Final Report: Review of the APF
John Dwyer
September16 2014
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Table of Contents
Executive Summary
Findings and conclusions (recommendations made in the 2010 Review)
Findings and Conclusions (OECD Guidelines)
Relevance
Capacity
Efficiency
Sustainability
Findings and Conclusions (effectiveness and impact of Program Implementation)
Objective 1: Capacity Development
Training
Capacity Assessments
Specialised Programs (High Level Dialogues)
Supporting the Advisory Council of Jurists
Objective 2: Networking and Communication
Core Networking
Core Communications
Objective 3: Compliance with the Paris Principles
ICC Accreditation
Advice to Members
Advice to Stakeholders
Objective 4: International and Regional Engagement
Engagement with UN Bodies
Engagement with the ICC
Engagement with Regional Mechanisms
Introduction
This Review
Methodology
Overview of the APF
Structure of the Review Report
Evaluation Findings and Conclusions: Recommendations of the 2010 Review
Focus on bringing non-compliant members into compliance
Findings
Conclusion & Recommendations
Renew efforts of expand revenue sources
Findings
Conclusion & Recommendations
Use NHRI staff in APF programming
Findings
Conclusion & Recommendations
Focus on impacts in reporting
Findings
Conclusion & Recommendations
Implement the Sidoti recommendations on training
Findings
Conclusion & Recommendations
Highlight Efforts to Provide a Gender Perspective in APF programming
Findings
Conclusions & Recommendations
Develop capacity development programmes on gender mainstreaming
Findings
Conclusion & Recommendations
Coordinate input to UN CSW
Findings
Conclusion & Recommendations
Findings and Conclusions: Evaluation Questions and Criteria
Relevance
Strategic Objectives
Programme activities
Capacity
Secretariat capacity to fund-raise
Secretariat/Management capacity to manage programmes
Secretariat capacity to meet training needs of Members
Capacity of Secretariat to address gender issues
Capacity of Member NHRIs to Apply a Gender Perspective
Capacity to Apply a Theory of Change
Efficiency
Efficient use of funds/value for money
Management & governance structure conducive to efficiency
Sustainability
General Sustainability
Sustainability - Partnership with the RWI
Findings and Conclusions: Effectiveness & Impact in delivering strategic goals
Strategic Objective 1: Capacity Development
Training
Capacity Assessments
Specialised Programs - HLDs
Supporting the ACJ
Strategic Objective 2: Networking & Communications
Core Networking
Core Communications
Strategic Objective 3: Compliance with Paris Principles
ICC Accreditation
Advice to Members
Advice to Other Stakeholders
Strategic Objective 4: Regional & International Engagement
Engagement with UN Bodies
Engagement with ICC
Engagement with regional mechanisms
Lessons Learned
Link Between Strategic Planning and Program Review
Supplementing and Validating Survey Results
List of Annexes
Annex 1TORs for the Review
Annex 2Inception Plan for Review
Annex 3APF Self Review Report
Annex 4aMaster Copy of Review Survey (Members)
Annex 4bCompilation of Review Survey Results
Annex 5Gender Mainstreaming: operational review of the APF Secretariat
Annex 6List of Interviewees
Annex 7Financial Breakdown of direct expenditure on gender programs
Annex 8Compilation of Narrative Responses to Review Survey
Annex 9Compilation of Member Interviews on Impacts
Annex 10Compilation of Review Recommendations organised thematically
List of Acronyms
ACJAdvisory Council of Jurists
AGMAnnual General Meeting
APFAsia Pacific Forum of National Human Rights Institutions
APTAssociation for the Prevention of Torture
ASEANAssociation of Southeast Asian Nations
CACapacity Assessment
CSWCommission on the Status of Women
CESRCentre for Economic and Social Rights
ESREconomic and Social Rights
FCForum Council
HLDHigh Level Dialogue
NHRINational Human Rights Institutions
HRHuman Rights
HRCHuman Rights Council
ICCInternational Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights
ICC SCAICC Sub-Committee on Accreditation
OECDOrganisation for Economic Cooperation and Development
OHCHRUnited Nations Office of theHigh Commissioner for Human Rights
PIFPacific Islands Forum
PPParis Principles
RWIRaoul Wallenberg Institute
SAARCSouth Asian Association for Regional Cooperation
SEOSenior Executive Officers
SOGISexual Orientation and Gender Identity
UNUnited Nations
UNDPUnited National Development Program
UNFPAUnited Nations Population Fund
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Executive Summary
This review of the Asia Pacific Forum of National Human Rights Institutions (APF) Program examines the degree to which the APF has implemented key recommendations of a previous review, as well as the impact of so doing, and the degree to which the APF Program satisfied key Organisation for Economic Cooperation and Development (OECD) guidelines on relevance, capacity, efficiency, sustainability, effectiveness and impacts.
The review was carried out in a consultative manner.
