffthe of some only If impractical. be may however,this NHRIs, large very In discussions. group these in involved be should NHRI the of staff all Ideally staff. of There shouldbenomore than15personsinany group. categories different from or sections or departments NHRI’s the of each with the directors and the staff in appropriate, small groups, for example, from atthis (either introductory meeting or thecommissioners very shortly after it), followedwith by separate discussions is held discussion group focus first The assessment. the of schedule and results, anticipated process, purpose, the the of commissioners the between reminds team meeting The team. the introductory and commissioners an with begins visit assessment The interviews and 3.4.1 discussions Focus group the worksheets that are thequantitative component oftheassessment. of basis the capacities.form These functional and capacities technical issues, development core classifies and divides framework assessment capacity The matrix the capacities: and issues core the 3.4.3 Defining What canbedoneto overcome theseweaknesses? What are theNHRI’s weaknesses? What could itdobetter? What are theNHRI’s strengths? What doesit do well? skill set and asks, is the individual (or unit) capable of performing a necessary necessary a asks,and performing set (orof individual capable the unit) is skill individual particular a to refers capacities functional and technical Standard • • • • the include to: ability capacities These laws. rights rights human human enforcing and preventing violations towards responsibilities their in accountability accountability: Mutual framework. rights human international and national the as well as structures, and their procedures operating internal out standard the includes carry This better functioning. overall to their improve staff and NHRI mandate of understanding general and skills theindividual at aimed strengthening strategy development staff long-term Knowledge: • • • • • and seniorto middlemanagement, to: commissioners the of abilities the torefers capacity LeadershipLeadership: physical resources. and financial NHRI’shuman, the to relation in considered technology.is This communications and information of use good and human management, effective resource processes, business clear strategy, and mission clear a of mandateand effectively. functions its out tocarry existence the includes This internalproceduresimplement and todevelop processes orderand in ability formulation: policy rights human Internal standardSome core development issuesare: Regular monitoring andevaluationRegular ofinternal projects andprograms. Increase access to anduseofinformation andbuild coalitions Increase publicparticipation Strengthen national integrity oftheNHRI including NHRIstaff. Create anenvironment rightholders, that motivates andsupports based ontheuniversal standards ofhumanrights Develop, communicate, andguidetheNHRIvision,missionvalues, Strengthen relationships stakeholders withexternal Foster plural representation withinNHRIstaff Ensure theindependence oftheNHRI ees o h cpct t pt n lc ad prtoaie a operationalise and place in put to capacity the to Refers ees o h isiuinl blt t ensure to ability institutional the to Refers This refers to the institutional the to refers This 15 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 16 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS eue h nme o aes n h mti a mc a psil.Te final The possible. as much as number willusuallytotal shouldnever around exceed 30.It 40. matrix the in areas of number to team the CA reduce the of responsibility the is It number. total the reduce help to deleted, others, be such as can so ‘human resources’and NHRI and particular ‘knowledge’,the for priority may be combined a not or concern not of issues simply be will issues development core Some task. consuming time and complex very a them in data the analysing and worksheets the translating and completing making individual, each by completed and prepared be to were used without amendment or reduction, over 50 worksheets would have 2 Annex in matrix the If worksheets. all complete staff and commissioners all identified issue corresponding capacity will Each require a separate worksheetlimits. and manageable within number total the keep to taken be should When identifying specific issues and capacities for a detailed assessment, care capacity the for assessment worksheets for thecommissioners andstaff. blueprint the becomes then which matrix made’ ‘tailor a groups focus and stakeholder in interviews, and the documentation. The collected team then develops information of analysis the of basis the on NHRI the to concern priority of are matrix model the the in identified capacities for and priorities be will these of issues the of which determines teamassessed. CA being The NHRI all particular Not NHRIs. for self-assessment a in considered be could that capacities functional and technical the and issues core possible the all encapsulates 2 Annex in matrix assessment model The • • • • • • • Some evaluate. and and monitor issues, to standard capacitiesare: technical andfunctional ability the the of include might understanding skill deep functional a and knowledge background mayfunction require a number of skills. Technical may skills include sufficient action to fulfill a task required by the NHRI? A capacity to a perform necessary Monitor, evaluate andreport. Engage withstakeholders Advocate andraise humanrightsawareness Conduct humanrightsanalysis Investigate, handleandmanagecomplaints Formulate policiesandstrategies Assess asituation anddefinevisionmandate resources andknowledge. issue, core combined a found addresses worksheet model 3. The be Annex in can completion, its for instructions including worksheet, model mandate’. A [the] define and situation [the] ‘assessto capability functional and technical the ‘leadership’and on perspectives obtain to developed be implementing and managing and defining mandate, formulating (i.e. policies and strategies, and budgeting, it for required capacities functional and technical (i.e. or leadership; processes; issue core identified each relate worksheets The capacity. core that with associated issues separate of four) or (three number a include can worksheet each but NHRI the for matrix the in identified capacity core each for prepared is worksheet one above, noted As assessment. the of component quantitative the provide worksheets The worksheets assessment 3.4.4 Thecapacity in widerhuman are rightswork, visible andprioritised. and institution the within both equality, that women’sand empowerment ensure to Gender process CA for the into Framework incorporated been Assessment have Mainstreaming’ ‘Capacity the from statements Guide sex disaggregated data. requirescollatealso and technicalcollect capacitiestoNHRI the country the in women’spromote rights and protect to mandate institutional the improveTo work; developing technical capacities promotion to conduct gender and responsive budgeting. protection rights human their out carry they as staff female of needs the upon acting and understanding staff; to concepts gender basic on opportunities providinglearning professionalposts); and numbers in (both staff among balance gender appropriate an towards working includes latter strengthen the way gender issues are approached within the organization. The to strategies long-term implement and identify to opportunity provides and also function and mandate NHRIs’ the into concepts gender key translates instills processand assessment capacity the to elements gender Integrating The NHRImust reflect thisinbothitsexternal work anditsinternal policies. the ensuring to important protection ofwomen’s vitally rightsandbuildinganenvironment forgenderequality. are Institutions Rights Human National NHRIs andGENDER ), with the key key the with ), knowledge and resources human etc). So for example, one worksheet would worksheet one example, for So etc). nenl oiis poeue and procedures policies, internal sesn situation assessing human 17 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 18 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS However, sometimes this is considered too direct by NHRI staff. strategy?’.termlong the developingstakeholdersa inand partners ‘Canengage NHRI as such questions, as phrased In be may indicators the assessed. cases, some be should that skills and issues the represent appropriately they NHRI that agree and the team as long assessment as phrased, be should indicators the way the to or indicators of number the to as rules NHRI. fixed no each are There for adapted are statements)Indicatorsguide(or Indicators however group discussionontheindicators isfine. about takes individual; and anonymous generally be to supposed worksheets are worksheets The the hours. two all of completion The done. has be what to understands everyone worksheets the completing starts group the before that sure make members team required.The if questions answer and guidance provide to team CA the of members two or one with groups in sitting staff, and commissioners all by completed are worksheets the All Process • • taken from thematrix: statements, guide or indicators following the rate worksheet the completing vision/mandate, those define and situation the assess capacity functional and Forcoreprocesses,policies,internalthe issue procedures and technical the and An example ofindicator statements h NR hs h cpct t eecs is needne ne te legal the under independence its framework. exercise to capacity the has NHRI The ESC rights, children’s rights, etc.) (e.g.women’spriorities determine and needs rights emerginghuman rights, The NHRI has the capacity to proactively identify and understand current and voice is important. voice isimportant. The worksheets alsomadestafffeellike their our potential, andwhere we can dobetter. which madeusthinkaboutourstrengths, detailedsetofworksheets wasIt avery National Center inJordan forHumanRights Samar TarawnehSamar voice is important. voice isimportant. The worksheets alsomadestafffeellike their our potential, andwhere we can dobetter. which madeusthinkaboutourstrengths, detailedsetofworksheets wasIt avery National Center inJordan forHumanRights Samar TarawnehSamar system works likethis: reasons. practical rating for The .5 of decimals to worksheets the filling those below.discussed used.be can Decimals However, recommendedis it to limit phase analysis data the in comparison for allows This 5). of out years?’(Also 5 following the over effectively job your do to able be to need you do ‘what second a and skill, particular that for atcurrently is NHRI the level the of 5) of (out rating overall an give worksheet the completing Staff system Rating discussed during the focus group discussions, interviews, and review of of review and interviews, information. background discussions, group focus the during discussed was what of analysis their on based ratings the validate to team CA the for important also is It strategies. problem response developing before the data qualitative of source the and quantitative both analyse to Locating team CA the assists also evidence through capacities. and functions NHRI of team interpretations the subjective than that rather facts, likely objective review to more able be it will makes worksheets the in to rating evidence the Requiring support recommendations. and ratings their of support in evidence provide to asked are respondents worksheets, the completing In Evidence Score/Rating: 5 Very HighFully developed relevant capacity exists 4 HighWell developed level ofcapacity exists 3 MediumPartially developed level ofcapacity exists 2 Low orlow basic level ofcapacity Only exists 1Very Low Very low level ornoexistingcapacity exists (for example, active monitoring andevaluation afterimplementation) (for example,to fullimplementation) partial (for example, irregular to implementation) basic rating:required 19 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 20 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS are being completed by the NHRI commissioners and staff. worksheetsthewhile form draft in writtenup qualitativebeThe analysiscan category or level of position; and develop proposals to address the challenges. group,anyparticulararetoissuesthat section, andcommon NHRIacross the toidentify the core issues raised in the discussions; distinguish between issues worksheets.assessmentthe processteamtheThisallows of preparation and issues the of refinement for basis the forms and discussions groups the focus after immediately begins data qualitative the of Analysis the checked. cross- from and analysed are data worksheets and quantitative groups qualitative focus the the the from data collected, Once at the NHRI. commonunderstandingeveryone by an disseminates challengesa enablethetoanalysis of reveals, and process articulates, assessment The challengesfaced.weaknessesand on five many years.NHRIs,In perhaps organisationalmost, thereno is consensus and their views on how the organisation can and should realistically improve in own understanding of the current level of function and effectivenessthe CAinreport. reflects It back to the thecommissioners and staff NHRI of the NHRI their The analysis of the data, both qualitative and quantitative, is the critical ofpart data the 3.4.5 Analysing to keepthelanguageofworksheets simpleandfreeimportant ofjargon. team the implications cost and should consider. time Where worksheets are not translated have and English is used, it is will this local the obviously from language; and into translated be must worksheets necessary, Where Translations understanding amongstaff. productive exchange andincreased capacity andperformance. ledto It perspectives ontheCommission’s all thestaffaboutdifferent with theexecutive team and useful ininitiatingdiscussions I foundthequantitative data -Randa Siniora,-Randa Executive Director, Independent Commission for Human Rights inPalestineHuman Rights the NHRIreach thefuture required inthetimeframe identified. capacity scoring’‘high gap areas, development responses capacity are needed to help In these efficiently. and effectively function to NHRI the for required is think the current capacity, i.e. what additional capacity the commissioners and staff and reveal capacity required to the ‘capacity between gaps’difference the in perspectives of the commissioners and staff. The data can be analysed further It shows where the NHRI is strongest and where it is weakest according to the revealsaveragethe requiredratingof and current of capacity future capacity. Calculating the ratings for each core issue and technical and functional capacity 3. 2. 1. ratings from each worksheet completed by requiredthe futureNHRI staff and member. current the collates This shows: 4 Annex inspreadsheet model The organisational structure. NHRI’s the on based areas capacity to priority and challenges specific departments or highlight offices different the among disaggregated be also can number of staff (or larger number of staff in participating the CA), the analysis thereby requiring an equal number of columns as well. 300, For over NHRIs to with a reach larger can staff of number The total. in staff four of worksheets a is 4 Annex in snapshot the analysis,merelycalculatingfourthe the worksheets, or versionof condensed that noted be should It statements. guide indicators/ capacity and capacity functional/technical the by followed issue, core the contains column first assessment. very the The in participating staff of number i.e. submitted worksheets of number the represent 4) to quantitative 1 (e.g. numbered are the that spreadsheet. columns the encapsulates of Each excel 4. which Annex in found templatebe an can analysis excel through the collated of snapshot best A is data quantitative The right handbottom cornerofthesnapshot. the in average,found capacity Totalrequiredfuture and averagecurrent strategies’ the future required average rating is4.5) and polices ‘formulate and current 2.83 final averageclustered is the fromtogether8, rowsto 6 (for capacity Function/technical developmentCapacity indicator (perrow)

