30/20 The Role of Prevention in the Promotion and Protection of Human Rights Report of the Office of the United Nations High Commissioner for Human Rights

Human Rights Council Thirtieth session

Items 2 and 3 of the provisional agenda

Annual report of the United Nations High Commissioner for Human Rights

and reports of the Office of the High Commissioner and the Secretary-General

Promotion and protection of all human rights, civil, political, economic,

social and cultural rights, including the right to development

The Role of Prevention in the Promotion and Protection of Human Rights

Report of the Office of the United Nations High Commissioner

for Human Rights

Summary

In resolution 24/16, the Human Rights Council requested the Office of the United

Nations High Commissioner for Human Rights (OHCHR) to draft a study on the

prevention of human rights violations and its practical implementation, and to present the

study to its thirtieth session. As requested in the resolution, this study takes into account the

outcome of the panel discussion on the role of prevention in the promotion and protection

of human rights, held at the twenty-seventh session of the Council.

This study seeks to provide further content to the concept of prevention of human

rights violations, identify practical means through which to prevent violations, and

highlight the role of international and regional stakeholders.

Contents

Page

I. Introduction ...................................................................................................................................... 3

II. Concept of prevention ...................................................................................................................... 3

III. Prevention in practice ....................................................................................................................... 6

A. Legislative and institutional framework for prevention ........................................................... 6

B. The role of human rights education ......................................................................................... 9

C. Planning and monitoring tools ................................................................................................. 11

IV. Role of international and regional stakeholders in prevention ......................................................... 14

A. International and regional human rights mechanisms .............................................................. 14

B. Contribution of international and regional organizations to prevention .................................. 16

V. Conclusions and recommendations .................................................................................................. 17

I. Introduction

1. In resolution 24/16, the Human Rights Council requested the Office of the United

Nations High Commissioner for Human Rights (OHCHR) to draft a study on the

prevention of human rights violations and its practical implementation, and to present the

study to its thirtieth session. As requested in the resolution, this study takes into account the

outcome of the panel discussion on the role of prevention in the promotion and protection

of human rights, held at the twenty-seventh session of the Council (A/HRC/28/30).

2. In preparation for this study, OHCHR sought contributions through a questionnaire

addressed to States, national human rights institutions (NHRIs), civil society, relevant

intergovernmental bodies and international organizations. The questionnaire covered issues

including which legislative, judicial and administrative measures – as well as action-

oriented policies, practices and strategies to prevent human rights violations and abuses –

are in place at the national level; and provisions for effective remedies for victims. It sought

information on policies and processes for collection, maintenance and analysis of statistical

data on human rights; the steps taken to promote a human rights culture; the role of civil

society; measures and procedures for following up on recommendations from international

and regional human rights bodies; and the contribution of such bodies to the prevention of

human rights violations. Information was provided by Albania, Argentina, Australia, Cuba,

Cyprus, Georgia, Honduras, Hungary, Ireland, Italy, Kazakhstan, Madagascar, Mexico, the

Republic of Moldova, Paraguay, Qatar, Slovakia, Togo, Trinidad and Tobago, Ukraine and

United Arab Emirates; as well as by Austrian Ombudsman Board, Her Majesty’s

Inspectorate of Prisons, Finnish Human Rights Centre, Human Rights Commission of

Malaysia, Comision Nacional de los Derechos Humanos Mexico, Commission Nationale

des Droits de la Personne du Rwanda, Human Rights House of Albania, International

Fellowship of Reconciliation, Jordan National Centre for Human Rights, Agence de

Diffusion de Droit International Humanitaire en Afrique Centrale, National Human Rights

Commission of Korea, Ombudsman of the Republic of Latvia, Promo-LEX Association,

Scholars at Risk, and the Slovak National Centre for Human Rights.1

3. This report seeks to provide further content to the concept of prevention of human

rights violations (Part II); identify practical means through which to prevent violations (Part

III); and highlight the role of international and regional stakeholders (Part IV).

II. Concept of prevention

4. By becoming parties to international treaties, States assume obligations and duties

under international law to respect, protect and fulfil human rights for all persons within

their territory or jurisdiction, without discrimination of any kind.2 Further, “States,

including all branches thereof, have the primary responsibility for the promotion and

protection of all human rights, including the prevention of human rights violations”.3 The

1 The full text of the replies is available from the Secretariat.

2 Art. 2, International Covenant on Civil and Political Rights and the Human Rights Committee’s

General Comment 31 (2004); art. 2, Convention on the Rights of the Child and the Convention on the

Rights of the Child’s General Comment 5 (2003).

3 A/HRC/RES/24/16, para. 2. The Inter-American Court of Human Rights has held that States have

“a legal duty to take reasonable steps to prevent human rights violations” (Velasquez Rodriguez

v. Honduras, 29 July 1988). E. Decaux and S. Touzé, La Prévention des Violations des Droits de

l’Homme (Paris, Editions A. Pedone, 2015).

obligations of States include the duty to protect against human rights abuse by third parties,

including private actors.4 States may breach their international human rights law obligations

where they fail to take appropriate steps to prevent, investigate, punish and redress private

actors’ abuse.5

5. The obligation to prevent human rights violations is expressly formulated in some

treaties6 and has been addressed more broadly in human rights treaty bodies’ General

Comments7 and reports, notably in relation to: the prevention of torture,8 genocide,9 mass

atrocities,10 incitement to hatred,11 violent extremism,12 and the elimination of

discrimination on particular grounds (such as race,13 religion or belief14 or sexual

orientation (A/HRC/29/23)) or with regard to a particular group (such as women,15 persons

with disabilities16 and minorities (A/HRC/28/30, paras. 13–14); A/69/66). The consideration

of prevention of violation of these specific rights highlights some common features and

approaches to prevention, including the identification of risk and mitigating factors, and the

development of some practical tools.

