What Is Monitoring

Human Rights Monitoring
and Documentation Series

Volume 1

WHAT IS
MONITORING

By Manuel Guzman and Bert Verstappen

HURIDOCS
2003

HURIDOCS CIP:

TITLE: What is monitoring
PERSONAL AUTHOR: Guzman, Manuel ; Verstappen, Bert
CORPORATE AUTHOR: Human Rights Information and Documentation Systems, International -
HURIDOCS
PLACE OF PUBLICATION: Versoix [Switzerland]
PUBLISHER: HURIDOCS
ADDRESS: 48, chemin du Grand-Montfleury, CH-1290 Versoix, Switzerland
TELECOMMUNICATIONS:
DATE OF PUBLICATION: 20030500
PAGES: 42 p.
REFERENCE TO SERIES: Human rights monitoring and documentation series; vol. 1
ISBN: 92-95015-04-5
LANGUAGE: ENG
BIBLIOGRAPHIES: Y
INDEX: information handling / information
FREE TEXT: This practical manual is intended for documentalists and information workers of
human rights organisations. It deals with the following issues: what is monitoring, purposes of
monitoring, types of monitoring, methods of monitoring, and data analysis.

Copyright 2003 by HURIDOCS.
All rights reserved.

Limited copying permission:
Human rights organisations and documentation centres are granted permission to photocopy
portions of this document in order to facilitate documentation and training, provided
acknowledgement of the source is given.

WHAT IS MONITORING
TABLE OF CONTENTS

ACKNOWLEDGEMENTS ............................................................................................................ 3
PREFACE ...................................................................................................................................... 4

1. WHAT IS MONITORING IN GENERAL.................................................................................. 5
1.1 Elements of Monitoring ......................................................................................................... 5
1.2 Standards or Norms............................................................................................................... 5
1.3 Tools or Instruments for Monitoring...................................................................................... 6
1.4 Reporting the Results of Monitoring...................................................................................... 6

2. WHAT IS HUMAN RIGHTS MONITORING ........................................................................... 7
2.1 Basic Human Rights Principles .............................................................................................. 7
2.2 The Work of the Human Rights Community .......................................................................... 7
2.3 International Human Rights Standards ................................................................................... 7
2.4 Kinds of International Human Rights Instruments .................................................................. 8
2.5 Human Rights Monitoring ................................................................................................... 10
2.6 Kinds of Monitoring ............................................................................................................ 10
2.7 Monitoring, Investigation and Documentation ..................................................................... 11

3. WHY MONITOR ..................................................................................................................... 12
3.1 Aims of Monitoring ............................................................................................................. 12
3.2 Users of Monitoring Results ................................................................................................ 12

4. WHO MONITORS ................................................................................................................... 14
4.1 Standard-Setting and Monitoring Tasks............................................................................... 14
4.2 Monitoring by the U.N. and Other IGOs.............................................................................. 15
4.3 Monitoring by Government Bodies ...................................................................................... 19
4.4 Monitoring by NGOs........................................................................................................... 20

5. HOW AND WHERE TO GET DATA ...................................................................................... 21
5.1 Methods of Data Gathering ................................................................................................. 21
5.2 Survey................................................................................................................................. 21
5.3 Collection of Relevant Documents....................................................................................... 21
5.4 Where to Get Data .............................................................................................................. 22
5.5 The Use of Standard Formats and Controlled Vocabularies in Monitoring ........................... 22

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6. HOW TO MONITOR A SITUATION...................................................................................... 25
6.1 The “Violations” Approach to Monitoring ........................................................................... 25
6.2 The “Progressive Realisation” Approach.............................................................................. 25
6.3 The “Events” Monitoring Methodology............................................................................... 26
6.4 The Indicators-Based Monitoring Methodology................................................................... 27
6.5 Monitoring Laws and Policies and their Implementation ...................................................... 28
6.6 Monitoring the Establishment and Progress of Human Rights Institutions and Other
Government Bodies Dealing with Human Rights ....................................................................... 29

7. HOW TO MONITOR A CASE................................................................................................. 30
7.1 Casework ............................................................................................................................ 30
7.2 Monitoring the Rehabilitation of Clients............................................................................... 34
7.3 Using Standard Formats and Controlled Vocabularies for Case Monitoring ......................... 34

8. HOW TO ANALYSE DATA.................................................................................................... 35

9. WHAT MORE CAN BE DONE ............................................................................................... 37
9.1 Monitoring Government Plans ............................................................................................. 37
9.2 Adapting and Developing Indicators .................................................................................... 37
9.3 Preparing Shadow Reports .................................................................................................. 38
9.4 Conclusion .......................................................................................................................... 38

GLOSSARY ................................................................................................................................. 39

BIBLIOGRAPHY......................................................................................................................... 40

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ACKNOWLEDGEMENTS

Many thanks to Ding Bagasao, Aida Maria Noval and Jonathan Kuttab who reviewed the text and
provided very helpful additions and suggestions that greatly aided in its improvement.

