Glossary of Terms for the HRBA-RBM Workshop

This is a glossary for key terms used in the HRBA-RBM, in-country training. It is not a comprehensive
glossary for either human rights or RBM. For additional references, please see:
 HRBA Resource Guide
 Frequently asked questions about a Human rights-based approach to development cooperation
at www.undg.org
 Glossary of treaty body terminology at www.ohchr.org
 HRBA Portal The UN practitioner’s portal on HRBA programming
 United Nations Treaty Collection, Treaty Reference Guide, 2006, available at
http://treaties.un.org/doc/source/publications/THB/English.pdf

This glossary is divided into 3 sections:

1. HRBA
2. RBM
3. Other key terms related to the UNDAF process and the UN Country Team

1. Human Rights-Based Approach (HRBA) to Programming

Action 2
The second action (Action 2) of the Secretary-General’s report “Strengthening of the United Nations: an
agenda for further change” (A/57/387) proposed that “the United Nations High Commissioner for
Human Rights develop and implement a plan, in cooperation with the United Nations Development
Group (UNDG) and the Executive Committee for Humanitarian Affairs (ECHA), to strengthen human
rights-related United Nations actions at the country level.”

Capacity development (UN system)

The process whereby people, organizations and society as a whole unleash, strengthen, create, adapt
and maintain capacity over time (OECD/DAC definition, accepted by UNDG)

As a programming principle, the purpose is to support national counterparts develop their capacities to
lead, manage, achieve and account for their national development priorities. The UN Common
Understanding on HRBA calls for programming strategies that develop the capacities of rights-holders to
claim their rights and duty-bearers to fulfil their obligations.

Capacity gap analysis

Capacity gap analysis identifies the main capacities that both rights holders and duty-bearers need to
perform their roles in claiming rights and meeting obligations. Under a HRBA, the critical capacities are:
- Knowledge
- Access to and control of resources (human, technical and financial)
- Organizational abilities
- Responsibility, motivation, and leadership
- Authority

Causality analysis
Analysis of the immediate, underlying and structural or root causes of a development challenge:

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- Immediate causes refer to the status of the persons who suffer the problem or of their close
environment (family and/or community) – those determine the current status of the problem.
- Underlying causes are often the consequence of policies, laws and availability of resources. They
may reveal related complex issues and require interventions that take significant time in obtaining
results.
- Root/structural causes reveal conditions that require long-term interventions in order to change
societal attitudes and behavior at different levels, including those at the family, community and
higher decision-making level.

Concluding observation
The observations and recommendations issued by a treaty body after consideration of a State party's
report. Concluding observations refer both to positive aspects of a State's implementation of the treaty
and areas where the treaty body recommends that further action needs to be taken by the State. The
treaty bodies are committed to issuing concluding observations which are concrete, focused and
implementable and are paying increasing attention to measures to ensure effective follow-up to their
concluding observations.

Duty-bearers
They are primarily State actors and institutions who have obligations to discharge in response to the
entitlements and claims of rights-holders. The HRBA focuses on the capacity of the State at all levels (all
branches of the State and all sectors of government, at the national, provincial, municipal level) to meet
its obligations to respect, protect and fulfil human rights. While the State is the Primary Duty-Bearer
under International Law, human rights obligations can also attach to private individuals, international
organizations and other non-State actors.

Entry into force

Entry into force of a treaty is the moment in time when a treaty becomes legally binding on the parties
to the treaty. The provisions of the treaty determine the moment of its entry into force. This may be a
date specified in the treaty or a date on which a specified number of ratifications, approvals,
acceptances or accessions have been deposited with the depositary. The date when a treaty deposited
with the Secretary-General enters into force is determined in accordance with the treaty provisions.

General comment
A treaty body's interpretation of the content of human rights provisions, on thematic issues or its
methods of work. General comments often seek to clarify the reporting duties of State parties with
respect to certain provisions and suggest approaches to implementing treaty provisions. Also called
"general recommendation" (CERD & CEDAW).

Human rights
Human rights are universal legal guarantees protecting individuals and groups against actions and
omissions that interfere with fundamental freedoms, entitlements and human dignity. Human rights law
obliges Governments (principally) and other duty-bearers to do certain things and prevents them from
doing others.

Human Rights Obligations

There are three kinds of obligations: to respect, to protect and to fulfil human rights
- To respect human rights means simply not to interfere with their enjoyment. For instance, States
should refrain from carrying out forced evictions and not arbitrarily restrict the right to vote or the
freedom of association

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- To protect human rights means to take steps to ensure that third parties do not interfere with their
enjoyment. For example, States must protect the accessibility of education by ensuring that parents
and employers do not stop girls from going to school.
- To fulfil human rights means to take steps progressively to realize the right in question.