21 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 22 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS overall ratings oftheNHRIasawhole. and/or units fewer and the presents it as to Table staff 2 similar format a use fewerto useful be will it with divisions, NHRI an for hand, other the On structures, aswell astheregional andprovincial offices oftheNHRI. management and organisational such on based disaggregated been have CAP,the analyses of quantitative experiences the the of results In division. or and/ unit each on based gaps perceivedcapacity at look detailed more a for allows NHRI the of structure management and organisational the on based data Disaggregatingunits.the six fromratings the as well Commissioners,as the on based ‘overallpresented is indicatorratings’, capacity from ratings the each where 1 Tablein seen be can This gaps. capacity and averages, future averages, current the disaggregate to useful be will it divisions, and/or units from the quantitative analysis. For example, for a NHRI which has a number of findings the presenting in effective and appropriate most the is format table following tables (Table 1 and 2). It is up to the CA mission team to select which the in shown are results quantitative the summarising of Two ways different exercise analysis Practical through formally either question, in areascontinued assessment orinformal stakeholders. discussionswithkey those of exploration further may consider team assessment The insights. conflicting provide may etc.) variety of sources (focus group discussions, external stakeholders, worksheets, a from gathered information the cases many in that noted be should also It NHRI. the wins’ for ‘quick on and capacity potential focus as ‘current’ to interpreted its be can gaps chooses smaller between NHRI Alternatively, prioritise the intensively. gap most and first which NHRI areas the be can the which greatest is in help ‘required’ areas to needs: ways reveal development can data The Table onCore Assessment ResultsBased Capacity, Summary 1.Sample ‘leadership’ advocacy activities) advocacy its policies(including human rights issuesin to mainstreamcapacity leadership hasthe protected andpromoted the rights ofstaffare to ensurecapacity that leadership hasthe incentive) mandate (motivation and outits carry effectively guide allstaff to to proactivelycapacity leadership hasthe and functions fulfillment of itsmandate the Commission to ensure needswithin competency staffing and organisational to identify capacity critical leadership hasthe plans for theCommission strategic plansandwork implementation of formulation and to leadthe capacity leadership hasthe Functional Capacity/ Capacity Indicators Overall 2.00 1.86 1.68 1.94 2.18 CAPACITY TO FORMULATE POLICIESANDSTRATEGIES Commissioners 3.00 3.17 2.67 3.00 3.17 Unit 1 1.67 1.50 1.33 1.83 1.00 Current CapacityRating Unit 2 1.67 1.33 1.00 1.33 2.00 Unit 3 1.57 1.86 1.29 1.29 1.71 Unit 4 1.33 0.83 1.08 1.58 2.00 Unit 5 2.40 2.00 2.20 2.40 2.60 Unit 6 2.33 2.00 2.00 2.00 2.33 23 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 24 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Average address suchissues formulating guidelinesto the organisation towards and proactively guide situation inthecountry thehumanrights affect issuesthatcritical to understand capacity leadership hasthe of theCommission competence and credibility decision makers onthe general public, and makers,influence policy to convincecapacity or leadership hasthe Average General, andDirectors Commissioners, Secretary among authority of responsibility and appropriate distribution structure that ensures adequate leadership The NHRIhas Functional Capacity/ Capacity Indicators CAPACITY TO ASSESS THE SITUATION ANDCREATE VISION ANDMANDATE Overall 1.99 1.92 2.06 1.86 1.83 Commissioners 3.08 3.00 3.17 3.00 3.00 Unit 1 1.67 1.53 2.00 1.33 1.83 Current CapacityRating Unit 2 1.33 1.50 1.33 1.33 1.67 Unit 3 3.24 1.48 1.42 1.71 1.14 Unit 4 1.42 1.25 1.58 1.25 0.67 Unit 5 2.10 2.33 2.40 1.80 2.40 Unit 6 2.67 2.22 3.00 2.33 2.67 Rating (within5years) Average Required Capacity Rating Average Current Capacity Average public for thegeneral advocacy priorities humanrights to strategiescapacity and leadership hasthe the mediaandcivilsociety mechanisms to work with issues andputinplace advocate humanrights to proactivelycapacity leadership hasthe Average human rights violations investigations ofpossible effective andindependent to conduct capacity leadership hasthe Commission’s mandate complaints basedonthe handle, accept orreject to decidetocapacity leadership hasthe CAPACITY GAP Functional Capacity/ Capacity Indicators CAPACITY FORINVESTIGATIONS, COMPLAINTS HANDING,ANDMANAGEMENT Overall 1.47 1.93 2.09 4.27 2.80 1.86 2.00 2.00 2.06 CAPACITY FORADVOCACY ANDAWARENESS RAISING Commissioners 1.38 3.08 3.50 4.54 3.17 3.17 3.00 3.33 3.67 Unit 1 2.01 1.42 1.67 3.58 1.57 1.50 1.33 1.67 1.67 Current CapacityRating Unit 2 3.25 1.33 1.83 4.75 1.50 1.67 1.00 1.67 2.00 Unit 3 2.19 1.21 1.63 3.68 1.49 1.14 1.29 1.71 1.58 Unit 4 2.25 1.68 3.67 1.42 1.33 2.00 1.33 1.33 1.33 Unit 5 1.87 2.00 2.30 4.05 2.18 1.80 2.20 2.00 1.80 Unit 6 1.53 2.17 2.00 2.33 2.83 4.00 2.47 2.67 3.00 25 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 26 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS individual staff. with worksheets the of results the connecting of likelihood the increase will has a small number of staff, presenting the data based on unit and/or division ofthestafffillingin the identity worksheets. ForanNHRIwhere eachunit staff per unit). As discussed in the previous to sections, protect it is important two to one (e.g. staff of numbers smaller with NHRIs for useful is format This differs from table 2 1 as Tableit provides statements). an overall guide snapshot of the ratings capacity of the entire the NHRI. (or capacity functional and technical each for ratings overall forTablethe formatcapturesTable2. The 2 in as capacity, functional/technical each on based be to tables for is format NHRI’s the rates unit/division/department Another capacities. technical functional/ four each the and Leadership in capacity how of view detailed a Presenting the summarised ratings in the format above is useful as it provides its role andmandate. fulfill effectively to NHRI the for future the requiredin capacities the also but only the difference in perception regarding the current capacities of the NHRI gap. capacity provided higher units much not highlight 1 Thetable resultsof individual while 1.38 of gap capacity overall an provided have example this table.in Commissionersthe The of row last the on found be can which gaps capacity the for said be can same The analysis. the to value add ultimately will and difference perspectives such highlight in to assessment capacity the allow will structure management the and division, and/or unit function, on provided leadership NHRIs, relatively disaggregating did; based data currentstaff the higher ratingsthan for assessments capacity past that, the note of to most interesting for is It GAP. CAPACITY the with ending rows, three last the in presented are ratings required future and ratings currentaverages overallthe forThe 6). (Unit 2.22 and 5), (Unit 2.33 4), (Unit 1.25 3), (Unit would be 1.92 (Overall), 3.00 (Commissioners), 1.53 (Unit 1), 1.50 (Unit 2), 1.48 therefore ratings average gray.The in shaded and Average marked row, 7th The each for rating current overall indicator capacity. andfunctional/technical capacity the contains indicators, the after column, first group.The distinct a constitute Commissioners The units. six had NHRI particular this that shows also This unit. by disaggregated is which rating, a receivesstatement indicator/guide development capacity LeadershipEach ). core issue is translated into a table (the one above is a table for the core issue The Table of the results 1 is a computedsummary in the excel template. Each is averaged together in the in together averaged is strategies and policies formulate to capacity Analysis andCreating a Vision/Mandate’ Table onFunctional/Technical Assessment ResultsBased Summary 2.Sample Capacity, ‘Situation 5. 4. 3. 2. 1. Capacity Statements/Indicators: Core andLegal Framework Issue2:Policy 4. 3. 2. 1. Capacity Statements/Indicators: Core Issue1:Leadership government anddonors. to developABC hasthecapacity system acommon among reporting budget to national planningandbudgetingprocesses. to alignandintegrateABC hasthecapacity theoffice’s workplanand development capacity programsissues oncivilservice to reviewABC hasthecapacity andanalyselessonslearnedemerging develop andimplement astandard procedure for humanrights monitoring to coordinateABC hasthecapacity withothergovernment agenciesto the country. effective formulation ofpolicies andprograms to enhance humanrights in to understandinformationABC hasthecapacity needsthat willguidethe systems, formulation, implementation for effective policy andmonitoring. toagencies andlocalities ensure effective dataandinformation collection, to coordinateABC leadershiphasthecapacity withotherministries, implementation formulation, to effective policy ABC leadershiphasthecapacity developmentmanagementcapacity ofeffective programs/plans to initiateABC leadershiphasthecapacity andguidethedesign to developABC leadershiphasthecapacity along-term visionfor ABC. Average rating capacity for of cross-section Visioning &Leadership Core Issue andCapacityStatements/Indicators Functional Capacity: Situation Analysis andCreating a Vision andMandate Current Level 2.50 2.66 2.22 2.08 2.50 2.31 2.55 2.22 1.82 2.67 Required Level (by 2016) 3.09 27 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 28 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS 4. 3. 2. 1. Capacity Statements/Indicators: Core Issue3:MutualAccountability Mechanisms 2. 1. Capacity Statements/Indicators: Core Issue 4:Participation ofStakeholders inDeveloping aLong Term Strategy Overall Level oftheOrganisation for Analysing aSituation andCreating a Vision Average rating capacity for ofSituation cross-section Analysis/Visioning and Average rating capacity for ofSituation cross-section Analysis/Visioning and and activities to itsclients andpartners. and activities to provideABC hasthecapacity timelyaccess to information onitsprograms methodologies andtools for partners to systematicallyABC hasthecapacity document bestpractices ofitsstaff complaints ontheperformance to developABC hasthecapacity mechanismsfor processing suggestionsand performance andtools toABC hasthecapacity effectively monitor andevaluate internal human rights are integrated innational policies. to influenceABC hasthecapacity government agencies to ensure that rights situation needsofthecountry developing alongterm strategy that would respond directly thehuman andotherstakeholders in to engagepartners ABC hasthecapacity Average rating capacity for ofSituation cross-section Analysis/ Core Issue andCapacityStatements/Indicators Visioning &Policy/Legal Framework Mutual Accountability Mechanisms Stakeholder Participation Capacity Gap Gap Capacity Current Level 2.40 2.30 2.13 2.11 1.97 2.33 2.28 2.13 2.31 2.29 0.93 Required Level (by 2016) 3.16 2.93 3.71 3.22 a capacity gap on 0.93. This gap can be compared to the gaps in other other in gaps the to compared capacities. be indicating functional can 3.22, gap This is 0.93. on rating gap future creating capacity a required and The analysis 2.29. is ‘situation on vision/mandate’ a Commission whole overall The the easily. more for gaps average identify to order and in high capacities, overall the scoring shows low better unit, by Vision/Mandate’. a disaggregated not Creating table, and This Analysis technical ’Situation case particular this a in for capacity, ratings average current the shows 2 Table The the way the to or indicators indicators shouldbephrased, aslongtheassessment team. of number the to as rules fixed no are There dtie dsuso o sm cmol rcmedd taeis is strategies recommended commonly some provided 4 ofthisreport. inSection of discussion detailed A APF, – UNDP. and for partners CAP OHCHR and NHRI basis the between the collaboration the as be further can of basis strategies The activities NHRI. the of development quick-impact capacity or continuous medium-term immediate high-priority, and includes which initiatives plan challenges clear long-term, to a the by short-term to be supported should approach strategies These NHRI. comprehensive the by a faced and form practical, achievable, and be together resources should and should mandate existing recommendations NHRI’s the and within strategies response The with evaluation performance target. and based indicators merit specific and fair example be transparent, An performance number a a could to organisation. fair strategy the leading a throughout response weakness consequences implementing particular a negative as and of – up staff for setting evaluation specifically, – management resource human out point may an assessment For example, the of analysis from development strategies. whichto identify necessary data qualitative and NHRI’s context an of understanding particular providessufficient assessment quantitative The adaptation. and and political, economic their contexts. social, Strategies to for improvement thus require specific contextualisation challenges different faces NHRI Every to gaps response in strategies 3.4.6 Developing