Findings and conclusions (recommendations made in the 2010 Review)
The APF has fully implemented all recommendations of the previous review with the exception of the recommendations on gender equality. With regard to this latter, documentation and interviews show that the APF has carefully developed the internal capacity to act, inter alia, by developing and acting on a Gender Policy, by establishing a Focal Point for gender, by better documenting its efforts to promote gender equality and by developing a training manual and course on the subject. These initiatives, and others, are documented in an operational review on gender equality that the APF commissioned and that was undertaken parallel to this review.
The review notes the impacts of implementing the above-mentioned recommendations, where this is possible. Results impacts for recommendations related to gender equality are not available at this time, since the implementation of the recommendations has just been finalised. That said, the approach taken to date by the APF have been sound and based on the best available models and expert advice.
While the recommendation on reporting on impacts was implemented, the results have not been fully successful. The monitoring matrix developed with an external consultant is deficient in that:
it does not identify certain key output activities and therefore does not identify output and outcome indicators for them
it does not identify higher level outcome results indicators and therefore there is no way to monitor and report on impacts
it does not consider improvements to the human rights situation as an expected result and therefore the output and outcome indicators are not human rights-based
indicators for monitoring gender-based results are not yet developed.
In addition, conceptual difficulties with the design of the monitoring system mean that certain activities may be reported under more than one objective.
The APF is aware of these lacunae and is working to resolve them.
Findings and Conclusions (OECD Guidelines)
Relevance
All APF strategic objectives and most program initiatives are, and remain, highly relevant to Member NHRIs. (The only exception regards the Advisory Council of Jurists, although it too is considered relevant.) Partners shared this view but pointed out that tweaking of some programs might be needed – Capacity Assessments have been conducted on virtually all Members and so a different follow-up approach might be needed now; training on the prevention in torture may have reached a saturation point and more focused training might now be required.
Capacity
All stakeholders feel that the APF has the capacity to manage the Program and the results of this review support this, although there are weaknesses as noted above, in monitoring and evaluation. An operational review on gender mainstreaming concluded that APF staff has the capacity to apply a gender focus in its work; survey results support this but also suggest that there is room for improvements. The Master`s Training Program has the potential to ensure that the APF`s internal capacity to provide training to members is secured. The APF Secretariat has the capacity to fund-raise and has embarked on an ambitious new strategy to do so.
Member NHRIs have internal structures, policies and or practices in place to facilitate and support a gender perspective. All NHRIs indicated that they had the capacity to program in the area and had achieved results. The operational review on gender mainstreaming reported that APF programming had improved Members’ capacity to apply a gender perspective. While this evidence is not conclusive, it does suggest that APF Members have capacity in this area.
There is a need to develop and codify a theory of change to ensure that the APF’s planning skills are institutionalised and made apparent.
Efficiency
The APF is implemented in an efficient manner and cost comparisons show that program costs are in line with other actors. Partners agree that the APF is efficiently implemented.
There are suggestions that some training might have reached a saturation point. Where this is the case, a hiatus might be considered.
The APF has carried a heavy load in its support for the International Coordinating Committee of National Institutions for the Promotion and Protection of Human Rights (ICC) over the period under review. Others should begin to shoulder more of the load.
While Members remain largely satisfied with the current management structure, the growth of Membership will lead to inefficiencies given the sheer size of the decision-making body. The Forum Councillors Working Group recently decided to examine the governance structure.
Sustainability
APF Members and Partners uniformly believe that the APF program is sustainable. Several factors are cited as the reason for this: the professionalism and stability of the APF Secretariat staff; APF`s commitment to strategic planning; the APF Secretariat staff`s deep understanding of the regional and country-specific contexts that the APF operates in; and the APF approach to programming.
That said certain prerequisites remain, including the development and implementation of an effective monitoring and evaluation system and the diversification of funding sources.
Findings and Conclusions (effectiveness and impact of Program Implementation)
Objective 1: Capacity Development
Training
The APF training program responds to Member needs. All data sources suggest that the training is useful and is applied. There are weaker indications that learning is transferred to the Institution.
Action plans developed in training and applied after the fact are important tools to ensure knowledge acquisition and transfer, and a potential vehicle through which impacts of APF programming can be documented. There are ways in which the approach taken can be strengthened, including by ensuring that plans take a gender focus. Lessons learned from the training provided on Economic and Social Rights (ESR) may be instructive.
There are no defined impact indicators for training, but there is evidence that training on National Inquiries has had impacts, as reported by Institutions and corroborated by experts. Efforts should be taken to identify appropriate indicators and track impacts for this activity.
Language issues are a continuing difficulty. There are limits to how much can be accomplished to deal with these, but efforts should be taken to improve language capacities in Arabic given the relatively large number of institutions that might benefit from this.
Capacity Assessments
Members greatly value the Capacity Assessment program, and those that have undergone it report that the results have been highly positive. Some suggest that the approach is perhaps too complex and intrusive, but this is not universally held. Consultants who undertake the Assessment report that gender is always a factor considered in the Assessments.
Difficulties in securing funding at the UNDP global level provide both a challenge and opportunity. Recent funding has come from UNDP country-programs and is therefore not predictable; at the same time, engagement at the country level has ensured follow-on support for the Member Institution by supportive UNDP country offices, at least in some circumstances.