Human rights obligations can also attach to private individuals, international organizations and other
non-State actors. Parents, for example, have explicit obligations under the Convention on the Rights of
the Child.

Human Rights Principles

The following principles have been defined in the jurisprudence of international human rights law and
recognized in the HRBA UN Common Understanding:
- Universality and inalienability
- Indivisibility
- Inter-dependence and Inter-relatedness
- Equality and Non-discrimination
- Participation and Inclusion
- Accountability and Rule of Law

Human Rights Standards

Human rights standards are codified in international, regional and national legal systems/instruments
and constitute the minimum normative content in terms of entitlements, claims and obligations against
which duty-bearers at all levels of society—but especially organs of the State—must be held
accountable. This is the minimum level or content necessary to be able to affirm that a right is being
fulfilled. A national standard should always be equal or stronger in content and/or level than an
international standard. If the national standard is below the international one, then the international
standard will prevail.

Human rights-based approach (HRBA) to programming

A human rights-based approach is a conceptual framework for the process of human development that
is normatively based on international human rights standards and operationally directed to promoting
and protecting human rights in all development efforts. A HRBA determines the relationship between
individuals and groups with valid claims (rights-holders) and State and non-state actors with correlative
obligations (duty- bearers). It identifies rights-holders (and their entitlements) and corresponding duty-
bearers (and their obligations) in order to strengthen the capacities of rights-holders to claim their
rights, and of duty-bearers to meet their obligations.

Problem tree
A graphic representation of a causality analysis (see above).

Rights-holders
Given the universal nature of human rights, every individual is a rights-holder and entitled to the same
rights without distinction of any kind such as race, colour, sex, language, religion, political or other
opinion, national or social origin, property, birth or other status..

Role-pattern analysis
Role-Pattern analysis examines the relationship between rights-holders and duty-bearers. For any
development challenge, and one or more rights going unfulfilled (claims), it establishes the actual
entitlements of rights holders, as established in human rights standards, and the corresponding
obligations of duty-bearers.
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Special procedures
“Special procedures” is the general name given to the mechanisms assumed by the Human Rights
Council to address either specific country situations or thematic issues in all parts of the world.
Currently, there are 28 thematic and 13 country mandates in place. OHCHR provides these mechanisms
with personnel and logistical assistance to aid them in the discharge of their mandates.

Human Rights Instruments

Charter: The term ‘charter’ is used for particularly formal and solemn instruments, such as the treaty
founding an international organization like the United Nations (‘The Charter of the United Nations’).

Convention: A ‘convention’ is a formal agreement between States. The generic term ‘convention’ is thus
synonymous with the generic term ‘treaty’. Conventions are normally open for participation by the
international community as a whole, or by a large number of States. Usually the instruments negotiated
under the auspices of an international organization are entitled conventions (e.g. the Convention on the
Rights of the Child, adopted by the General Assembly of the United Nations in 1989).

Declaration: The term ‘declaration’ is used for various international instruments. International human
rights declarations are not legally binding; the term is often deliberately chosen to indicate that the
parties do not intend to create binding obligations but merely want to declare certain aspirations.
However, while the 1948 Universal Declaration of Human Rights for example was not originally intended
to have binding force, its provisions have since gained binding character as customary law.

Optional Protocol: The term ‘protocol’ is used for an additional legal instrument that complements and
add to a treaty. A protocol may be on any topic relevant to the original treaty and is used either to
further address something in the original treaty, address a new or emerging concern or add a procedure
for the operation and enforcement of the treaty—such as adding an individual complaints procedure. A
protocol is ‘optional’ because it is not automatically binding on States that have already ratified the
original treaty; States must independently ratify or accede to a protocol.

Treaty: A ‘treaty’ is a formally concluded and ratified agreement between States. The term is used
generically to refer to instruments binding at international law, concluded between international
entities (States or organizations). Under the Vienna Conventions on the Law of Treaties, a treaty must be
(1) a binding instrument, which means that the contracting parties intended to create legal rights and
duties; (2) concluded by states or international organizations with treaty-making power; (3) governed by
international law and (4) in writing.

Source: Introduction to the Convention on the Rights of the Child, Definition of Key Terms, UNICEF
(http://www.unicef.org/crc/files/Definitions.pdf)
These definitions are adapted from The Concise Oxford Dictionary of Current English (8th edition),
Clarendon Press, Oxford, 1990 and United Nations Treaty Collection, Treaty Reference Guide, 1999,
available at http://treaties.un.org/doc/source/publications/THB/English.pdf.