the development and enforcement of of enforcement and development the 29 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 30 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS consideration. careful report clarification the give to time then and for questions to better encourage is It position. definitive a for immediately pressed be not should so the with and responsesformal consider to report time sufficient had have to prior to the briefing, but they are unlikely attempts to provide the NHRI with a draft fromthe draft and the briefing. The team arising issues clarify and questions ask the on directors and draft’s commissioners directorscontents.commissioners to and for time allows day final This the briefs team the day final the On 3. 2. 1. report. contains:The report draft draft the preparing visit assessment the of days last the spends team CA The NHRI to the it present and report draft the 3.4.7 Prepare fulfilling theinstitutionalmandate. in efficiency and effectiveness improving for strategies Recommended information2.6 Detailed onthecore development issues 2.5 Technical and functional capacities selected for the quantitative analysis2.4 Quantitative from theworksheets 2.3 Qualitative data from thefocus group discussions 2.2 Informationfrom thestakeholderinterviews 2.1 Informationfrom thedocument review The findingsof theCA,including: information1.5 Basic aboutthecountry’s humanrightssituation information1.4 Basic abouttheNHRI 1.3 CAmethodology 1.2 Composition oftheteam oftheCA 1.1 Objectives Background information ontheCA,including: members andstakeholders. the exercise by thevarious team thatwasknowledge brought to thematic experiences and the vast amountofin-depth was alsosuccessful infocusing methodology andapproach officecountry …The structured positive experience fortheUNDP was avery the CAforSUHAKAM The experience offacilitating Assistant ResidentRepresentativeAssistant and HeadofProgrammes UNDP Malaysia James Chacko members andstakeholders. the exercise by thevarious team thatwasknowledge brought to thematic experiences and the vast amountofin-depth was alsosuccessful infocusing methodology andapproach officecountry …The structured positive experience fortheUNDP was avery the CAforSUHAKAM The experience offacilitating Assistant ResidentRepresentativeAssistant and HeadofProgrammes UNDP Malaysia James Chacko and international actors that might have skills or resources to support support to resources or skills have implementation. might that actors international regional national, and other identifying in the assist of also activities can the They generally. and NHRI implementation monitor to able often is Office, Country UNDP the with contact regular through particular, in APRC UNDP of therecommendations. implementation monitoring and assistance technical providing and offering agreed timetable. Again, it should be noted that time and funds for translation and request an official response, including an implementation NHRI plan, the within to the it present formally They report. the finalises team the directors, and commissioners the from comments the receiving After comment. and and report draft the forwards it formally refines to the commissioners and team directors for their the consideration visit assessment the after Promptly 3.5 After the assessment visit report, a formal response from the commission, and finalisation by the team. anticipated timetable. The timetable should be agreed for consideration of the At the final briefing the CA team also explains the process after the visit and the our staffare alsohappy… wascapacity assessment conducted – We have seenchangessince the Director Corporate Affairs Department Human Rights Commission Moomina Waheed of the Maldives

and building capacity as well as by as well as capacity building and report the of recommendations the can be of they assistance in implementing which in ways NHRI the with to the supporting NHRI. They explore and OHCHR retain their commitment APF,UNDP the assessment the After the report drafting process. drafting the report in considered be should comments) commissioner/director (including 31 III. THE STEP BY STEP GUIDE TO CONDUCTING A CAPACITY ASSESSMENT FOR A NATIONAL HUMAN RIGHTS INSTITUTION 32 Photo: iStock CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS environment in which the NHRI operates. The capacity assessments for for assessments capacity enabling The the operates. NHRI understand the to which is in approach environment the of element important An 1. andlegitimacy independence Strengthening of kinds common strategies for improvement. the of staff NHRIs and practitioners informing of purposes the for NHRIs so this to made frequently recommendations some only includes and discussion confidential are NHRIs individual to made Recommendations protection constraints at theenablingenvironment level. orpolicy level e.g.of capacity; developing response strategies to address human rights too, response strategies for NHRIs have also addressed more than one specific resourcesreformedsystem’.human a management incorporatedin be Often more than one of the issues. For example, ‘Incentives for good leadership can issues response will be more effective if it core combines actions for improvement across the Generally, NHRIs. identified in an assessment are for mutually reinforcing. A development capacity response development capacity a point for formulating starting provide assessments the from the findings The TO THE RESPONSE STRATEGIES IV. LINKING THE CAPACITY CHALLENGES