Impact results of Capacity Assessments are not tracked, although revised processes, including the requirement of Member Institutions to report on its progress on implementing recommendations, will facilitate this in the future.
Specialised Programs (High Level Dialogues)
High Level Dialogues (HLD) are meant to provide a Member Institution’s most senior personnel (mainly Commissioners) confidential advice on matters that are of particular concern to them from seasoned, senior practitioners. Consultants who conduct the activity advise that gender is always a consideration in the Dialogues.
While the confidential nature of the process precludes much reporting, including on impacts, those that have undergone the process believe that it has been helpful. Consultants engaged to participate in the dialogues agree.
Supporting the Advisory Council of Jurists
The Advisory Council of Jurists (ACJ) provides legal opinions on issues referred to it by the APF. Its reports are intended to facilitate NHRIs’ understanding of key human rights issues at the domestic level and enhance their ability to advocate for appropriate change. Its last opinion, released in 2010, was on the issue of Sexual Orientation and GenderIdentity (SOGI).
APF Members display ambivalence about the effectiveness of the ACJ, and there are concerns about governance since the body is large (given that each member nominate one member) and the nomination process is not transparent.
The results achieved are muted. Members report only limited success of the latest ACJ report with respect to influencing action, public opinion or change on the ground. Given the sensitive nature of the issue in many of the countries of the region, even muted success is progress.
Objective 2: Networking and Communication
Core Networking
There are three major avenues for networking opportunities: the Annual General Meeting (AGM); Biennial Meeting and the Senior Executive Officers(SEO) roundtable.
All data sources available show that Members believe that these core networking opportunities are important to them and support improved performance. While still very high, Members rated the impact of networking on gender equality slightly lower than networking generally.
In interviews, Members identified specific activities that they undertook as a result of networking. This suggests that networking has produced program impacts.
Core Communications
The APF has designed three main vehicles through which it shares information and communicates with its Members and to a wider audience: the website; the E-bulletin and the E-broadcast.
All data sources indicate that these communications tools are valued by Members, although their availability in English only limits this.
There are no data sources for measuring results for this program beyond Member satisfaction.
Objective 3: Compliance with the Paris Principles
ICC Accreditation
The APF plays two roles within the ICC’s Sub-Committee on Accreditation (ICC SCA)[1]: it sits as an ex-officio member; and it supports the Member on the Sub-Committee drawn from the region.
There is internal disagreement as to how to measure results of this engagement: the Results Matrix identifies ‘granting of A-Status Accreditation’[2] as a result; othersbelieve that the measure should simply be that the accreditation process is rigorous but fair.
External experts (the Office of the High Commissioner for Human Rights, OHCHR) and a fellow member of the Committee) indicate that the APF’s role with the ICC SCA is valuable.
Advice to Members
The major issue on which APF members seek advice is accreditation by the ICC, although advice may be sought following a Capacity Assessment or HLD.
Members rate the advice provided by the APF very highly – in fact it is rated the highest of all APF programming.
There are no direct measures of results for the advice-giving function developed, except for Member satisfaction and, with regard to advice on accreditation, the number of Members who attain A-Status. There are examples of advice leading to impacts as with support to the NHRI of Myanmar on appropriate legislation which led to legislative action.
Advice to Stakeholders
The APF is mandated to support the establishment of NHRIs in the region. Much of the activity reported on this function relates to supporting the establishment of NHRIs in the Pacific sub-region. Indeed, the best example of this engagement involves Samoa, where the APF worked with stakeholders in the drafting of legislation as the island’s Ombuds office was transformed into a NHRI.
There are no separate measures of results established for this function. In particular cases it may be possible to show impact, as with Samoa.
Objective 4: International and Regional Engagement
Engagement with UN Bodies
APF engagement centres on engagement with the United Nations Human Rights Council (HRC) and the various Expert Bodies that have been established.
During the period of this review, APF engagement has centred on leading the ICC effort to have NHRIs recognised officially by the UN Commission on the Status of Women (CSW). The APF has also engaged with the UN Working Group on Ageing as it begins the process of developing an International Treaty on the Rights of Older Persons.
Data sources show that APF Members are engaged with the UN mechanisms, including by assuring that recommendations coming from them are considered and applied at home. Survey results show that Members find international engagement useful and helpful in their domestic work, although this is slightly less so for issues involving gender equality.
The OHCHR indicates that APF and NHRI engagement in these bodies is both important and useful.
The engagement with the CSW was successful in that NHRIs were recognised formally by the Commission for the first time.
Engagement with the ICC
The ICC supports NHRIs internationally and is comprised of four regional groups, of which the APF is one. The APF has played a very active role within the ICC.
During the period under review, the ICC International Conference was held in an APF Member Institution’s country and the APF played a strong role in developing the theme of that Conference – “Women and Human Rights” – and the Declaration and Program of Action that came out of it.Survey results show that APF Members have implemented the Action Plan on Women’s Rights that was developed.
Members strongly support engagement with the ICC and hold that the networking opportunities it affords are useful to their work. There are no formal measures of impacts.