6. For example, the prevention of genocide, war crimes, ethnic cleansing and crimes

against humanity requires “sustained efforts to build the resilience of societies to atrocity

crimes by ensuring that the rule of law is respected and that all human rights are protected,

without discrimination; by establishing legitimate and accountable national institutions; by

eliminating corruption; by managing diversity constructively; and by supporting a strong

and diverse civil society and a pluralistic media”.17 Further, the Protocol for the Prevention

4 See Human Rights Committee General Comment 31, para. 8 and Communication No. 195/1985,

Delgado Paez v. Colombia, Views adopted on 12 July 1990; Convention on the Elimination of All

Forms of Discrimination against Women General Recommendations 19 and 28. The European Court

of Human Rights has established that claims may arise against the State when the police fail to protect

individuals from violations of their rights by other individuals (Osman v. United Kingdom (Appl.

No. 87/1997/871/1083), judgment of 28 October 1998.

5 Guiding Principles on Business and Human Rights: Implementing the United Nations “Protect,

Respect and Remedy” Framework (annex of A/HRC/17/31), endorsed by Human Rights Council

resolution 17/4.

6 For example, the Convention against Torture and other Cruel, Inhuman or Degrading Treatment or

Punishment (art. 2); Convention on the Prevention and Punishment of the Crime of Genocide (art. 1).

7 Most recently, Joint Convention on the Elimination of All Forms of Discrimination against Women

General Recommendation No. 31/ Convention on the Rights of the Child General Comment No. 18

on harmful practices (CEDAW/C/GC/31-CRC/C/GC/18).

8 E.g. Subcommittee on Prevention of Torture under the Optional Protocol to the Convention against

Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (CAT/OP/12/6);

A/HRC/18/24, para. 8.

9 E.g. by the Office of the United Nations Special Adviser on the Prevention of Genocide and of the

Special Adviser on the Responsibility to Protect. E/CN.4/2000/12, paras. 3–10; A/HRC/10/25.

10 Framework of Analysis for Atrocity Crimes: A tool for prevention (United Nations, 2014); A/64/864.

11 Rabat Plan of Action on the prohibition of advocacy of national, racial or religious hatred that

constitutes incitement to discrimination, hostility or violence (A/HRC/22/17/Add.4), appendix.

12 The Secretary-General announced the drafting of a United Nations Plan of Action to Prevent Violent

Extremism in February 2015.

13 Committee on the Elimination of Racial Discrimination. See Developing National Action Plans

Against Racial Discrimination: A Practical Guide (United Nations, 2014).

14 Declaration on the Elimination of All Forms of Intolerance and of Discrimination Based on Religion

or Belief.

15 See the broad range of actions required of States in art. 2, Convention on the Elimination of All

Forms of Discrimination against Women.

16 Arts. 12 and 16, Convention on the Rights of Persons with Disabilities.

17 Framework of Analysis (footnote 10 above), p. 3.

and the Punishment of the Crime of Genocide, War Crimes and Crimes against Humanity

and all forms of Discrimination18 seeks to ensure that States respond to root causes by

prohibiting discrimination and condemning discriminatory ideologies, combating impunity,

and establishing early warning mechanisms.

7. Some treaty provisions point to an obligation of negative result (prevention being

successful when there is no violation),19 while in some cases prevention can be seen as an

obligation of positive conduct (taking all necessary steps to adopt concrete and effective

measures to prevent violations).20 The International Court of Justice has declared that the

obligation to prevent genocide is one of conduct and not one of result, in the sense that a

State cannot be under an obligation to succeed, whatever the circumstances, in preventing

the commission of genocide; the obligation is rather to employ all means reasonably

available to them so as to prevent genocide so far as possible.21 In this regard, article 6 of

the Arms Trade Treaty prohibits any transfer of conventional arms where the State party has

knowledge at the time of authorization that the arms would be used notably in the

commission of genocide and crimes against humanity.

8. Furthermore, the terminology used for instance in relation to the prevention of

torture usefully distinguishes between specific practical actions which need to be taken for

preventive purposes (direct prevention or mitigation), and the response to violations which

needs to be taken in order to remedy those violations and prevent recurrence (indirect

prevention or non-recurrence).22

Direct prevention/mitigation

9. Direct prevention aims to eliminate risk factors and establish a legal, administrative

and policy framework which seeks to prevent violations. It is also contingent on

establishing a culture of respect for human rights, good governance23 and the rule of law,

and an enabling environment for a vibrant civil society and free press. For example, the

prevention of torture and cruel, inhuman and degrading treatment or punishment includes

adopting laws prohibiting their use and providing for prosecution of those who violate

them. It also includes putting in place procedural safeguards – such as registers in places of

detention and video recordings of interrogations – as well as ensuring independent

oversight, including regular monitoring of places of detention by independent bodies.

Indirect prevention/non-recurrence

10. Indirect prevention of human rights violations, or non-recurrence, takes place after a

violation has occurred. It aims to prevent recurrence by identifying and addressing causes

of violations of all human rights,24 through investigation and prosecution, ensuring the right

18 International Conference on the Great Lakes Region, 29 November 2006.

19 See art. 3, Committee on the Elimination of Racial Discrimination; art. 2, Convention on Slavery;

art. 1, Convention on the Prevention of Genocide.

20 See art. 19, Convention on the Rights of the Child; and E. Decaux and S. Touzé (footnote 3 above).

21 Application of the Convention on the Prevention and Punishment of the Crime of Genocide (Bosnia

and Herzegovina v. Serbia and Montenegro), Judgment, I.C.J. Reports 2007, p. 43.

22 A/HRC/18/24, para. 36; A/HRC/28/30, para. 22; and “Preventing Torture: An Operational Guide for

National Human Rights Institutions”, p. 3 (OHCHR, Association for the Prevention of Torture, and

Asia Pacific Forum, HR/PUB/10/1).