33 Response Strategies IV. LINKING THE CAPACITY CHALLENGES TO THE RESPONSE STRATEGIES and Recommendations 34 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS 4. 3. 2. 1. to aiming strategies response more strengthen theNHRI’s independence andpowers touch often upon: development and capacity new Recommended adopting on this on government Based the procedures. NHRI’s NHRI. transparent the advise the to strengthen to of strategies capacity members develop may team the selecting the involvement of evaluation, to society process civil of pertaining the degree and in specifically transparency the Accreditation by independence, on provided CAP concerns the and Sub-committee phase, comments ICC the pre-assessment examine the also in will team review document the During protective on and rights on narrowly. interpreted be should limitations mechanisms be and should protection expansively their for interpreted mechanisms and rights that human is in law principle should rights It interpretative law. fundamental existing the that the of remembered be their context the examine within NHRIs deficiencies overcome to that perceived ways creative but recommended realistic of adopt been and instance closely more also the mandate has In it provisions. latter, legislative the existing expansive the more a of adopt NHRI interpretation the the that concerning recommendations changes procedures and/or and propose NHRI; policies NHRI administrative the the government that amend to Parliament recommendations the have legislation; to NHRI’s seek necessary, the where NHRI for the and, that review legitimacy recommendations include and may strategies independence Response of NHRI. greater package for overall the of strategies part as response included be can legislative reform potential or enactment highlighting specifically The recommendations legislation. such, and, the NHRI as an for interpret challenge to significant a constitutes capacity legislation of NHRI’s absence the and framework NHRI, legislative or the acts for enabling the with starting legitimacy, and independence NHRI’s the of examination thorough a involved have NHRIs human rights. of categories all including and work NHRI’s the of scope the Increasing Expanding theNHRI’s accessibility, includingat thelocallevels insideandoutsidetheNHRI Better human rights knowledge functions own NHRI’s the about powers and throughout raising example awareness for NHRI, by the for support public strategic more and Greater • • • • been have strategies response following and the recommended: of in planning identified some problems assessment, on strategic the based plans procedures, work internal operating of implementation standard improve To reports. assessment in strategic common are procedures operating processes, standard and plans, work annual policies, and internal structure, organisational revisit NHRI’s to aimed the strategies Response assessments. previous some in issue efficient and institutions. existence the chapter, appropriateness of the a organisational structure–is pose challenges for most previous overall the the plans–including and processes, policies, internal of operalisation in explained As arrangements (internal policies, processes and plans) Strengthening2. the NHRI’s institutional plan and key resultsplan andkey for theyear unit/division level contributions to theimplementation ofthestrategic andimplementDevelop unitand divisionlevel work plansto ensure – – – – – more including on: efficient work, proceduresDevelop areas manualsinkey to promote more effective and – – including inrelation to : Adopt formal procedures andrulesfor theoperation oftheNHRIitself, applying to themandthewholeorganisation and ensure that allstaffare fully aware ofrulesandoperating procedures Clarify theoperational procedures andrulesby whichtheNHRIworks – – – – – – – Human rightseducation andawareness raising Public inquiries relationsMedia relationsExternal in thehandlingofcomplaints Complaint handling–includingadatabase to increase transparency clear terms ofreferences groups, committees, etc. (basedontheNHRI’s structure) including Responsibilities, procedures andscope ofwork oftheNHRI’s working processes development anddecisionmaking policy Internal Institutional arrangements arrangements Institutional have also emerged as critical core critical as emerged also have 35 IV. LINKING THE CAPACITY CHALLENGES TO THE RESPONSE STRATEGIES 36 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS • • • • been relevant to many NHRIs. have strategies response following the leadership, of issue the Under NRHI. an of functioning effective and full the to component critical a is capacities leadership NHRI of development The directors. and secretary-general), director executive(or the members, commission Depending include NHRI. may it the NHRI, the within on authority supervisory have and who those making all decision by shared responsibility and function a is Leadership 3. Strengthening leadership and management functions • • • • study tours and other activities relatingstudy tours andotheractivities to someofthefollowing areas: appropriate to that positionthrough training courses, events, learning Provide leadershipdevelopment inaccordance withleadershipareas andstrategies anditschallenges priorities oftheNHRI, itsperformance the NHRI’s initiatives, anddevelop proposals ontheoverall objectives, exchange information andviews, receive feedback ontheprogress of andtimeforProvide leadershipandallstaff to meet to opportunity accountabilitytoensuring theirsupervisors of theNHRIinaccordance withtheirroles andresponsibilities while require they Delegate to managerstheauthority to managethe affairs adoption ofclearoperational procedures andrules responsibilities ofthoseinleadershippositionsandthedevelopment and approach to management, includingclarificationof roles and Improve theNHRI’s management systems by employing astructured groups. working and committees cross-departmental of establishment the and generally, and units within both staff, of meetings regular implementing and planning by example, for coordination, regular ensure to departments across and NHRI the within communications good for structures Provide work accessible for thepublic website asameansofincreasing theNHRI’s transparencyandmaking databases that areInclude informative andeasyto useontheNHRI’s streamlining operations andmakethempubliclyavailable anddisseminateDevelop goodprocedural manualsstandardising and plans in thestrategic planandannualactivity Provide clearindicators andmeasures for evaluation andaccountability • • • • • recommended NHRIs, included: have many management resource to human on strategies Applicable response functions. their staff out motivates and carry to protects that system management resource human merit-based and and transparent, fair, a for allow strengthen that to mechanisms need implement the highlighted have date to staff assessments NHRI management, The etc). vision, organisational performance relations, team development, and systems, retention incentive (e.g. sets mechanisms skill individual vis and a institutional members staff the require relevant functions, vis relevant their of background technical capacities appropriate capacities), resource functional and (technical human NHRI, an For human resource management Strengthening 4. allocate anappropriate annualbudgetfor staffdevelopment andabilitiesto implement itsmandateskills anditsstrategic plan,and whole, torange ofknowledge, ensure that theNHRIhasnecessary Identify thestafftraining anddevelopment required for the NHRIasa scales andranges, for allstaff andastandard setofterms andconditions,policy includingformal salary Develop, asa matter where ofurgency itdoesnotexist, apersonnel for criteria appointment andselection description, to theposition the competencies required for thepositiononbasisofthat job Require for eachpositionwithinthestructure aclearjobdescription, and career development accountability, to staff andoffers for internal opportunities promotion Adopt astaffingstructure that and ensures proper linesofsupervision and professional staff Ensure anappropriate staffstructure withadequate numberofqualified – – – – – – – – – – system, contemporary humanrightsissuesandstrategicsystem, contemporary planning. International humanrightslaw, theinternational humanrights Team building, negotiation andconsensus building Ethics andintegrity champions finding/targeting and alliances coalitions, building to regard with particularly management, change and management Results-based for implementing, managing, and monitoring progress in strategic plans;formulation and setting up organisational and operational work plans Strategic planning, particularly engaging stakeholders in policy 37 IV. LINKING THE CAPACITY CHALLENGES TO THE RESPONSE STRATEGIES 38 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS to someNHRIsconcern thefollowing: For functional human rights capacities, the response strategies recommended • • • • • For technical capacities, theseinclude: NHRIs. the for recommended been also have staff the of sets skill and capacities and functional technical at Capacity specifically looked priority. that development strategies response capacity development a as this identified always have date to NHRIs of assessments Capacity capacity. their building in NHRIs for challenges important are expertise the expertise of use this making increase and staff Increasing the to among rights. ways human of and protection situation, and promotion rights the human domestic the law, human international rights in experience and expertise with staff require NHRIs management and knowledge knowledge 5. Strengthening • • • management. Transparent andefficient complaints handlingand database relevant domesticlaw of internationalKnowledge humanrightslaw, withagoodanalysisofthe reliability andrelevance to humanrightsissues Evidence based research andfact withanalysisfor anddata collection, standards relation to compliance withinternational andnational humanrights Analysis andregular ofthegovernment monitoring oftheactivities in regard to politicalsensitivity Recognising humanrightsissuesthat are significant, objectively without appraisal ofallstaff. basedprocedureand performance inasystem ofregular performance encourage excellent andprovide performance, through afair, transparent Introduce to aschemeofstaffincentives (financialandnon-monetary) individual staffmember be conductedby eachstaffmember’s andthe immediate supervisor appraisal to ofindividualstaffperformance anannualcycle Implement priorities and NHRI’s needs the address and identify to plan development and training personal individual, an has staff the of member each that Require • • • assessments: intheNHRIcapacity have beenpertinent electronic strategiesresponse information. following Theand data handle to streamliningprocesses as well as portals, and platforms communications and information existing of use most the making is NHRI the that ensure to NHRIs, the to recommended strategy response important an been also has a properly up running and adequate information technology infrastructure setting within the NHRI staff, of knowledge the strengthening to relation In • • • and administrative andfinancialprocesses handling, schedulingandreporting, down inspection to staffmovements to possible, thefullestextent NHRIfunctions includingcomplaintof key Introduce (e.g. software new MSAccess) to enableelectronic processing usefulness. andisregularly reviewedactivities to ensure and itsaccessibility Ensure that theNHRI’s website isregularly and updated with reports others. among mechanisms, rights human international from reports reports, body treaty statistics, relevant laws, new including level national the at and sphere international the in rights human on information access to able to be need staff) NHRI (and public The complaints. and reports as such documents internal for databases as well as decisions, management on updates need will staff internally, differ: purposes those how understand to important is It purposes. communication external and internal for platforms communication and portals existing Upgrade local groups. in locallanguages, inorder to become more responsive to theneedsof processes andprocedures oftheinternational humanrightssystem, and Provide training inEnglish,to better languageskills understandthe months eachcourse after questionnaires at theconclusionparticipant ofeachcourse and12 training courseevaluation delivered andfollow upofevery through high standards oftraining, andtheintroduction ofasystem for training manuals, methodologies andmaterials to ensure consistently programsDevelop for Training of Trainers includingthedevelopment of implementation Strengthen internal planning, management ,budgeting, and 39 IV. LINKING THE CAPACITY CHALLENGES TO THE RESPONSE STRATEGIES 40 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS with themediashouldbedirected to media as part of a NHRI-media partnership for human rights. The engagement the with dialogues regular include could This strategicmedia. the morewith engagement develop should NHRI the strategy, partnerships the Under • • • • for theNHRI.Recommendations to have thiseffect included: also has defenders results overall better yield might rights focus greater which in area an human as emerged and non-governmental media, the (CSOs), (NGOs), organisations organisations society civil with Engagement • • • have strategies following the presented: been response, In focus. emerged more have needing judiciary areas the as towards and advocacy parliament, the rights ministries, human NHRIs, government the by conducted work raising awareness rights human extensive the shown have assessments the While relations andexternal partnerships Strengthening 6. that would benefitNHRIs. and meetingsto aboutemerging learn international andpractices views Participation innational, regional andinternational humanrightsevents Procedures Council oftheHumanRights thetreaty monitoring bodiesandSpecial mechanisms, particularly Increased work andcollaboration withinternational humanrights rights issues NGOs andhumanrightsdefenders )to exchange human oncritical views by conveningcivil society meetings(NHRI,government, regular tripartite forCreate more regular opportunity exchange government between and annual consultations through regular publicdialoguesonspecificissuesandbroad general Closer andmore collaborative linkswithCSOsandNGOs, including religious groups where relevant. influence ongovernmental decisionmaking, includingfaithbasedand Identify andengagestakeholdersoutsidethegovernment whohave parliament Hold regular committees meetingswithkey andmembersofthe government andagencies ministries personnelintherelevant inmeetingswithkey Ensure NHRIparticipation • • • support generally for itswork. support Promoting theNHRI’s andrecommendations views, reports andbuilding country Bringing to publicattention humanrightssituations ofconcern inthe and standards Increasing themedia’s understandingofinternational humanrightslaw 41 IV. LINKING THE CAPACITY CHALLENGES TO THE RESPONSE STRATEGIES Photo: UNDP Picture This / LUIS PEREIRA of humanrights inMalaysia. the plan. Jointhave activities also now been initiated since 2010 on key areas of implementation the in SUHAKAM support to collaboration substantive of areas exploring actively is MalaysiaTeam Country in UN assessment. The the strategy to support the implementation of the priority recommendations from a developed and recommendations the of majority the accepted SUHAKAM gaps. capacity address to recommendations 39 in resulted assessment The stakeholders. external including offices, regional the in staff with engaged (head mission second the and office) Office Lumpur inthe Kuala staff on focused first the missions; substantive two into divided was till assessment capacity The 2008 2009. February SUHAKAM December from for conducted was Partnership Assessment Capacity the under NHRIs for assessment capacity first The 2009 (SUHAKAM), February Commission Rights The Human Malaysia of FROM MALAYSIA TO MONGOLIA V. COUNTRY EXPERIENCES: 43 V. COUNTRY EXPERIENCES: FROM MALAYSIA TO MONGOLIA Country Experiences 44 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS October 2010(NCHR), October inJordan Center Rights The Human National of 2009 (HRCM), October Commission Maldives Rights The Human the of to inform andguidestaffthrough theprocess. coordination with the NHRI staff and leadership, and providing sufficient time internalstrengthening of value process,the the throughout ownership NHRI CAP, there were a number of lessons learned; these include the the need for exercise to pilot ensure first the was SUHAKAM for assessment capacity the As on making the structure of the NCHR more efficient and strengthening and efficient more NCHR the of structure the making on National Center for Human Rights in Jordan. The capacity assessment focused the for assessment capacity a conducted partners CAP the 2010, October In developed drawing ontherecommendations assessment. ofcapacity was HRCM the of development capacity the programmesupporting UN The assessment. capacity scaled full a conduct to how on staff SUHAKAM the to country experience sharing and to provide a step by step learning opportunity promote to SUHAKAM, of officer an was capacity Maldives the in mission assessment the Joining actors. rights human international and regional both with and practice best international with accordance in work to continue to the HRCM highlighted the strengths of the Commission,its vision particularly improve to for assessment capacity HRCM levels. The staff different the the between coordination of structure management internal the in changes handling, investigations and monitoring. The engagement complaints also led to to tangible relating recommendations those particular in Plan, Strategic intothe incorporated practically were recommendations and findings the that ensured This process. drafting -2014) (2010 Plan Strategic HRCM’s the submitted by the CAP partners during during partners CAP the by submitted were report assessment capacity the The Maldives. of recommendations the and findings Rights the Human of the Commission for place assessment took next the SUHAKAM, assessment of capacity the Following implementation oftheassessment recommendations. Regional Centre in Cairo, a senior consultant has been hired to assist with the and Office UNDP Country the of motivation.increasedstaff support the With also have which staff, and leadership between consultations and meetings has report led to an internal structural review and the formalisation of regular regional collaboration. assessment assessment The and the capacity capacity cross- and assessment) capacity Jordan NCHR the in participated Maldives the of South-South Commission Rights Human the from officer (an exchange knowledge strengthen to space As provided also region. engagement the such, Asia-Pacific UNDP the adapted and used for an NHRI outside was CAmethodology the time the first was Jordan the Center. in assessment The within units different the between coordination internal (NHRCT), November 2010(NHRCT), Commission Rights Human Thailand of The National reporting, research, andanalysis. their work – from awareness raising and promotion activities to human rights of areas all in success similar replicateto opportunities as well as NHRCT the of achievements critical pinpointing in helped assessment The challenges. of the NHRCT and voice their recommendations on how to overcome capacity an for opportunity staffNHRCT to reflect on internal organisation and process implementation plan for its institutional work plans. The assessment provided a comprehensive and practical practical and comprehensive a develop tofrom assessment capacity findings the the the utilised exercises, NHRCT planning internal strategic of series a Following CAP. Rights the in became participate to NHRI fourth the Human Thailand of Commission National The 45 V. COUNTRY EXPERIENCES: FROM MALAYSIA TO MONGOLIA 46 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Commission 2011 –July (AIHRC), May Rights Human The Afghanistan Independent by useful particularly as perceived ICHR staff. was experiences, of exchange the led which to Thailand, of Commission Rights Human National a the of from presencestaff the Again, relationships, mechanisms. accountability external the enhancing its and improving mechanisms, and structure internal its strengthening on recommendations focused the ICHR, the by delivered already work strong the on Based 2011-2013. for plan strategic new the of The recommendations of the assessment were provided during the finalisation regionalthrough Gazadone videoconferencing.the officewithbe only could the CAP partners to involve all staff, including those in the Gaza Strip, interviews environment. Whilewasitimportant for political complex very a in working of difficulties the and levels all at staff of highlighted the high assessmentlevel The of (ICHR). commitment Rights Human for Commission Independent the with UNDP Arab region took place in Palestine secondThecapacity assessment forthe Palestinian Territories (ICHR), 2011 April Commission the of Rights for Human Independent members emerged as a major priority issues. Similar to the previous NHRIs, the as it was the first case in which the overall security of the Commission and staff members.staff 450 over experienceAfghanistanunique with also The in was years spent in the institution, and function. As such the CAP partners consulted interaction with all staff members of the institution regardless ofmost important level, elements of the number CAP’s approachof to capacity assessments is the ek seset ii. n o the of One visit. assessment week a four requiring Offices, Provincial staff and more than 10 Regional and 600 over have hand, other the on 150 staff per Commission. The AIHRC, thanmore averagednot CAP the in The previous four NHRIs participating

(NHRCM), 2011 August Commission Rights Human Mongolia of The National the AIHRC. of assessment capacity the in participated Rights Human CenterforNational Jordan the from member staff A country. the in rights human protect and assessment also highlighted the dedication of staff and leadership to promote Executive Director of the Independent Commission for Human Rights of of assessment. Rights capacity NHRCM the for team Human CAP the joined Palestine, for Commission Independent the of The Director recommendations. Executive assessment’s capacity the of implementation support the will which NHRCM the with collaboration in project a for options reviewing currently is Office Country UNDP The country. the across people in vast increase the significant across very for tobe present strategies effective and a resource human and financial both people requires it to this do out To Mongolia. reach of to expanse is challenge capacity NHRCM’s greatest The torture. of elimination the particularly detention, in persons of treatment the addressing in effective particularly been has It known. well and established well become has NHRCM the years ten in only Nonetheless, transportation. poor very and population distributed sparsely very small, a is an extremely large country with with country large extremely an is Mongolia Yet resources. the times three almost has in region the NHRI smallest next The USD$225,000. of budget annual an and staff 16 and commissioners time full three It has region. Pacific Asia the in NHRI smallest the far by is NHRCM The

47 V. COUNTRY EXPERIENCES: FROM MALAYSIA TO MONGOLIA List of Annexes

Annexes

Annex 1 – Briefing Note on the Capacity Assessment Partnership for NHRIs

Annex 2 – The Capacity Assessment Matrix for NHRIs

Annex 3 – Sample Capacity Assessment Worksheet and Instructions Page

Annex 4 – Sample Excel Spreadsheet for Quantitative Analysis

Annex 5 – Checklist of Documents to Review they will produce an analytical report, measuring required future capacities future required measuring report, analytical an produce will they NHRI, the with consultation close In needs. and development identifycapacity prioritise and capacities own its assess can NHRI the which by process the to facilitators as act will OHCHR UNDP,and NHRI. APF the of needs and is a capacity assessment, a self-assessment used to identify capacity strengths to fill capacity gaps. One of the first steps of the capacitydevelopment process an understanding generate of totheir capacity region strengths the and needs in and to NHRIs develop assist strategies to is project the of objective The of (NHRIs)intheAsia-Pacific development Institutions National HumanRights region. capacity institutional the support to project a developed have Rights (OHCHR-NIRMS), Human for High Commissioner the of Office the of Section Mechanisms Regional and Institutions National the and (APF) Institutions Rights Human National of Forum Pacific Asia the (UNDP-APRC), Centre Regional Pacific Asia Programme Development Nations United The Executive summary Partnership for NHRIs Regional Assessment Capacity Annex 1 . Briefing Note on the 49 ANNEX 1. BRIEFING NOTE ON THE REGIONAL CAPACITY ASSESSMENT PARTNERSHIP FOR NHRIS of the NHRI against its current capacities and making recommendations for capacity development strategies. This report will be presented to the NHRI in draft form for discussion and joint finalisation.