Human rights treaties

Throughout the CLP there is particular mention to the following nine international human rights
treaties. Each of these treaties has established a committee of experts to monitor implementation of
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the treaty provisions by its States parties. Some of the treaties are supplemented by optional
protocols dealing with specific concerns.
  Monitoring Body
ICERD International Convention on the Elimination of All Forms of Racial CERD
Discrimination
ICCPR International Covenant on Civil and Political Rights CCPR
ICESCR International Covenant on Economic, Social and Cultural Rights CESCR
CEDAW Convention on the Elimination of All Forms of Discrimination against CEDAW
Women
CAT Convention against Torture and Other Cruel, Inhuman or Degrading CAT
Treatment or Punishment
CRC Convention on the Rights of the Child CRC
ICRMW International Convention on the Protection of the Rights of All CMW
Migrant Workers and Members of Their Families
CPED International Convention for the Protection of All Persons from CED
Enforced Disappearance (not yet entered into force)
CRPD Convention on the Rights of Persons with Disabilities CRPD

Treaty body
A committee of independent experts appointed to monitor the implementation by States parties of the
core international human rights treaties. They are called 'treaty bodies' because each is created in
accordance with the provisions of the treaty which it oversees. In many important respects, they are
independent of the United Nations system, although they receive support from the United Nations
Secretariat and report of the General Assembly. Also referred to the "committee" or "treaty-monitoring
body".

UN Common Understanding on HRBA

The UN adopted a Common Understanding on HRBA to Development Cooperation and Programming as
a framework for the application of a HRBA in the UN’s work. It is grounded in three interrelated key
components:
1. All programmes of development co-operation, policies and technical assistance should further the
realisation of human rights as laid down in the Universal Declaration of Human Rights and other
international human rights instruments
2. Human rights standards contained in, and principles derived from the Universal Declaration of
Human Rights and other international human rights instruments guide all development
cooperation and programming in all sectors and in all phases of the programming process.
3. Development cooperation contributes to the development of the capacities of ‘duty-bearers’ to
meet their obligations and/or of ‘rights-holders’ to claim their rights.

UN Interagency Common Learning Package (CLP) on a HRBA

The CLP aims to enhance the capacity of UN country team staff to understand the concept of the human
rights-based approach as elaborated in the 2003 UN Common Understanding on a Human Rights-based
Approach to Development Programming, and to apply it in the context of UN common country
programming. The original package was developed by the Working Group on Training of the Action 2
interagency Task Force (OHCHR, UNDP, UNFPA, UNICEF, UNIFEM), in collaboration with the UN System
Staff College. Major parts were updated in 2011 by representatives of the UNDG-HRM and experienced
UN HRBA resource persons. The package contains: a resource guide, a workshop facilitation guide, and
learning materials, including presentations, case studies and group exercises. It is available in English,
French and Spanish. The primary audience of the common learning package is the UN country team,
with particular emphasis on the Resident Coordinator, Heads of Agencies and senior UN professionals,
as well as programme officers and technical level staff with direct responsibility for country analysis and
UNDAF preparation. UNCTs and RCOs are encouraged to involve national government partners at all
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stages of the UNDAF process, including in any in-country training on HRBA/RBM. The audience can be
also enlarged to include other national and international stakeholders.

Universal Periodic Review (UPR)

The Universal Periodic Review (UPR) is a unique process which involves a review of the human rights
records of all 192 UN Member States once every four years. The UPR is a State-driven process, under the
auspices of the Human Rights Council, which provides the opportunity for each State to declare what
actions they have taken to improve the human rights situations in their countries and to fulfil their
human rights obligations. As one of the main features of the Council, the UPR is designed to ensure
equal treatment for every country when their human rights situations are assessed.

The UPR was created through the UN General Assembly on 15 March 2006 by resolution 60/251, which
established the Human Rights Council itself. It is a cooperative process which, by 2011, will have
reviewed the human rights records of every country. Currently, no other universal mechanism of this
kind exists. The UPR is one of the key elements of the new Council which reminds States of their
responsibility to fully respect and implement all human rights and fundamental freedoms. The ultimate
aim of this new mechanism is to improve the human rights situation in all countries and address human
rights violations wherever they occur.

2. Results-Based Management
(For more detail, please see the DRAFT UNDG Results-Based Management Handbook. )

Results
Results are changes in a state or condition that derive from a cause-and-effect relationship. There are
three types of such changes (intended or unintended, positive and/or negative) that can be set in
motion by a development intervention – outputs, outcomes and impacts.

Results-Based management (RBM)

A management strategy by which all actors, contributing directly or indirectly to achieving a set of
development results, ensure that their processes, products and services contribute to the achievement
of desired results (outputs, outcomes and higher level goals or impact) and use information and
evidence on actual results to inform decision making on the design, resourcing and delivery of
programmes and activities as well as for accountability and reporting.

Results chain
The causal sequence for a development intervention that stipulates the necessary sequence to achieve
desired objectives – beginning with inputs, moving through activities and outputs, and culminating in
outcomes, impacts and feedback. In some agencies, reach is part of the results chain. It is based on a
theory of change, including underlying assumptions.