23 See Good Governance Practices for the Protection of Human Rights (United Nations 2007).

24 The United Nations system approach to transitional justice can be helpful to frame a preventive

approach in seeking to prevent recurrence of human rights violations which have occurred (including

of victims and societies to know the truth about violations, and the right of victims to an

effective remedy,25 in accordance with international law.26 Indeed, “effective domestic

mechanisms of oversight, including complaints mechanisms, form an essential part of the

apparatus of prevention. These mechanisms will take a variety of forms and operate at

many levels” (CAT/OP/12/6, para. 5(g)).

III. Prevention in practice

11. This section will consider the practical implementation of prevention of violations,

namely the importance of establishing a legislative and institutional framework for

prevention; the crucial role of human rights education; and how planning and monitoring

tools can contribute to prevention, in particular in the development of policies.

A. Legislative and institutional framework for prevention

12. The creation of a preventive legislative and institutional framework requires a

coherent and complementary range of actions, underpinned by an inclusive and

participatory approach which includes women and others who face discrimination. As a

first step, prevention includes ratifying human rights treaties27 and adopting laws and

policies that guarantee human rights in law and practice. For example, this can include

introducing a positive duty on public bodies to have due regard to human rights and

equality in their work and conduct their business in a manner that is consistent with human

rights.28

13. Regular and systematic review of existing and proposed legislation for compliance

with a State’s human rights obligations is an important safeguard.29 Such review may be

done through a judicial, parliamentary or internal State process. National human rights

institutions30 may be specifically mandated to complement such a review and to provide

identifying root causes) and engendering institutional reform in relation to State structures and

institutions that facilitated or promoted such violations. Guidance Note of the Secretary-General;

United Nations Approach to Transitional Justice (United Nations, 2010); Transitional Justice and

Economic, Social and Cultural Rights (United Nations, 2014).

25 The Human Rights Committee has taken the view that the right to an effective remedy may in certain

circumstances require State parties to provide for and implement provisional or interim measures to

avoid continuing violations and to endeavour to repair at the earliest possible opportunity any harm

that may have been caused by such violations (General Comment No. 31, para. 19).

26 Art. 2, International Covenant on Civil and Political Rights; art. 2, Convention against Torture and

other Cruel, Inhuman or Degrading Treatment or Punishment; art. 23, Committee on Enforced

Disappearances; LaGrand Case (Germany v. United States), Judgment, I.C.J. Reports 2001;

E/CN.4/2005/102/Add.1, principle 35.

27 Response by Madagascar.

28 Response by Ireland.

29 E.g. Recommendation Rec(2004)5 of the Committee of Ministers of the Council of Europe to

Member States on the verification of the compatibility of draft laws, existing laws and administrative

practice with the standards laid down in the European Convention on Human Rights. See related

discussion below about impact assessments of proposed laws and policies.

30 Response by the Republic of Moldova; Response by Hungary. The Subcommittee on Prevention of

Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment specifies that the “State

should inform the [National Preventive Mechanism] of any draft legislation that may be under

consideration which is relevant to its mandate and allow the NPM to make proposals or observations

on any existing or draft policy or legislation. The State should take into consideration any proposals

or observations on such legislation received from the NPM.” (CAT/OP/12/5, para. 28).

relevant authorities with information about compatibility or recommendations, which have

led to changes in proposed laws or policy. Review may also require that draft legislation be

submitted to a body prior to being sent to the legislature, with an accompanying document

specifying that it has been reviewed and is compatible with the State’s human rights

obligations.31 The review process may include consultation with other actors such as civil

society, to provide additional information and expertise throughout the legislative process.32

Bodies mandated to undertake such a review should be independent, impartial and their

comments taken into account when revising legislation or policies.

14. Further, international human rights norms and standards should become part of the

national legal system33 so as to ensure they can be invoked in national courts. This requires

the establishment of an effective system of administration of justice,34 with courts

empowered to interpret constitutional provisions in line with the State’s human rights

obligations and international or regional jurisprudence,35 and enabling them to strike down

laws which are deemed unconstitutional.36

Need for a victim-centred approach to prevention

15. Provisions should be in place to provide effective remedies for victims. The

establishment of effective monitoring mechanisms to check for actual and potential

violations, and to ensure that groups or individuals are not discriminated against in law,

policy and practice, is also key. Indeed, prevention is “as much the practice as it is the

content of a State’s legislative, administrative, judicial or other measures” (CAT/OP/12/6,

para. 3).

16. The legal system should be accessible to all, without discrimination on any grounds,

including nationality, financial means and language. In turn, this requires that victims know

about their rights, available remedies and how to access them. Similar issues arise where

non-judicial remedies are used. Provision of free legal advice and pro bono services for

victims of human rights violations by NHRIs, civil society, and bar associations can assist

in ensuring accessibility of remedies.

National human rights institutions

17. The establishment of NHRIs compliant with the Paris Principles37 constitutes

another important institutional element of the preventive framework. Some are specifically

31 Response by Australia.

32 Response by Human Rights House of Albania.

33 Response by Togo. See Human Rights Committee General Comment 31, para. 13.

34 Response by Promo-LEX.

35 Response by the International Fellowship of Reconciliation.

36 E.g. South Africa Constitutional Court: Government of the Republic of South Africa. & Ors

v. Grootboom & Ors 2000 (11) BCLR 1169 (CC) (which held that the Government had failed to meet

its obligation to provide for those desperately in need of adequate housing); and Minister of Health v.

Treatment Action Campaign (TAC) (2002) 5 SA 721 (CC) (which held that the Government had

breached its human rights obligations by failing to take reasonable measures (at affordable cost) to

make wider provision of anti-retroviral medication to prevent mother-to-child transmission of HIV).

See also People’s Union for Civil Liberties and another v. Union of India and others, Supreme Court

of India, Civil Original Jurisdiction, Writ Petition (Civil) No. 196 of 2001, judgment of 2 May 2003

(concerning the right to food in the context of a preventable famine in Rajasthan). See Frequently

Asked Questions on a Human Rights-Based Approach to Development Cooperation (United

Nations 2006), p. 3.