The capacity assessment complements strategic planning, priority setting and work planning processes of NHRIs. The objective of the assessment is to systematically understand existing capacity strengths and gaps of the NHRI and subsequently develop capacity development strategies and responses to help the NHRI fulfill its mandate and the goals and objectives set out in the Strategic Plan. In order to do so the capacity assessment process also helps the NHRI analyse stakeholder positions and review its organisational structure, operational functions and business processes. The capacity assessment is complementary to the Strategic Planning process. It can be carried out in conjunction with that process and will be particularly effective to support its implementation.

The potential benefits for NHRIs in developing and implementing capacity development strategies that result from capacity assessments are great. This approach looks systematically at the capacity strengths and needs of the NHRI in order to perform its mandate effectively. It fosters engagement of NHRI members and staff and key external stakeholders, often across sectors. It leads to capacity development initiatives that are strategic, longer term and integrated, rather than ad hoc and fragmented.

This regional project complements and enhances the support projects being implemented by UNDP Country Offices and UN Country Teams for NHRIs at the national level and informs the development of tailored capacity development interventions to support NHRIs on a continuing, comprehensive basis.

Project overview

Objective To assess and develop strategies to address the most important capacity needs of the National Human Rights Institution. CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS RIGHTS HUMAN FOR NATIONAL ASSESSMENT MANUAL CAPACITY

50 Participants • • • Approach • • • Timetable • • • • Information iscollectedthrough: Methodology • • • • The process isaselfassessment approach inwhich: term manner. To develop strategies to address gapsinalong- theidentified capacity urgent to beaddressed; To andmost gapsthat are identify thecapacity themost important it requires to implement itsstrategic plan; To enabletheNHRIto assessitscurrent capacitiesagainstthe the assessment mission. willbesubmitted aboutamonth the after A final completion of report will bepresented to theNHRIfor comment; Two weeks for theassessment itself, atreport theendof whichadraft One or two days to introduce the process to the Commissioners and staff; stakeholders. external withkey andgroupIndividual interviews Completion ofananalytical “worksheet” by NHRImembersandstaff; Background material shared by NHRI; andgroupIndividual discussionswithNHRImembersandstaff; region. the in NHRI another of assessment future a for team facilitation the join to invited be would assessment the undergoing currently NHRI the from manager senior A HRC). Maldives the of assessment the facilitated that team the of part was SUHAKAM of Secretary the example, (for exchange peer peer-to of spirit the in team facilitation the joining be will previously process same the undergone has which NHRI an from officer senior A consultation personorgroup; withaNHRIcontact A joint UNDP-APF-OHCHR project team facilitates theprocess, in on thebasisoftheirexperiencewithNHRI; stakeholders are external alsoinvitedKey to contribute theirperspectives NHRI membersandstaffare participants; theprincipal 51 ANNEX 1. BRIEFING NOTE ON THE REGIONAL CAPACITY ASSESSMENT PARTNERSHIP FOR NHRIS Expectations on the NHRI: The NHRI is expected to provide: • One senior person as liaison officer or CA focal point, with administrative support from the Commission’s sections and departments, to work with the team and assist in identifying and providing relevant documents and arranging internal and external meetings. The team will request the appointment of the liaison person or group when the project proposal is approved by the NHRI; • Availability of staff of each section for two sessions with the assessment teams. Each session will not exceed 90 minutes. The first session will take place during the first week of the assessment mission and the second one during the second week; • The costs of the assessment team will be borne by the partners (APF, UNDP, and OHCHR).

Product A comprehensive report of the self assessment, with: • Analysis of the qualitative and quantitative data to illustrate the key capacity challenges facing NHRI in implementing its Strategic Plan and realising its mandate, and; • Proposal of strategies to address identified priority needs for capacity development prepared jointly by the NHRI and the project team.

Result The capacity development strategy recommendations, once endorsed by the NHRI, can be developed into an implementation plan to strengthen the NHRI. Support, if required, can be provided by UNDP, OHCHR and APF in the implementation of the recommendations.

Implementation

The process will be facilitated by the project team in close consultation with

CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS RIGHTS HUMAN FOR NATIONAL ASSESSMENT MANUAL CAPACITY the NHRI liaison person or group. Implementation involves five steps, using the Capacity Development Framework developed by the UNDP Capacity 52 Development Group. number andincludesthemostsignificant commentators. refining the list of key external stakeholders to ensure that it is manageable in any and academia other area of judiciary,relevance. The NHRI contact group will play rolean important in the society, civil committees, parliamentary for inclusion in the assessment process. They can be drawn from government, During the scoping, a small number of key external stakeholders are identified (3) (2) (1) goalof: has atwo-fold mission scoping The NHRI. the to visit preliminary day two occurs initial an This itself. during assessment the for plan and and project objectives the the of define expectations and clarify first team project the and NHRI The 1. Scoping • • • relation to: in capacities required and current the concern can issues self assessment. These the of focus principal the be will that issues an key make of identification to initial team the enable week first the in discussion group focus The or questionnaire prepared by theproject team. in the first week and subsequently, in the second week, by using a“worksheet” required and capacities, through capacities focus groups current discussions and in NHRI depth interviews the of assessments individual their undertake staffand Commissioners weeks. 2 about of for lasts months and 2 mission scoping within the place take usually missions assessment capacity The staff and by Commissioners assessment 2. Capacity NHRI membersandstaff. Organisational issues for theNHRI; environmentThe external inwhichtheNHRIworks; eeoig shdl fr h cpct assmn dts including dates assessment stakeholders. meetings withtheexternal capacity the for schedule a Developing relevantidentifying andcollecting background document; the Capacity Assessment and clarifying and questions and concerns on it; of process and purpose the on staff and Commissioners the all briefing 53 ANNEX 1. BRIEFING NOTE ON THE REGIONAL CAPACITY ASSESSMENT PARTNERSHIP FOR NHRIS Issues might include: • Institutional development: mission and strategy, business processes, human resource management, information and communications technology; • Institutional management: ability to foster independence of the NHRI, ensure plural representation and strengthen relationships with external stakeholders, develop, communicate and give direction on vision, mission and values based on the universal standards of human rights, and create an environment that motivates and support right holders including NHRI staff; • Knowledge: training and education of NHRI staff and rights holders; • Mutual accountability: capacity to ensure accountability through prevention and enforcement, strengthen national integrity of the NHRI, increase public participation and build collaborations; increase mobilisation, access to and use of information, work with the international community including the ICC and the Asia Pacific Forum.

The identification of key issues enables the preparation of the assessment worksheets. The worksheets focus attention on these issues. By seeking assessments of present and required capacities, they reveal the capacity gaps in the organisation and the extent of the gap to be met. The data produced by the worksheets is both qualitative (what kinds of gaps? how important are they?) and quantitative (how many people see this as a gap? what is the extent of the gap that they see?).

The worksheets are completed by Commissioners and staff in small groups of similar nature. For example, Commissioners in leadership positions in working groups might work together and other Commissioners work together; staff in director level positions might work together; administrative staff might work together. Each individual member of the Commission or staff completes a personal, anonymous set of worksheets. By working in a group environment, however, there are also opportunities for discussion and sharing of perspectives and views.

3. Interviews with key external stakeholders During the scoping, a small number of key external stakeholders will have CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS RIGHTS HUMAN FOR NATIONAL ASSESSMENT MANUAL CAPACITY been identified. The project team conducts individual interviews with these 54 reflects the needs and priorities oftheNHRIasawhole.reflects theneedsandpriorities that framework comprehensive a within gaps capacity important most the The strategies will be practical and able to be implemented. They will address Commission NHRI senior members andstaff, other developed. refined andfurther with tested are strategies possible Those identified. gaps capacity important most the address to strategies possible In information. close other consultation with the NHRI and contact person or data group it begins the to develop analyses and collates team project the Commission members and staff and theby interviews withworksheets externaland stakeholders, meetings group focus the of completion the Following strategies of development and analysis Data 4. willbeshared withtheNHRI. thescopingduring andinterviews collected information The comments. and perceptions overall their seek to worksheets or asked to complete them but will participate in a short interview the given be not will interviewed persons The work. its of not required, and interviews These NHRI’sthe currentof capacities, assessment NHRI. external towardsan directedare the of an needs to provide capacity the visit on assessment perspective external the of week first the during stakeholders report, the distribution of the report will be in the hands of the NHRI. It may It NHRI. the of hands the in be will report the of distribution the report, the of copies have will team, project the as APF, and UNDP,OHCHR While self-assessment. the by recommended strategies the of implementation the the report, the Commissioners are able to of decide what to do presentationwith it and how to the its proceed with over After authority implementation. full and has NHRI circulation the and NHRI the by owned is report The submitted to theNHRI. and finalised be will report the NHRI, the from comments for period a After NHRI members and directors at the end of the two week assessment mission. or person contact NHRI group, the for presentationthe with report producediscussion towill and draft a with consultation close in team, project The the identifies strategies.offers and that analysis the provides priorities, indicates gaps, report capacity a in culminates assessment needs capacity The 5. report The 55 ANNEX 1. BRIEFING NOTE ON THE REGIONAL CAPACITY ASSESSMENT PARTNERSHIP FOR NHRIS decide to make it public, give it limited distribution as desirable or keep it entirely as an internal document. The project team would recommend a wide distribution in order to use it to broaden the understanding of and support for the NHRI and its work and to ensure implementation of the report’s strategies. The NHRI can decide how best to move forward with the report after the final report is received.

Implementation of the strategies The production of the report is the end of the project but it is not its principal objective. The principal objective is strengthening the capacity of the NHRI to do what it wishes and needs to do in order to operate more effectively and efficiently, including through implementation of the report’s strategies. UNDP, OHCHR and APF will be available after the project to support the NHRI in its endeavors to implement the strategies. The UN Country Team and UNDP Country Office can play an important role at this stage. The report will also encourage UN agencies and other partner organisations to plan future targeted assistance tailored to the needs of the NHRI.

Through participation in the needs assessment project, UNDP, OHCHR and APF commit themselves to continuing support for the NHRI capacity development.