Impact
Positive and negative long-term effects on identifiable population groups produced by a development
intervention, directly or indirectly, intended or unintended. These effects can be economic, socio-
cultural, institutional, environmental, technological or of other types and should have some relationship
to the MDGs and national development goals.

Outcome

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The intended or achieved short-term and medium-term effects of an intervention‘s outputs, responding
to national priorities and local needs and UNDAF outcomes. Outcomes represent institutional and
behavioural changes in development conditions that occur between the completion of outputs and the
achievement of goals.

Outputs
The products, services, skills and abilities that result from the completion of activities within a
development intervention within the control of the organization.

Activity
Actions taken or work performed through which inputs, such as funds, technical assistance and other
types of resources are mobilized to produce specific outputs.

Inputs
The financial, human, material, technological and information resources used for development
interventions.

Performance indicator
A performance indicator is a unit of measurement that specifies what is to be measured along a scale or
dimension but does not indicate the direction or change. Performance indicators are a qualitative or
quantitative means of measuring an output or outcome, with the intention of gauging the performance
of a programme or investment.

Baseline
Information gathered at the beginning of a project or programme from which variations found in the
project or programme are measured.

Target
Specifies a particular value for an indicator to be accomplished by a specific date in the future. Total
literacy rate to reach 85% among groups X and Y by the year 2010.

Benchmark
Reference point or standard against which progress or achievements can be assessed. A benchmark
refers to the performance that has been achieved in the recent past by other comparable organizations,
or what can be reasonably inferred to have been achieved in similar circumstances.

Results matrix
The results matrix explains how results are to be achieved, including causal relationships and underlying
assumptions and risks. The results framework reflects a more strategic level across an entire
organization for a country programme, a programme component within a country programme, or even
a project.

Performance
The degree to which a development intervention or a development partner operates according to
specific criteria/standard/guidelines or achieves results in accordance with stated plans.

Performance monitoring
A continuous process of collecting and analyzing data for performance indicators, to compare how well
a development intervention, partnership or policy reform is being implemented against expected results
(achievement of outputs and progress towards outcomes).
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3. Key terms related to the UNDAF process and the UN Country Team
For more detail, please see the UNDG pages on Common Country Programming Processes and the
UNDAF Guidance and Support Package.

Country Analysis
The purpose of the UNCT’s analytical contribution is to strengthen country analytical capacities,
processes and products, and thereby contribute to the articulation of high-quality development
objectives and priorities within the UNDAF and the national development plan. Good analysis includes
identifying areas where the country has not been able to reach internationally-agreed development
goals and commitments to international norms and standards, and how to assist the country to do so.
The UNCT and partners may choose any of the three or other options: (i) UNCT participation in
government-led analytical work and use of government analysis, including sectoral reviews and
analyses; (ii) complementary UN-supported analytical work, with a focus on gaps in the existing analysis;
and (iii) a full Common Country Assessment. (See UNDAF Guidance and Support Package)

National Development Plan

The UNDAF process and UNDAF document must be aligned with the national development planning
process and plan. There may be several national development plans and /or strategies, including a
National Poverty Reduction Strategy (PRS), which describes a country's macroeconomic, structural and
social policies and programs to promote growth and reduce poverty, as well as associated external
financing needs

Resident Coordinator (RC)

Resident Coordinators, who are funded and managed by UNDP, lead UN country teams, and are the
designated representatives of the Secretary-General for development operations. Working closely with
national governments, Resident Coordinators and country teams advocate the interests and mandates
of the UN system while drawing on the support and guidance of the entire UN family.

United Nations Country Team (UNCT)

The UNCT exists in 136 countries, covering all of the 180 countries where there are United Nations
programmes. The UNCT encompasses all the entities of the UN system that carry out operational
activities for development, emergency, recovery and transition in programme countries. The UNCT
ensures inter-agency coordination and decision-making at the country level. The main purpose of the
Country Team is for individual agencies to plan and work together, as part of the Resident Coordinator
system, to ensure the delivery of tangible results in support of the development agenda of the
Government.

UNDAF
The UNDAF is the strategic programme framework that describes the collective response of the UN
system to national development priorities.

UNDAF process
There are four main steps in the process of developing an UNDAF: (1) road map, (2) country analysis, (3)
strategic planning, and (4) monitoring and evaluation. While these steps are mandatory, UNCTs may

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undertake each step in a flexible manner in response to the national context. Minimum requirements
are outlined in the UNDAF Guidance and Support Package.

UNDAF roll-out country

This is a country where the UNCT is beginning consultations with government and other country
partners to prepare the next UNDAF. Normally, UNDAF preparation, linked with the preparation of
individual agency country programmes and projects, requires 2 years. In a 5 year UNDAF cycle,
preparations begin in year 4 of the current cycle.