37 Principles relating to the status of national institutions, A/RES/48/134, annex.

mandated to contribute to the prevention of violations,38 and to investigate complaints and

undertake conciliation, mediation and settlement, as well as analyse root causes of

violations and recommend remedial action to prevent recurrence. Their contribution to

indirect prevention may be strengthened when they are mandated to consider the

government policy underlying the issue. Some NHRIs are also able to make representations

in court about the State’s obligations under international human rights law.39

18. NHRIs also contribute to direct preventive measures through on-site visits and

investigations in places where persons are deprived of their liberty,40 and some are

designated as national preventive mechanisms (NPMs) under the Optional Protocol to the

Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or

Punishment. Developing a “culture” of monitoring through regular, unannounced

inspections and independent, effective and timely complaints systems, is key to profound

behavioural and institutional change.41 Inspections may look at systemic problems as well

as individual situations, and result in timely public reporting of findings and

recommendations. Reports may include a requirement that those who are inspected produce

an action plan within a specified time period, that includes whether recommendations are

accepted in whole, in part or rejected, and the action taken or planned in response. In turn,

this plan can be monitored by the inspecting body, and forms the basis for the next

inspection. In this way, action, monitoring and follow-up are built in to a regular, ongoing

system.

Role of civil society

19. The provision of a protective and enabling environment in law and practice for civil

society is also an important element for prevention. This includes a conducive legal,

institutional and administrative framework; access to justice and an end to impunity for

violations against defenders; strong and independent NHRIs; effective protection policies

and mechanisms paying attention to groups at risk; specific attention to women defenders;

non-State actors that respect and support the work of defenders; safe and open access to

international human rights bodies; and a strong and dynamic community of defenders.42

Reprisals for communicating with national, regional and international human rights

mechanisms should also be prohibited.43

20. Indeed, civil society has a vital role to play in the prevention of human rights

violations.44 They assist in identifying issues of concern, monitoring and advising on laws,

policies and practices of States and private actors, bringing their grassroots contacts and

expertise on issues to bear in all these respects. Civil society45 also engages in human rights

education and training, including helping to change perceptions about groups and issues.

38 Response by Commission Nationale des Droits de la Personne, Rwanda. Some NHRIs are also

nominated as the independent authority under art. 33, Convention on the Rights of Persons with

Disabilities.

39 Response by the Human Rights Commission of Malaysia.

40 Response by the Comision Nacional de los Derechos Humanos Mexico.

41 Response by Her Majesty’s Inspectorate of Prisons.

42 Report of the Special Rapporteur on the situation of human rights defenders, Elements of a safe and

enabling environment for human rights defenders (A/HRC/25/55). See also “Civil Society Space and

The United Nations Human Rights System” (OHCHR, 2014); General Assembly resolution 53/144,

Declaration on the Right and Responsibility of Individuals, Groups and Organs of Society to Promote

and Protect Universally Recognized Human Rights and Fundamental Freedoms.

43 See recommendations in A/HRC/28/63; Policy of the Subcommittee on Prevention of Torture on

reprisals in relation to its visiting mandate.

44 Response by Trinidad and Tobago.

45 Response by Cuba.

These activities inform and lead into their engagement in regional and international human

rights reporting mechanisms, starting with engagement at the national level, through the

national consultations and report preparation, through the external aspect, and back to the

national level for the implementation phase. Their role in bringing cases at the national,

regional or international level is also important.

Measures regarding prevention of human rights abuses by private actors

21. States generally have discretion in deciding upon the appropriate steps to prevent,

investigate, punish and redress private actors’ abuse. They should consider the full range of

permissible preventative and remedial measures, including policies, legislation, regulations

and adjudication.46 For example, with relation to discrimination against women, the

appropriate measures include the regulation of the activities of private actors with regard to

education, employment and health policies and practices, working conditions and work

standards, and other areas in which private actors provide services or facilities, such as

banking and housing (CEDAW/C/GC/28, para. 13).

22. Importantly, States do not relinquish their international human rights law obligations

when they privatize the delivery of services47 such as water and sanitation (A/HRC/15/31),

education (A/69/402) or powers of arrest or detention.48 States should ensure that they can

effectively oversee the enterprises’ activities, including through the provision of adequate

independent monitoring and accountability mechanisms.

23. Concomitantly to State obligations, the Guiding Principles on Business and Human

Rights49 set out the elements which business enterprises should follow in order to meet their

corporate responsibility to respect human rights. First, they must institute a policy

commitment to meet the responsibility to respect. Second, they must undertake ongoing

human rights due diligence to identify, prevent, mitigate and account for their human rights

impact, and be prepared to communicate their commitment and actions externally,

including to those groups likely to be affected by their operations. As operations, context

and impact may change, a business enterprise should periodically reassess its potential or

actual impact on all human rights. Business enterprises should also seek to prevent or

mitigate any adverse impact that is directly linked to their operations, products or services

through their business relationships. Finally, they must have processes in place to enable

remediation for any adverse human rights impact to which they cause or contribute.

B. The role of human rights education

24. Human rights education contributes to the prevention of human rights violations and

conflict, and to the enhancement of participation in decision-making processes within a

democratic system.50 It should be intended as a lifelong and participatory process

developing knowledge, skills and attitudes which prompt behaviour to defend and promote

human rights. In this sense, it empowers rights-holders to claim their rights, and develops

the capacity of those with power and responsibility (duty-bearers), such as the police,

46 Guiding Principle 1 on Business and Human Rights.

47 Ibid., Guiding Principle 5 and commentary.

48 Human Rights Committee General Comment No. 35, para. 8.

49 See also “The Corporate Responsibility to Respect Human Rights – An Interpretive Guide” (OHCHR,

2012).

50 United Nations Declaration on Human Rights Education and Training, para. 2; A/HRC/27/28,

paras. 1–9.

military and public officials,51 to meet their obligations to protect, respect and fulfil human

rights. Inadequate human rights education has been identified as one of the greatest

obstacles to the enjoyment of all human rights by all persons (A/HRC/28/30, para. 20).