Benefits to NHRI

Participation in the capacity needs assessment project will give the NHRI: • An understanding of its current organisational capacities; • A rigorous assessment of its capacity needs; • Clear priorities for capacity development; • Sound strategies both short-term and long-term for capacity development; • A strong analytical report that can assist in securing the support needed to implement the strategies; • A baseline assessment of capacity that can be used to measure improvement and achievement over time; • An additional means to improve its effectiveness; CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS RIGHTS HUMAN FOR NATIONAL ASSESSMENT MANUAL CAPACITY

56 ok a eape f oprto ta cud lo e fee t NRs in NHRIs to offered be also regions. other could that cooperation of example an work, this in other each assisting in sufficient self be can staff and members their peer-to-peer through and themselves NHRIs development level regional the at that so and learning, and exchanges assessment needs NHRIs Pacific capacity Asia from in people of skills the increasing at aims project the develops, it As initiative. this in globally and region the in NHRIs other from interest growing is There generally. NHRIs but itself only not benefiting be will it project, assessment capacity the in participate to decides NHRI the If NHRIs to other Benefits • • region andglobally; development to for leadcapacity otherNHRIsinthe The opportunity development; needsassessment and NHRIpersonneltrainedKey incapacity 57 ANNEX 1. BRIEFING NOTE ON THE REGIONAL CAPACITY ASSESSMENT PARTNERSHIP FOR NHRIS 58 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Annex 2. The Capacity Assessment Matrix for National Human Rights Institutions (NHRIs) Processes and Procedures, Policies, Internal Rights StandardsRights Universal Human onthe also based and mandate defined vision in place aclearly tocapacity put The the NHRIhas framework under thelegal its independence tocapacity exercise The the NHRIhas etc.) children’s rights, ESC rights, Women’s rights, priorities (e.g. and determine rights needs emerging human current and understand identify and to proactively the capacity The NHRIhas and Define Vision/ Assess SituationAssess Mandate into allofitspolicies gender ismainstreamed to ensurecapacity that The NHRIhasthe NHRI asawhole units, andwithinthe mechanisms between place coordination to putin capacity The NHRIhasthe of theunits andactivities functions accurately matches and unitswhich plans for theinstitution plans, andstrategic overall annualwork to developcapacity The NHRIhasthe Formulate Policies and Strategies district level district management at the data and collection to ensurecapacity The NHRIhasthe planning processes rights andinternal staff onbothhuman or resource center for internal database and/ and maintain an to developcapacity The NHRIhasthe streamlined regulations are and procurement that financial to ensurecapacity The NHRIhasthe requirements and identify resource internal work plans a strategic planand to developcapacity The NHRIhasthe fundingneeds priority to identifycapacity The NHRIhasthe to capacity The NHRIhasthe and units the institution and strategic plansfor its annualwork plans, to implementcapacity The NHRIhasthe Budget, Manageand Implement Complaints Handlingand conciliation through mediation and human rights violations to addresscapacity The NHRIhasthe rights advancement ofhuman justice system for the to usethe capacity The NHRIhasthe • • recommendations for provide appropriate to developcapacity and The NHRIhasthe practices discriminatory rights violations and investigations ofhuman independent conduct standard processes to and implement to developcapacity The NHRIhasthe human rights violations persons orNGOalleging any person,group of address complaints from to receivecapacity and The NHRIhasthe irreparable harm. measures to prevent Precautionary rights violations and Remedies for human Investigation, Management rights law international human situations interms of to analyse capacity The NHRIhasthe decisions government, andjudicial regulations, of policies (including religious law), rights oflaws analysis to ahuman undertake The thecapacity NHRIhas Human Rights AnalysisHuman Rights and Research parliamentarians civil servants, police and government officials, groups, including training for identified to provide humanrights The NHRIhasthecapacity available and have themreadily materialsother advocacy brochures, bookletsand develop anddisseminate to thegeneral publicand mandate ofthecommission on humanrights andonits to disseminate information The NHRIhasthecapacity duty-bearers rights andthe obligations of andhuman its functions and otherstakeholders of provincial levels, andlocal public, includingat the strategy to inform the formulate acommunications The to NHRIhasthecapacity Advocacy &Awareness Raising Raising Procedures, etc Treaty Bodies,Special Council,Human Rights recommendations ofthe andthe rights obligations international human ofits implementation and advocate for the rights mechanisms international human tocapacity engagewith The the NHRIhas provincial levels andlocal key stakeholders at the to engagewith capacity The NHRIhasthe • • • • • country human rights inthe recommendations for implementing priorities and formulating and policies key stakeholders in tocapacity engagewith The the NHRIhas Stakeholder Engagement media civil society judiciary parliament government Partnerships recommendations of implementation promote andmonitor tothe capacity The NHRIhas Monitoring and Reporting Annex 2. The Capacity Assessment Matrix for National Human Rights Institutions (NHRIs) Processes and Procedures, Policies, Internal Rights StandardsRights Universal Human onthe also based and mandate defined vision in place aclearly tocapacity put The the NHRIhas framework under thelegal its independence tocapacity exercise The the NHRIhas etc.) children’s rights, ESC rights, Women’s rights, priorities (e.g. and determine rights needs emerging human current and understand identify and to proactively the capacity The NHRIhas and Define Vision/ Assess SituationAssess Mandate into allofitspolicies gender ismainstreamed to ensurecapacity that The NHRIhasthe NHRI asawhole units, andwithinthe mechanisms between place coordination to putin capacity The NHRIhasthe of theunits andactivities functions accurately matches and unitswhich plans for theinstitution plans, andstrategic overall annualwork to developcapacity The NHRIhasthe Formulate Policies and Strategies district level district management at the data and collection to ensurecapacity The NHRIhasthe planning processes rights andinternal staff onbothhuman or resource center for internal database and/ and maintain an to developcapacity The NHRIhasthe streamlined regulations are and procurement that financial to ensurecapacity The NHRIhasthe requirements and identify resource internal work plans a strategic planand to developcapacity The NHRIhasthe fundingneeds priority to identifycapacity The NHRIhasthe to capacity The NHRIhasthe and units the institution and strategic plansfor its annualwork plans, to implementcapacity The NHRIhasthe Budget, Manageand Implement Complaints Handlingand conciliation through mediation and human rights violations to addresscapacity The NHRIhasthe rights advancement ofhuman justice system for the to usethe capacity The NHRIhasthe • • recommendations for provide appropriate to developcapacity and The NHRIhasthe practices discriminatory rights violations and investigations ofhuman independent conduct standard processes to and implement to developcapacity The NHRIhasthe human rights violations persons orNGOalleging any person,group of address complaints from to receivecapacity and The NHRIhasthe irreparable harm. measures to prevent Precautionary rights violations and Remedies for human Investigation, Management rights law international human situations interms of to analyse capacity The NHRIhasthe decisions government, andjudicial regulations, of policies (including religious law), rights oflaws analysis to ahuman undertake The thecapacity NHRIhas Human Rights AnalysisHuman Rights and Research parliamentarians civil servants, police and government officials, groups, including training for identified to provide humanrights The NHRIhasthecapacity available and have themreadily materialsother advocacy brochures, bookletsand develop anddisseminate to thegeneral publicand mandate ofthecommission on humanrights andonits to disseminate information The NHRIhasthecapacity duty-bearers rights andthe obligations of andhuman its functions and otherstakeholders of provincial levels, andlocal public, includingat the strategy to inform the formulate acommunications The to NHRIhasthecapacity Advocacy &Awareness Raising Raising Procedures, etc Treaty Bodies,Special Council,Human Rights recommendations ofthe andthe rights obligations international human ofits implementation and advocate for the rights mechanisms international human tocapacity engagewith The the NHRIhas provincial levels andlocal key stakeholders at the to engagewith capacity The NHRIhasthe • • • • • country human rights inthe recommendations for implementing priorities and formulating and policies key stakeholders in tocapacity engagewith The the NHRIhas Stakeholder Engagement media civil society judiciary parliament government Partnerships recommendations of implementation promote andmonitor tothe capacity The NHRIhas Monitoring and Reporting 59 ANNEX 2. THE CAPACITY ASSESSMENT MATRIX FOR NATIONAL HUMAN RIGHTS INSTITUTIONS (NHRIS) 60 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Leadership the society the society broadly reflect the leadership that membersof to ensurecapacity The NHRIhasthe responsibilities roles, and functions, outtheir carry to effectively guide allstaff proactively motivate and to the capacity leadership as The NHRI’s credibility independence and Commission’s and ensure the to promote the capacity leadership has The NHRI’s Commission within the decision making guidelines in implement ethical develop and to the capacity leadership has The NHRI’s and Define Vision/ Assess SituationAssess Mandate Secretary-General, etc.)Secretary-General, of UnitsorDirectors, Commissioners, Heads management (e.g. leadership andsenior amongthe authority of responsibility and appropriate distribution structure that ensures has adequate leadership The NHRI’s leadership of conduct fully implemented code promoted through a staff are protected and ensure that therights of to has thecapacity The NHRI’s leadership mandate andfunctions fulfillment of its to ensure complete within theCommission needs competency and organisational identify staffing critical to has thecapacity The NHRI’s leadership (Commission) plans for theInstitution strategic plansandwork and implementation of lead theformulation to has thecapacity The NHRI’s leadership Formulate Policies and Strategies the NHRI according to needsof financial resources human, technical and to mobilise capacity The NHRI’s leadership Budget, Manageand Implement Complaints Handlingand disciplinary measures disciplinary on complaints and receiving andacting and procedures for transparent mechanisms implementation of to ensure the has thecapacity The NHRI’s leadership investigative powers makerspolicy onNHRI’s tothe capacity convince The NHRI’s leadershiphas Commission’s mandate complaints basedonthe accept orreject decide to handle, to has thecapacity The NHRI’s leadership Investigation, Management disciplinary measures disciplinary on complaints and receiving andacting and procedures for transparent mechanisms implementation of to ensure the has thecapacity The NHRI’s leadership powers on NHRI’s investigative convince makers policy to has thecapacity The NHRI’s leadership Commission’s mandate complaints basedonthe accept orreject decide to handle, to has thecapacity The NHRI’s leadership Human Rights AnalysisHuman Rights and Research recommendations its views, policiesand for theCommission and credible publicadvocates to beeffective,the capacity The NHRI’s leadershiphas Advocacy &Awareness Raising Raising and recommendations theNHRI’ssupport work and mobilisekey alliesto to identifythe capacity The NHRI’s leadershiphas sectors and key community law enforcement agencies parliament, thejudiciary, with government, the thehighestlevelsat tothe capacity engage The NHRI’s leadershiphas Stakeholder Engagement Partnerships work effectiveness ofits to measure the evaluation plan of amonitoring and lead thedevelopment to has thecapacity The NHRI’s leadership work of theCommission’s to measure theimpact evaluation framework based monitoring and a meritandresults- implementation of to ensure the has thecapacity The NHRI’s leadership Monitoring and Reporting Leadership the society the society broadly reflect the leadership that membersof to ensurecapacity The NHRIhasthe responsibilities roles, and functions, outtheir carry to effectively guide allstaff proactively motivate and to the capacity leadership as The NHRI’s credibility independence and Commission’s and ensure the to promote the capacity leadership has The NHRI’s Commission within the decision making guidelines in implement ethical develop and to the capacity leadership has The NHRI’s and Define Vision/ Assess SituationAssess Mandate Secretary-General, etc.)Secretary-General, of UnitsorDirectors, Commissioners, Heads management (e.g. leadership andsenior amongthe authority of responsibility and appropriate distribution structure that ensures has adequate leadership The NHRI’s leadership of conduct fully implemented code promoted through a staff are protected and ensure that therights of to has thecapacity The NHRI’s leadership mandate andfunctions fulfillment of its to ensure complete within theCommission needs competency and organisational identify staffing critical to has thecapacity The NHRI’s leadership (Commission) plans for theInstitution strategic plansandwork and implementation of lead theformulation to has thecapacity The NHRI’s leadership Formulate Policies and Strategies the NHRI according to needsof financial resources human, technical and to mobilise capacity The NHRI’s leadership Budget, Manageand Implement Complaints Handlingand disciplinary measures disciplinary on complaints and receiving andacting and procedures for transparent mechanisms implementation of to ensure the has thecapacity The NHRI’s leadership investigative powers makerspolicy onNHRI’s tothe capacity convince The NHRI’s leadershiphas Commission’s mandate complaints basedonthe accept orreject decide to handle, to has thecapacity The NHRI’s leadership Investigation, Management disciplinary measures disciplinary on complaints and receiving andacting and procedures for transparent mechanisms implementation of to ensure the has thecapacity The NHRI’s leadership powers on NHRI’s investigative convince makers policy to has thecapacity The NHRI’s leadership Commission’s mandate complaints basedonthe accept orreject decide to handle, to has thecapacity The NHRI’s leadership Human Rights AnalysisHuman Rights and Research recommendations its views, policiesand for theCommission and credible publicadvocates to beeffective,the capacity The NHRI’s leadershiphas Advocacy &Awareness Raising Raising and recommendations theNHRI’ssupport work and mobilisekey alliesto to identifythe capacity The NHRI’s leadershiphas sectors and key community law enforcement agencies parliament, thejudiciary, with government, the thehighestlevelsat tothe capacity engage The NHRI’s leadershiphas Stakeholder Engagement Partnerships work effectiveness ofits to measure the evaluation plan of amonitoring and lead thedevelopment to has thecapacity The NHRI’s leadership work of theCommission’s to measure theimpact evaluation framework based monitoring and a meritandresults- implementation of to ensure the has thecapacity The NHRI’s leadership Monitoring and Reporting 61 ANNEX 2. THE CAPACITY ASSESSMENT MATRIX FOR NATIONAL HUMAN RIGHTS INSTITUTIONS (NHRIS) 62 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Knowledge and Resources Human migrant workers seekers, and refugees, asylum women, and rights of thechild, the particularly and vulnerable, marginalised the rights ofthe effectively address to proactively and have thecapacity The NHRIstaff the country rights needs of emerging human to understand have thecapacity The NHRIstaff country applications for the theirpracticalas theories, well as concepts and human rights understand basic staff members to have qualified The NHRIstaff and Define Vision/ Assess SituationAssess Mandate their work mainstream genderinto to genderconcepts, and to besensitised capacity The NHRIstaffhave the law review dispute resolution, and rights law, investigation, of international human including, asrelevant, skills andexperience, knowledge,necessary positions, withthe oftheir the functions to perform capacity The NHRIstaffhave the mechanisms measurement proper performance to putinplacecapacity The NHRIhasthe responsibilities) descriptionsmatch (job mandate andobjectives overall organisational to individual functions to link the capacity The NHRIstaffhave competencies staffing andstaff to ensure adequate career development framework including resources development long-term human and putinplace to developcapacity The NHRIhasthe Formulate Policies and Strategies programs and internal policy rights needsinto its gender andhuman to incorporatecapacity members have the The NHRIstaff country rights