25. Human rights education is primarily a State responsibility.52 States should

systematically infuse human rights education in the formal education system, and in the

training of State agents. For example, training of judges and lawyers should encompass

human rights norms and standards as well as related international and regional

jurisprudence.53 Specific and methodologically-sound guidance is provided by the Plans of

Action for the first (primary and secondary school systems) and second phase (higher

education and training of civil servants, law enforcement officials and the military) of the

World Programme for Human Rights Education,54 which seeks to advance national

implementation of human rights education programmes in all sectors. The Human Rights

Council has reviewed the evaluation report (A/HRC/30/24) of the second phase of the

World Programme, based on national evaluation reports submitted by States; and States

could consider including national implementation of human rights education as a regular

element in the Universal Periodic Review.55

26. Human rights education and training include curriculum and material development,

the use of learner-centred and participatory methodologies, the adoption of enabling

policies and policy implementation measures, and the fostering of learning environments in

which human rights are respected. To enable this, related knowledge and skills of teachers

and educators should be strengthened. Inclusive schools, universities and educational

institutions which promote human rights, model respect for others, and embrace and

celebrate diversity can be key in fostering both inclusivity itself and inclusive attitudes, and

should be encouraged and protected by the State.56

27. In addition to being a specific responsibility of the State, human rights education is

also undertaken by other stakeholders, including NHRIs (A/HRC/28/30, para. 20) and civil

society.57 OHCHR supports national efforts for human rights education through its field

presences, coordinates the World Programme for Human Rights Education, provides expert

advice, elaborates and disseminates methodological tools based on good practice, and

maintains resources to facilitate information-sharing.58

28. Many NHRIs promote human rights education using a variety of tools including

radio programmes, games and interactive tools, and online programmes. NHRIs also focus

on specific groups that are more likely to face discrimination or violations. This includes

programmes aimed at specific groups and those interacting with these groups, such as

social services, teachers and school staff, and police. NHRIs may identify particular needs

of specific groups through their monitoring role, individual cases and broader statistical

analysis, which demonstrates the benefits of coherence and cross-fertilization between the

different functions of these bodies.

51 Response by Cyprus; Response by Mexico; Response by the United Arab Emirates.

52 See “The Right to Human Rights Education”, a web resource which compiles relevant commitments

made by States in international and regional intergovernmental forums, available from:

http://www.ohchr.org/EN/Issues/Education/Training/Compilation/Pages/Listofcontents.aspx.

53 Bertrand G. Ramcharan, Preventive Human Rights Strategies (London, New York, Routledge, 2010)

p. 52.

54 General Assembly resolution 59/113, World Programme for Human Rights Education.

55 Response by the Finnish Human Rights Centre.

56 Response by Scholars at Risk. See Global Coalition to Protect Education from Attack: Principles of

State Responsibility to Protect Higher Education from Attack.

57 Response by Agence de Diffusion de Droit International Humanitaire en Afrique Centrale.

58 See http://www.ohchr.org/EN/Issues/Education/Training/Pages/HREducationTrainingIndex.aspx.

29. NHRIs also promote public awareness of human rights59 in the media, through press

releases, reports, expert opinions and recommendations60 (including advocacy for the

ratification of human rights treaties61). NHRIs have created Visitor Centres as a means of

education and outreach, and some take part in television programmes including to present

cases and issues to the public.62 Finally, NHRIs further serve to share good practices and

lessons learned between States where their recommendations and views are made public,

for example as part of annual reports.

C. Planning and monitoring tools

30. A number of planning and monitoring tools may assist States and other stakeholders

in the prevention of human rights violations, in particular in the development of policies.

Some States have developed national action plans on human rights63 or action plans on

specific thematic issues,64 which can serve to guide prevention efforts. Further, the

establishment of a body which brings together relevant State entities, NHRIs and civil

society to advise either the State or the NHRI in relation to human rights issues in general

or in relation to a specific group,65 for example older persons,66 is also important.

Human rights impact assessments

31. Human rights impact assessments are instruments for examining policies,

legislation, programmes and projects prior to their adoption to identify and measure their

impact on human rights (e.g. A/HRC/19/59/Add.5). They are designed to identify the

intended and unintended impact on the enjoyment of human rights, and the State’s ability to

protect and fulfil them. As such, they are a planning tool to prevent human rights violations

by assessing the formal or apparent compatibility of laws, policies, budgets67 and other

measures with human rights obligations, as well as the likely impact in practice, thus

creating the opportunity for reconsideration, revision or adjustment prior to adoption. Prior

consultation with relevant stakeholders can assist in identifying possible impacts on human

rights. Such efforts can lead to government branches and departments adopting a mandatory

human rights-based approach to planning, as well as a mandatory and systematic use of

international and regional human rights mechanisms recommendations in the formulation

of public policies.68 A noteworthy and recent example includes the requirement in article 7

of the Arms Trade Treaty that, when a proposed transfer of conventional arms is not

prohibited, the exporting State must still assess notably where they could be used to commit

59 Response by Qatar; Response by the National Human Rights Commission of Korea.

60 Response by the Slovak National Centre for Human Rights.

61 Response by the Jordan National Centre for Human Rights.

62 Response by the Austrian Ombudsman Board.

63 The Vienna Declaration and Programme of Action adopted at the World Conference on Human

Rights in 1993 recommended that “Each State consider the desirability of drawing up a national

action plan identifying steps whereby that State would improve the promotion and protection of

human rights.” See Handbook on National Human Rights Plans of Action (United Nations, 2002).

64 Response by Albania; Response by Kazakhstan; Response by Honduras. Submissions reflected a

wide range of legislation, policies and programmes including with regard to trafficking, migration,

and violence against women. See also A/HRC/18/24, paras. 9–10.

65 Response by Argentina; Response by Georgia. See also A/HRC/18/24, paras. 18–19.

66 Response by Slovakia.

67 The Convention on the Rights of the Child has raised the importance of budgeting in relation to the

best interests of the child (General comment No. 14 (2013), para. 35). See also A/HRC/28/30,

para. 19.