violations inthe responding to human on addressing and and bestpractices international policies access andadapt to the capacity members have The NHRIstaff mandate members to fulfillits of qualifiedstaff adequate number The NHRIhasan implementation plans plansand/or action work plansinto to translatecapacity The NHRIhasthe Budget, Manageand Implement Complaints Handlingand conduct aninvestigationconduct the right stakeholders to to engagewith capacity The NHRIstaffhave the facilities detention orprotective to investigatecapacity The NHRIstaffhave the appropriate remedies violations andsuggest and non-humanrights between humanrights to differentiatecapacity The NHRIstaffhave the Investigation, Management with research institutes statistics aswell aswork human rights data and to producecapacity The NHRIstaffhave the databases rights information and access to human The NHRIstaffhave rights mechanisms international human includingfor country rights situation sinthe onthehuman reports research andprepare based evidence and fact to conduct the capacity The NHRIstaffhave rights law with international human inaccordancethe country human rights situation in tothe capacity analyse The NHRIstaffhave Human Rights AnalysisHuman Rights and Research human rights information media indisseminating to workcapacity withthe The NHRIstaffhave the materialsadvocacy rights information and disseminate publichuman producecapacity and The NHRIstaffhave the rights issues levelslocal onhuman public at thecentral and to educatecapacity the The NHRIstaffhave the (including civilsociety) for relevant stakeholders programsand advocacy human rights trainings to conduct the capacity The NHRIstaffhave Advocacy &Awareness Raising Raising of humanrights promotion and protection work withthemfor the with NGOsandactively to engage the capacity The NHRIstaffhave effectively responsibilities more NHRI to its perform to the assist military parliament, police, and the government, judiciary, stakeholders including withkey openly external andopinions their ideas tocapacity articulate The NHRIstaffhave the Stakeholder Engagement Partnerships findings ofsuchsurveys on for open discussion withforums surveys periodicstaff conduct to designand capacity The NHRIhasthe development growth andcareer continued staff mechanisms for assessment ofperformance as part feedback mechanisms to setup capacity The NHRIhasthe etc) Resources manuals, procurement, Human (e.g. financial, standard procedures to implementcapacity members have the The NHRIstaff and targets benchmarks, indicators, to set the capacity The NHRIstaffhave Monitoring and Reporting Knowledge and Resources Human migrant workers seekers, and refugees, asylum women, and rights of thechild, the particularly and vulnerable, marginalised the rights ofthe effectively address to proactively and have thecapacity The NHRIstaff the country rights needs of emerging human to understand have thecapacity The NHRIstaff country applications for the theirpracticalas theories, well as concepts and human rights understand basic staff members to have qualified The NHRIstaff and Define Vision/ Assess SituationAssess Mandate their work mainstream genderinto to genderconcepts, and to besensitised capacity The NHRIstaffhave the law review dispute resolution, and rights law, investigation, of international human including, asrelevant, skills andexperience, knowledge,necessary positions, withthe oftheir the functions to perform capacity The NHRIstaffhave the mechanisms measurement proper performance to putinplacecapacity The NHRIhasthe responsibilities) descriptionsmatch (job mandate andobjectives overall organisational to individual functions to link the capacity The NHRIstaffhave competencies staffing andstaff to ensure adequate career development framework including resources development long-term human and putinplace to developcapacity The NHRIhasthe Formulate Policies and Strategies programs and internal policy rights needsinto its gender andhuman to incorporatecapacity members have the The NHRIstaff country rights violations inthe responding to human on addressing and and bestpractices international policies access andadapt to the capacity members have The NHRIstaff mandate members to fulfillits of qualifiedstaff adequate number The NHRIhasan implementation plans plansand/or action work plansinto to translatecapacity The NHRIhasthe Budget, Manageand Implement Complaints Handlingand conduct aninvestigationconduct the right stakeholders to to engagewith capacity The NHRIstaffhave the facilities detention orprotective to investigatecapacity The NHRIstaffhave the appropriate remedies violations andsuggest and non-humanrights between humanrights to differentiatecapacity The NHRIstaffhave the Investigation, Management with research institutes statistics aswell aswork human rights data and to producecapacity The NHRIstaffhave the databases rights information and access to human The NHRIstaffhave rights mechanisms international human includingfor country rights situation sinthe onthehuman reports research andprepare based evidence and fact to conduct the capacity The NHRIstaffhave rights law with international human inaccordancethe country human rights situation in tothe capacity analyse The NHRIstaffhave Human Rights AnalysisHuman Rights and Research human rights information media indisseminating to workcapacity withthe The NHRIstaffhave the materialsadvocacy rights information and disseminate publichuman producecapacity and The NHRIstaffhave the rights issues levelslocal onhuman public at thecentral and to educatecapacity the The NHRIstaffhave the (including civilsociety) for relevant stakeholders programsand advocacy human rights trainings to conduct the capacity The NHRIstaffhave Advocacy &Awareness Raising Raising of humanrights promotion and protection work withthemfor the with NGOsandactively to engage the capacity The NHRIstaffhave effectively responsibilities more NHRI to its perform to the assist military parliament, police, and the government, judiciary, stakeholders including withkey openly external andopinions their ideas tocapacity articulate The NHRIstaffhave the Stakeholder Engagement Partnerships findings ofsuchsurveys on for open discussion withforums surveys periodicstaff conduct to designand capacity The NHRIhasthe development growth andcareer continued staff mechanisms for assessment ofperformance as part feedback mechanisms to setup capacity The NHRIhasthe etc) Resources manuals, procurement, Human (e.g. financial, standard procedures to implementcapacity members have the The NHRIstaff and targets benchmarks, indicators, to set the capacity The NHRIstaffhave Monitoring and Reporting 63 ANNEX 2. THE CAPACITY ASSESSMENT MATRIX FOR NATIONAL HUMAN RIGHTS INSTITUTIONS (NHRIS) 64 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS Accountability Resources Financial stakeholders analyses ofkey and reports considers the which seriously situation analysis comprehensive a to undertake the capacity The NHRIhas accountability and institutional management promote change staff at alllevels to which involves all situation analysis comprehensive a to undertake the capacity The NHRIhas country country throughout the and research situation analyses human rights and thorough comprehensive to conduct resource capacity the financial The NHRIhas mandate its visioninto and implement to translate resource capacity the financial The NHRIhas and Define Vision/ Assess SituationAssess Mandate involves allstaff making process that consultative decision and participatory mechanisms anda complaint grievance to ensurecapacity The NHRIhasthe policies andstrategies formulation ofclear mechanisms to ensure manage accountability to developcapacity and The NHRIhasthe and annualplans Commission’s strategic work planbasedonthe financial management implement a realistic to developcapacity and The NHRIhasthe all staff remuneration for to ensure adequate financial resources The NHRIhasthe additional resources) to(capacity mobilise raising strategies and implement fund to formulatecapacity The NHRIhasthe Formulate Policies and Strategies reports onitslbudget reports proper andadequate to developcapacity The NHRIhasthe the budgetisspent annual budget and how information onits publicly available tocapacity make The the NHRIhas projects, andprograms status ofitsactivities, the implementation and evaluation on regular monitoring out to carry capacity The NHRIhasthe contingency plan contingency budget anddevelop a to manageits capacity The NHRIhasthe Strategic Plan budget basedonits its internal annual to implementcapacity The NHRIhasthe Plans and/or internal Work in theStrategic Plan based onthepriorities and secure resources to mobilise capacity The NHRIhasthe Budget, Manageand Implement Complaints Handlingand addressed percentage ofthose of complaints and public thenumber to makecapacity The NHRIhasthe and handlecomplaints equipment to receive to procure adequate aswellcapacity as financial resources The NHRIhasthe rights violations investigations onhuman out equipment to carry to procure adequate aswellcapacity as financial resources The NHRIhasthe Investigation, Management the country rights situation in research onthehuman out equipment to carry to procure adequate aswellcapacity as financial resources The NHRIhasthe with thepublic findings from research to sharecapacity The NHRIhasthe to thecountry important human rights issues and research onall human rights analysis to conduct capacity The NHRIhasthe Human Rights AnalysisHuman Rights and Research country) country) and provinces withinthe levelslocal (e.g. regions atraising the activities andawarenessadvocacy resource to provide capacity The NHRIhasthefinancial disseminate themeffectively on humanrights and develop materials advocacy resource to capacity The NHRIhasthefinancial training programs sustainable humanrights out carry effectively resources to capacity The NHRIhasfinancial the general public public general the and society civil including stakeholders all for and with programs raising awareness- and training rights human conduct to capacity the has NHRI The activities advocacy and trainings its of participants for follow-up effective and proper ensure to capacity the has NHRI The Advocacy &Awareness Raising Raising provincial, village, etc.) at level thelocal (e.g. engage with stakeholders to effectively capacity financial resource The NHRIhasthe rights mechanisms and international human withregionalparticipate to actively capacity financial resource The NHRIhasthe and NGOs the publicincludingCSOs to engagewith capacity financial resource The NHRIhasthe projects, and activities projects, andactivities human rights programs, NGOs andcollaborate on organisationssociety and all humanrights civil to engagewith capacity The NHRIhasthe the police the military, prisons, and the government including relevant stakeholders in to engagewithall The thecapacity NHRIhas Stakeholder Engagement Partnerships the country the country NHRI’s work throughout ofthe the impact missions to evaluate and evaluation outmonitoring carry to regularlycapacity financial resource The NHRIhasthe in thecountry human rights situation onthe reporting monitoring and regular andeffective out to carry capacity financial resource The NHRIhasthe basis conducted on a regular independent audits are capacity to ensure The NHRI has the performance organisational /complaints about processing feedback mechanisms for capacity to develop The NHRI has the accountability measures mechanisms and strengthen oversight institutionalise and the capacity to The NHRI has Monitoring and Reporting Accountability Resources Financial stakeholders analyses ofkey and reports considers the which seriously situation analysis comprehensive a to undertake the capacity The NHRIhas accountability and institutional management promote change staff at alllevels to which involves all situation analysis comprehensive a to undertake the capacity The NHRIhas country country throughout the and research situation analyses human rights and thorough comprehensive to conduct resource capacity the financial The NHRIhas mandate its visioninto and implement to translate resource capacity the financial The NHRIhas and Define Vision/ Assess SituationAssess Mandate involves allstaff making process that consultative decision and participatory mechanisms anda complaint grievance to ensurecapacity The NHRIhasthe policies andstrategies formulation ofclear mechanisms to ensure manage accountability to developcapacity and The NHRIhasthe and annualplans Commission’s strategic work planbasedonthe financial management implement a realistic to developcapacity and The NHRIhasthe all staff remuneration for to ensure adequate financial resources The NHRIhasthe additional resources) to(capacity mobilise raising strategies and implement fund to formulatecapacity The NHRIhasthe Formulate Policies and Strategies reports onitslbudget reports proper andadequate to developcapacity The NHRIhasthe the budgetisspent annual budget and how information onits publicly available tocapacity make The the NHRIhas projects, andprograms status ofitsactivities, the implementation and evaluation on regular monitoring out to carry capacity The NHRIhasthe contingency plan contingency budget anddevelop a to manageits capacity The NHRIhasthe Strategic Plan budget basedonits its internal annual to implementcapacity The NHRIhasthe Plans and/or internal Work in theStrategic Plan based onthepriorities and secure resources to mobilise capacity The NHRIhasthe Budget, Manageand Implement Complaints Handlingand addressed percentage ofthose of complaints and public thenumber to makecapacity The NHRIhasthe and handlecomplaints equipment to receive to procure adequate aswellcapacity as financial resources The NHRIhasthe rights violations investigations onhuman out equipment to carry to procure adequate aswellcapacity as financial resources The NHRIhasthe Investigation, Management the country rights situation in research onthehuman out equipment to carry to procure adequate aswellcapacity as financial resources The NHRIhasthe with thepublic findings from research to sharecapacity The NHRIhasthe to thecountry important human rights issues and research onall human rights analysis to conduct capacity The NHRIhasthe Human Rights AnalysisHuman Rights and Research country) country) and provinces withinthe levelslocal (e.g. regions atraising the activities andawarenessadvocacy resource to provide capacity The NHRIhasthefinancial disseminate themeffectively on humanrights and develop materials advocacy resource to capacity The NHRIhasthefinancial training programs sustainable humanrights out carry effectively resources to capacity The NHRIhasfinancial the general public public general the and society civil including stakeholders all for and with programs raising awareness- and training rights human conduct to capacity the has NHRI The activities advocacy and trainings its of participants for follow-up effective and proper ensure to capacity the has NHRI The Advocacy &Awareness Raising Raising provincial, village, etc.) at level thelocal (e.g. engage with stakeholders to effectively capacity financial resource The NHRIhasthe rights mechanisms and international human withregionalparticipate to actively capacity financial resource The NHRIhasthe and NGOs the publicincludingCSOs to engagewith capacity financial resource The NHRIhasthe projects, and activities projects, andactivities human rights programs, NGOs andcollaborate on organisationssociety and all humanrights civil to engagewith capacity The NHRIhasthe the police the military, prisons, and the government including relevant stakeholders in to engagewithall The thecapacity NHRIhas Stakeholder Engagement Partnerships the country the country NHRI’s work throughout ofthe the impact missions to evaluate and evaluation outmonitoring carry to regularlycapacity financial resource The NHRIhasthe in thecountry human rights situation onthe reporting monitoring and regular andeffective out to carry capacity financial resource The NHRIhasthe basis conducted on a regular independent audits are capacity to ensure The NHRI has the performance organisational /complaints about processing feedback mechanisms for capacity to develop The NHRI has the accountability measures mechanisms and strengthen oversight institutionalise and the capacity to The NHRI has Monitoring and Reporting 65 ANNEX 2. THE CAPACITY ASSESSMENT MATRIX FOR NATIONAL HUMAN RIGHTS INSTITUTIONS (NHRIS) 66 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS r vdne o ec rtn ta yu provide! you that rating each for evidence or justification provide to forget don’t Please follows. as defined scale five-point a uses system rating The 5. 4. 3. 2. 1. for fillingupeach worksheet isas follows: Please complete each each worksheet by filling up the appropriate spaces. The in suggested order technical/ indicated and rate defined to are that participant indicators each worksheet. capacity allow using will capacities worksheets functional assessment following The andWorksheet Instructions Annex 3. Sample Capacity Assessment Worksheet monitoring andevaluation implementation) after E. Recommendations C. Strengths 3. 2. 1. statement: B. rating Pleaseindicate for acapacity eachguide handle andmanagecomplaints This category relates to ofstaffand thecapacity relevant units to investigations,conduct Functional Capacity: Investigation, Complaints HandlingandManagement Development Issue: HUMAN RESOURCES ANDKNOWLEDGE