68 For illustrations, see OHCHR Annual Report 2011, pp. 64–66.

or facilitate serious violations of international human rights law or international

humanitarian law.

32. When undertaken by policymakers, human rights impact assessments can ensure that

all human rights are factored into policy development at the earliest possible stage. For

example, policy planning should ensure adequate social protection and combat social

exclusion. This is crucial in particular as many States have responded to the recent global

financial crisis with austerity measures that significantly cut social sector spending.69

According to a recent OHCHR report, “cuts in public sector employment and in funding for

social safety nets have resulted in the denial or infringement of economic, social and

cultural rights, especially for populations that are already marginalized or at risk of

marginalization and in some cases may violate the prohibition on discrimination in the

enjoyment of human rights” (E/2013/82, para. 70). The Chairperson of the Committee on

Economic, Social and Cultural Rights has in this regard noted that, to comply with their

human rights obligations, States parties to the Covenant on Economic, Social and Cultural

Rights must justify austerity measures by demonstrating that such measures actually protect

the rights outlined in the Covenant, and particularly the rights of the most vulnerable. This

requires States to demonstrate that all other alternatives have been exhausted and that the

measures are necessary, proportionate, respectful of minimum core obligations and non-

discriminatory.70

Data collection and analysis of statistics

33. Data collection and analysis of statistics about the population and specific issues is

essential to prevent and address discrimination against specific groups. This in turn requires

that data coverage is sufficiently accurate and representative: where groups are not included

in the first place in data collection, their absence from programmes, or discrimination

against them, will not appear in statistics. Participation by NHRIs, civil society, specific

groups and statisticians in the preparation of surveys and questionnaires helps to minimize

this risk. A human rights approach to data disaggregation requires reaching the most

vulnerable and marginalized groups, and ensuring that human rights safeguards are in place

for the collection, processing, analysis and dissemination of that data (including ensuring

the rights to data protection, registration and self-identification).71

34. Helplines, complaint and petition registries of NHRIs (A/HRC/18/24, para. 43) and

similar programmes are a useful supplement to systematic data collection and may also

provide a basis for identifying issues and problems that are not being adequately addressed

or had not previously been identified.

Human rights indicators

35. Human rights indicators72 are essential tools to help States assess their own progress

in ensuring the enjoyment of human rights by their people, planning for actions to prevent

human rights violations, and monitoring the implementation of such actions for

effectiveness and whether adjustments or further actions are needed. In the work of the

69 Response by the Ombudsman of the Republic of Latvia.

70 Ariranga G. Pillay, Chairperson, Committee on Economic, Social and Cultural Rights, Letter to States

Parties, 16 May 2012, available from

http://www2.ohchr.org/english/bodies/cescr/docs/LetterCESCRtoSP16.05.12.pdf.

71 “SDGs [Sustainable Development Goals] Indicator Framework: A Human Rights Approach to Data

Disaggregation to Leave No One Behind” (OHCHR, 2015).

72 Human Rights Indicators: A Guide to Measurement and Implementation (United Nations, 2012). See

also E/2011/90 on the use of indicators in realizing economic, social and cultural rights.

United Nations human rights treaty bodies, for example, the use of appropriate indicators is

a way to help State parties make precise and relevant information available to the treaty

bodies, and to help them assess progress in the implementation of State obligations under

the treaties.73

36. OHCHR has developed a conceptual and methodological framework of indicators

that can be applied and contextualized through participatory processes at the national level.

The framework recommends the development of structural, process and outcome

indicators. This configuration should help assess the steps being taken by States in

addressing their obligations – from commitments and acceptance of international human

rights standards (structural indicators) to efforts being made to meet the obligations that

flow from the standards (process indicators) and on to the results of those efforts (outcome

indicators). For example, with regard to the right to liberty and security of person, a

structural indicator might indicate the date of entry into force and coverage of the right in

the constitution; a process indicator might reflect the proportion of complaints received on

the right investigated and adjudicated by the NHRI; and the outcome indicator would

indicate the proportion of arrests and detentions declared unlawful by national courts.74

Follow-up to recommendations by human rights mechanisms

37. The development of tools to follow up on recommendations addressed to States by

human rights mechanisms is also very important. In the first instance, compiling

recommendations in a publicly available, accessible and coherent form75 enables relevant

government bodies and other stakeholders to monitor their implementation. This could take

the form of a publicly available and regularly updated online database which could indicate

the status of implementation, and would also facilitate the consideration of such

recommendations in the development or revision of any national strategy or plan of action

on human rights. Specific laws or procedures can be adopted for the national

implementation of international and regional jurisprudence, and invite a representative of

the victim to participate in the governmental body charged with national implementation of

that individual case.76 Standing mechanisms can also be established within ministries to

monitor the implementation of recommendations, in particular in light of structural issues

which may have been identified through regional human rights mechanisms, and to seek to

prevent further violations based on these issues.77

38. The implementation of human rights recommendations from human rights

mechanisms into national policies and programmes requires effective coordination, an

analytical framework and a harmonious methodological approach. The causes of human

rights violations may be obvious, for example laws or policies which exclude certain

groups from education. They may also be more complex and encompass a range of legal,

policy, practical and social attitudes. Participation of affected persons can help to identify

the causes and to consider possible solutions, as well as address the right to participate in

decisions. The establishment of inclusive standing coordination and follow-up mechanisms

has proven a useful tool in that regard (A/HRC/27/41, para. 101). Consultation and

73 E.g. the Convention against Torture and other Cruel, Inhuman or Degrading Treatment or Punishment

recommended that Honduras should develop disaggregated indicators to monitor and document

incidents of inter-prisoner violence with a view to revealing root causes and designing appropriate

prevention strategies (CAT/C/HND/CO/1, para. 17).