the right stakeholders aninvestigation to conduct The NHRIstaffhave to engagewith capacity the detention orprotective facilities The NHRIstaffhave to investigatecapacity the violations andsuggest appropriate remedies between humanrights andnon-humanrights The NHRIstaffhave to differentiatecapacity the functional capacity in Section D. inSection capacity functional Indicate recommendations inrelation to the appropriate spaces. in relation inthe capacity to thisfunctional Indicate theCommission’s C relevant inSection Bandweaknesses strengths inSection Please provide evidenceorjustification for the ratings that you provided Indicate acurrent rating for capacity eachguidestatement B. intheworksheet inSection Indicate your required capacity rating for (five years ahead) in Section A. Please read through each of the guide statements in Section B. Rating active active 5. 4. 3. 2. 1. Score/Rating: Very High High Medium Low Very Low active monitoringactive andevaluation implementation) after Fully developed relevant exists(for example, capacity to(for fullimplementation ofplans) example, partial Well exists developed level ofcapacity (for example, irregular to basicimplementation ofplans) Partially exists developed level ofcapacity exists Only basicorlow level ofcapacity Very exists low level ornoexistingcapacity D. Weaknesses Evidence (in five years ahead) required capacity A. Rating that bestreflects Annex 4. Sample Excel Spreadsheet Core Issue Internal Policies, Procedures and Processes AVERAGE AVERAGE 1 2 3 4 Functional/ Current Future Current Future Current Future Current Future Current Future Technical Capacity Formulate Policies and Strategies capacity to develop overall annual work plans, and strategic plans for the institution and units which 3 3 3 3 3.00 accurately matches functions and activities of the units capacity to implement overall annual work plans and Capacity 3 3 3 2 2.75 strategic plans for the institution and units Indicators capacity to formulate a communications and media strategy to inform the public and other stakeholders of 3 3 3 2 2.75 its functions and mandate Average 3.00 4.00 3.00 5.00 3.00 5.00 2.33 4.00 2.83 4.50 Overall 2.83 4.50 Investigations, Complaints Handling and Management capacity to conduct field visits, interview witnesses, inspect and monitor places where people are deprived 3 4 3 3 3.25 of their liberty and make necessary recommendations 67 ANNEX 4. SAMPLE EXCEL SPREADSHEET 68 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS

capacity to conduct public inquiries into systematic 3 2 1 1 1.75 human rights issues capacity to use the justice system for the advancement 2 3 2 2 2.25 of human rights capacity to provide assistance to victims of human 3 2 3 2 2.50 rights violations in a timely manner capacity to address human rights violations through 3 2 2 2 2.25 mediation and conciliation capacity to ensure protection and confidentiality of 3 3 4 3 3.25 witnesses and victims Average 2.83 4.00 2.67 5.00 2.50 5.00 2.17 4.00 2.54 4.50 Overall 2.54 4.50 Advocacy and Awareness Raising capacity to disseminate information on human rights and on its mandate of the commission to the general public and develop and disseminate brochures, 3 4 4 2 3.25 booklets and other advocacy materials and have them readily available capacity to conduct human rights education and 3 4 4 3 3.50 training programs for selected target groups Average 3.00 4.00 4.00 5.00 4.00 5.00 2.50 5.00 3.38 4.75 Overall 3.38 4.75 Stakeholder Engagement 69 ANNEX 4. SAMPLE EXCEL SPREADSHEET 68 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS

capacity to engage with key stakeholders in formulating policies and priorities for human rights in 3 4 3 3 3.25 the country - government capacity to engage with key stakeholders in formulating policies and priorities for human rights in 2 3 3 3 2.75 the country - parliament capacity to engage with key stakeholders in formulating policies and priorities for human rights in 1 3 3 3 2.50 the country - judiciary capacity to engage with key stakeholders in formulating policies and priorities for human rights in 3 3 4 3 3.25 the country - civil society capacity to engage with key stakeholders in formulating policies and priorities for human rights in 3 4 3 3 3.25 the country - media capacity to engage with international human rights mechanisms and advocate for the implementation of its international human rights obligations and the 2 3 2 2 2.25 recommendations of the Human Rights Council, Treaty Bodies, Special Procedures, etc Average 2.33 4.00 3.33 4.00 3.00 4.00 2.83 5.00 2.88 4.25 Overall 2.88 4.25 69 ANNEX 4. SAMPLE EXCEL SPREADSHEET 70 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS

Monitoring and Reporting capacity to establish and put in place a standardised monitoring and reporting system for human rights 2 3 2 1 2.00 observance capacity to ensure that relevant authorities and the 3 4 3 3 3.25 public are aware of its findings and recommendations Average 2.50 4.00 3.50 4.00 2.50 4.00 2.00 4.00 2.63 4.00 Overall/Overall Future Rating 2.63 4.00 Current 2.85 Avg Future 4.40 Avg GAP 1.55 71 ANNEX 4. SAMPLE EXCEL SPREADSHEET 70 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS 71 ANNEX 4. SAMPLE EXCEL SPREADSHEET 72 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS

Annex 5. List of Documents to Review

Checklist for Collection of Documents/Resources for Capacity Assessments

Stakeholder Document/Resource Type Remarks Check From organisation 1. Organogram(s) or Diagrams on Divisions/Units/Working Groups of Organisation Do any of these documents need /institution being 2. List of staff (divided by temporary, permanent, full time or part time) in the organisation translation? assessed 3. Copy of the Act or Law leading to the creation of the organisation/institution Focus on collecting documents and 4. Annual Reports and/or Monthly, Weekly Reports by the organisation/institution resources available only from the 5. Information packages/brochures on the organisation/institution published by organisation/institution organisation/institution 6. Materials used for staff development - Induction materials - Training materials 7. Any operational guidelines within the organisation/institution From UNDP and 1. Project Documents Some of the documents that need other Partner 2. Mid-Term (or other progress) evaluation reports to be collected by the organisation/ Agencies e.g. 3. TOR of past missions on the organisation/institution institution can be supplied by UNDP UNCTs 4. Documents on the issue (same mandate of the organisation/institution) e.g. Governance, Poverty Reduction, etc. 5. Minutes of meetings with the organisation/institution or on the organisation/institution with partners 6. Reports on the overall situation in the country From External 1. Information on the stakeholder e.g. brochure on specific stakeholder These are secondary resources, Stakeholders 2. Minutes of meetings with the organisation/institution or on the organisation/institution with other stakeholders supplementing the document/ 3. Reports by the external stakeholder on the organisation/institution being assessed or on the issue information collected from the organisation/institution and UNDP Key Points: 1. Ensure the collection of documentation and resources are provided well ahead of the Capacity Assessment. If more documentation is provided after the scoping or during the assessment, these can be used in the CA Report 2. Make sure materials which need translation are provided well ahead of the CA in order to save time 3. The process of collection documentation/information should be in the Work Plan (of the CA), and planned weeks before the CA 72 CAPACITY ASSESSMENT MANUAL FOR NATIONAL HUMAN RIGHTS INSTITUTIONS

Annex 5. List of Documents to Review

Checklist for Collection of Documents/Resources for Capacity Assessments

Stakeholder Document/Resource Type Remarks Check From organisation 1. Organogram(s) or Diagrams on Divisions/Units/Working Groups of Organisation Do any of these documents need /institution being 2. List of staff (divided by temporary, permanent, full time or part time) in the organisation translation? assessed 3. Copy of the Act or Law leading to the creation of the organisation/institution Focus on collecting documents and 4. Annual Reports and/or Monthly, Weekly Reports by the organisation/institution resources available only from the 5. Information packages/brochures on the organisation/institution published by organisation/institution organisation/institution 6. Materials used for staff development - Induction materials - Training materials 7. Any operational guidelines within the organisation/institution From UNDP and 1. Project Documents Some of the documents that need other Partner 2. Mid-Term (or other progress) evaluation reports to be collected by the organisation/ Agencies e.g. 3. TOR of past missions on the organisation/institution institution can be supplied by UNDP UNCTs 4. Documents on the issue (same mandate of the organisation/institution) e.g. Governance, Poverty Reduction, etc. 5. Minutes of meetings with the organisation/institution or on the organisation/institution with partners 6. Reports on the overall situation in the country From External 1. Information on the stakeholder e.g. brochure on specific stakeholder These are secondary resources, Stakeholders 2. Minutes of meetings with the organisation/institution or on the organisation/institution with other stakeholders supplementing the document/ 3. Reports by the external stakeholder on the organisation/institution being assessed or on the issue information collected from the organisation/institution and UNDP Key Points: 1. Ensure the collection of documentation and resources are provided well ahead of the Capacity Assessment. If more documentation is provided after the scoping or during the assessment, these can be used in the CA Report 2. Make sure materials which need translation are provided well ahead of the CA in order to save time 3. The process of collection documentation/information should be in the Work Plan (of the CA), and planned weeks before the CA

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