74 Human Rights Indicators (footnote 72 above), p. 88.

75 E.g. Universal Human Rights Index provides access to country-specific human rights information

emanating from international human rights mechanisms in the United Nations system.

76 Response by Paraguay.

77 Response by Ukraine.

involvement of all levels of government from the outset helps to ensure their continued

engagement through to the implementation phase. The creation of (inter-)ministerial or

inter-institutional bodies with a clearly designated lead ministry, which also include NHRIs

and civil society, can enhance the capacity for timely action. Ensuring the involvement of

the same bodies or processes for consultation and coordination with regard to prevention of

human rights, as for implementation of recommendations from human rights mechanisms,

can contribute to effectiveness, coherence and consistency.

39. Planning, monitoring and accountability related to the human rights commitments

contained in the new post-2015 Agenda will also be key. States have reaffirmed in the final

draft of the sustainable development goals that the new post-2015 Agenda would be guided

by the purposes and principles of the Charter of the United Nations, including full respect

for international law; and grounded in the Universal Declaration of Human Rights,

international human rights treaties and other international instruments such as the

Declaration on the Right to Development.78 Achieving the effective implementation of the

Agenda will depend on the creation of a strong “follow-up and review” framework to

ensure that commitments are met.79

IV. Role of international and regional stakeholders in prevention

40. International and regional stakeholders can assist States in identifying and proposing

remedial action in relation to gaps or weaknesses in protection, laws, policies and practices,

including through the Universal Periodic Review.

A. International and regional human rights mechanisms

41. International and regional human rights mechanisms80 complement and assist

national processes for prevention of human rights violations, through external insight and

expertise with regard to the situation, laws, policies and practices, drawing on their

knowledge of practices and challenges faced by other States. They also encourage

interaction and engagement between the State and other stakeholders on human rights

issues, and serve to inform the content of rights as their recommendations are often public.

The Human Rights Council has recalled its role in the prevention of human rights violations

through cooperation and dialogue, in accordance with General Assembly resolution 60/251

(A/HRC/RES/24/16, preamble). While the international system brings a global perspective

and universality to human rights protection, regional mechanisms may have a “greater

capacity for early detection, and could draw on experience from comparable situations in

78 Final draft of the Post-2015 outcome document dated 8 July 2015, para 10. See also for example,

draft goal 16 (“Promote peaceful and inclusive societies for sustainable development, provide access

to justice for all and build effective, accountable and inclusive institutions at all levels”) which would

inter alia seek to strengthen relevant national institutions, including through international cooperation,

for building capacity at all levels, to prevent violence and combat terrorism and crime; and promote

and enforce non-discriminatory laws and policies for sustainable development.

79 “Integrating Human Rights into the Post-2015 Development Agenda - Follow-up and Review:

Ensuring Accountability for the SDGs” (OHCHR, May 2015).

80 These include United Nations mechanisms, and those established, for example, by the European

Union, Council of Europe, Organization for Security and Cooperation in Europe, African Union, and

Organization of American States. See K. Martin-Chenut and S. Turgis in E. Decaux and S. Touzé, La

Prévention des Violations des Droits de l’Homme (footnote 3 above); Linos-Alexandre Sicilianos,

The Prevention of Human Rights Violations, Parts I and II (Athens, The Hague, New York, Martinus

Nijhoff, 2001).

regional countries… some countries respond better to examples drawn from neighbouring

countries” (A/HRC/28/30, para. 18).

42. These mechanisms typically monitor the implementation of human rights

obligations through the consideration of periodic reports and examination of individual

communications. In their views on such communications, relevant mechanisms not only

consider whether or not a violation has occurred in an individual case, they also provide an

analysis of their causes, as well as identify what action should be taken to prevent

recurrence.81 Complaints mechanisms may also directly prevent human rights violations

through their interim measures provisions.82 Another example of the functions of

international and regional mechanisms includes friendly settlement procedures of the Inter-

American Commission on Human Rights, which seeks to guarantee non-repetition to

prevent future violations of human rights.83 These guarantees have included adoption of

new laws and repeal of existing ones,84 implementation of public policies designed to

protect human rights, and human rights training for public officials.85

43. Mechanisms for the prevention of torture,86 the special procedures established by the

Human Rights Council and some treaty bodies undertake country visits and produce

thematic reports and studies. Many also contribute to prevention by developing new

standards and guidelines, and assisting States in the interpretation of provisions included in

human rights instruments. Some are mandated to conduct inquiries or early warning or

urgent actions which have the prevention of human rights violations as their primary

objective.87

44. The Universal Periodic Review is a unique process through which the human rights

records of all United Nations Member States are considered. It constitutes an opportunity

for States to provide information on action taken to improve the human rights situation and

to overcome challenges to the enjoyment of human rights by all individuals within their

jurisdiction. It can assist States in identifying potential violations and ways in which to

address them, including through sharing of good practices. Follow-up to recommendations

has led to positive legislative and policy change.88

81 For example, the Human Rights Committee commended “the prompt response and the measures

taken by the State party to remedy the infringements on religious freedom identified in the

Committee’s views in Communication No. 1155/2003 [Leirvåg v. Norway, Views adopted on

3 November 2004], including the adoption of amendments to the Education Act”

(CCPR/C/NOR/CO/5).

82 Some mechanisms may, at any stage before a case is considered, issue a request to the State for

“interim measures” in order to prevent any irreparable harm to the author or alleged victim in the

particular case. Typically, such requests are issued to prevent actions that cannot later be undone, for

example, the execution of a death sentence or the deportation of an individual facing a risk of torture.

83 Inter-American Commission on Human Rights, Impact of the Friendly Settlement Procedure

(OEA/Ser.L/V/II. Doc. 45/13 of 18 December 2013).

84 Ibid., p. 52.

85 Ibid., p. 6.

86 Including the Subcommittee on Prevention of Torture and Other Cruel, Inhuman or Degrading

Treatment or Punishment, and the Council of Europe Committee on the Prevention of Torture.

87 E.g. Committee on the Elimination of Racial Discrimination’s early warning and urgent action

procedure; communications procedure of special procedures.

88 See “A National Human Rights Action Plan – Uganda follows through on its commitment to the

Universal Periodic Review”, available from

http://www.ohchr.org/EN/NewsEvents/Pages/UgandaNationalHumanRightsActionPlan.aspx.

B. Contribution of international and regional organizations to prevention

45. International and regional organizations, including the United Nations,89 contribute

to the prevention of human rights violations through their respective mandates by

supporting States to fulfil their obligations in respect of human rights.90 General Assembly

resolution 48/141 specifically mandates OHCHR to “play an active role in removing the

current obstacles and in meeting the challenges to the full realization of all human rights

and in preventing the continuation of human rights violations throughout the world”.

OHCHR provides technical expertise and capacity development to assist governments to

fulfil their obligations, support individuals to claim their rights and speak out objectively on

human rights violations.91 Further, for example within the Council of Europe, States may

seek assistance in preparing laws or assessing their compliance with human rights standards

from the Council of Europe Human Rights Directorate and its European Commission for

Democracy through Law (Venice Commission).

46. The recent launch of the Human Rights up Front (HRuF) initiative has reinforced the

crucial role of the United Nations in prevention. HRuF is a United Nations Secretary-

General’s initiative designed to ensure that the United Nations system takes early and

effective action to prevent or respond to serious and large-scale violations of international

human rights or humanitarian law, as mandated by the Charter of the United Nations and

resolutions. The primary focus is on prevention and in ensuring that all United Nations

entities place the protection of people’s human rights at the heart of United Nations

strategies and operational activities,92 while supporting States’ action to discharge their

responsibilities.

47. Indeed, many crises are the result of protracted and dynamic processes that have at

their root long-lasting patterns of violations of a range of rights that, for not having been

addressed early enough, have fuelled instability, violence and conflict. A United Nations-

wide response requires that early signs of violations are identified and acted upon in a

timely manner. For this purpose, the early availability of human rights information and

analysis, linking patterns of violations of rights with political and security developments, is

key. Alongside United Nations human rights field presences, human rights mechanisms

collect a wealth of information on human rights issues, including on gaps in human rights

protection, risks of violations and patterns, scale and nature of violations. This information,

when effectively analysed, coordinated and channelled, has informed the development of

strategies and responses in partnership with States, as well as decisions on the best course

of action by the United Nations. By placing the focus on prevention, the HRuF initiative

strengthens this link between violations as early warning signs and early action by the

United Nations.93

89 One of the purposes of the United Nations is “to maintain international peace and security, and to that

end: to take effective collective measures for the prevention and removal of threats to the peace”

(Article 1, Charter of the United Nations). The role of the International Criminal Court and similar

bodies in complementing and reinforcing national criminal justice processes can also assist in

preventing impunity and future human rights violations.

90 Response by Italy.

91 E.g. OHCHR’s report on technical assistance and capacity-building options for integrating human

rights into national policies, drawing from worldwide best practices in that field (A/HRC/27/41).

92 Available from http://www.un.org/sg/rightsupfront/.

93 HRuF is beginning to result in changes in the way the United Nations internally approaches situations

involving violations. For example, it provided the conceptual cover and institutional backing for the

decision by the leadership of the United Nations Mission in South Sudan to open the gates of the

United Nations compounds to protect civilians seeking shelter. During the crisis in the Central

V. Conclusions and recommendations

48. Prevention of human rights violations is primarily the responsibility of the

State. It requires a proactive, continuing and systemic process of addressing risk

factors and causes of human rights violations through a range of measures, including

law, policy and practice, to ensure respect for and protection of all human rights for

all those within the State’s territory or jurisdiction. International and regional

organizations contribute to the prevention of human rights violations through their

respective mandates by supporting States to fulfil their human rights obligations.

49. A framework for the prevention of human rights violations requires the

ratification of human rights treaties and their implementation at the domestic level;

regular and independent review of existing and proposed laws and policies for

compliance with those provisions; and ensuring effective remedies for human rights

violations that provide redress for the victim and institutional change to prevent

recurrence. This in turn requires the establishment of independent institutions,

including NHRIs and an accessible and effective legal system.

50. A culture of human rights compliance should be developed through effective,

independent, transparent monitoring and inspection, which engages critically and

constructively with all stakeholders, including rights holders, in particular women and

members of the most vulnerable and marginalized groups.

51. Effective human rights education, which develops knowledge, skills and

attitudes prompting action for human rights and uses sound methodologies, is

essential and complementary to other preventive measures.

52. States must protect against human rights abuse by private actors and may

breach their international human rights law obligations where they fail to take

appropriate steps to prevent, investigate, punish and redress private actors’ abuse.

States should consider the full range of permissible preventative and remedial

measures, including policies legislation, regulations and adjudication. Concomitantly,

private actors should also respect the human rights of others, and business enterprises

should comply with their responsibility to respect human rights. This requires taking

adequate measures for the prevention, mitigation and, where appropriate,

remediation of adverse human rights impacts.

53. The State should provide an enabling environment for NHRIs and civil society

to perform their functions, which will further contribute to its primary responsibility

to prevent human rights violations. NHRIs and civil society provide independent

expertise, assistance to victims, information to the public and specific groups about

their rights and how to access them, and undertake other functions such as visiting

places where persons are deprived of liberty.

54. Planning and monitoring tools, including human rights impact assessments, can

assist States to promote and protect human rights, and prevent violations thereof

through human rights indicators, collection and analysis of statistics, taking into

account the OHCHR framework (HR/PUB/12/5).

African Republic in 2013-14, the HRUF approach created a renewed sense of responsibility among

United Nations senior leadership of the need to address the crisis from a human rights protection

perspective.

55. International and regional human rights mechanisms bring independent

expertise and provide impetus for national action and reflection. Complaints

procedures and early warning mechanisms can also contribute to the prevention of

human rights violations.