Direction and support were provided by the members of the HURIDOCS Continuation Committee:
Kofi Kumado, Chairperson (Ghana)
Agnethe Olesen, Treasurer (Denmark)
James Lawson (France)
Aurora Javate De Dios (Philippines)
Judith Dueck (Canada)
Jonathan Kuttab (Palestine)
Aída María Noval (Mexico)

HURIDOCS is supported by the following donors whose contributions made possible the
publication of this manual:
Danish Ministry of Foreign Affairs
Department for International Development, U.K.
Finnish Ministry of Foreign Affairs
French Prime Minister’s Office
International Development Research Centre, Canada
Mertz Gilmore Foundation, U.S.A.
Norwegian Agency for Development Cooperation
Swedish International Development Agency

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PREFACE

This volume is part of the Human Rights Monitoring and Documentation Series produced by
HURIDOCS. The Series consist of practical manuals aimed to help build the capacity of human
rights organisations with regard to monitoring and documentation. There are two kinds of manuals
in the Series: a "what is" manual provides an overview of a certain topic, and a "how to" manual is
meant to impart specific skills.

What is Monitoring aims to help human rights workers understand better the whole subject of
monitoring. It introduces to the reader many concepts and specialised terminology in this field, and
gives an overview of the various bodies involved in human rights monitoring. It serves as a very
suitable introductory reading material before moving on to various books and other materials on the
subject of monitoring and documentation.

The volumes in this Series are especially designed for small non-governmental human rights
organisations, considering that they often have limited resources and small staff who are assigned
with multiple tasks. The handy size of the manuals make them excellent reference materials. In
addition, they are written in a style to facilitate learning and could serve effectively as materials for
training, including individualised and self-initiated learning.

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1. WHAT IS MONITORING IN GENERAL

1.1 Elements of Monitoring

Monitoring means the close observation of a situation or individual case carried out so as to
determine what further action needs to be taken. The following elements constitute monitoring:
a. It is carried out over an extended period of time.
b. It involves collecting or receiving a large quantity of data.
c. Close observation of the situation is done through
constant or periodic examination or investigation and
documentation of developments.
d. Standards or norms are used as reference in objectively
assessing the situation or case in question, especially in
determining what is wrong with it.
e. Tools or instruments are used in identifying how the
situation compares with established standards or norms.
Monitoring means the close
f. The product of monitoring is usually a report
observation of a certain
about the situation. situation.
g. The report embodies an assessment of the situation
which provides a basis for further action.

1.2 Standards or Norms

Norms or standards are common, accepted or agreed-upon characteristics or ways of behaviour of
persons, things, events or situations. A case or situation is considered abnormal if it exhibits
characteristics that deviate from recognised norms. It means that there is a problem that needs to be
corrected.

We can take as an example the case of a person sick with fever. A relevant norm in this case pertains
to body temperature. The person is said to have abnormal body temperature if it is beyond 37.5°C.
The problem that needs to be remedied is the fever, or more precisely, the cause of the fever.

In society, norms of behaviour are usually those that are followed or expected to be followed by the
greatest number of its members, e.g., norms of dressing. Norms may not only be “what are” but also
“what should be”. In this regard, norms can be dictated by agreements which are to be followed or
implemented by the parties that entered into the agreements.

Many of the norms or standards contained in agreements among nations concern the conduct of
state authorities in the performance of their duties. In arresting suspected criminal offenders, for
instance, police officers should not employ force that is more than necessary. In jailing criminal
offenders, there should be sufficient space allocated per prisoner, and it would be a violation of an
accepted standard to squeeze several prisoners in a small cell.

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1.3 Tools or Instruments for Monitoring

When a doctor examines a patient, several tools are used. The thermometer for instance is used to
check body temperature while the stethoscope is used for listening to the sounds made by the heart
and lungs. The findings are then ranged against accepted norms. Abnormal findings could indicate an
illness.

In finding out what the situation is in society, an example of a tool is the questionnaire used when
conducting a survey. The survey returns are afterwards analysed to form a judgement. Usually, the
purpose is to get an indication of the problems that need to be addressed. For instance, if the literacy
rate in a certain locality is five times lower than the national average, it is an indication that the
delivery of educational services in the area is not working.

Whatever the kind or scope of monitoring, it is always necessary to use recording tools. Doctors
keep medical records of patients, lawyers take down testimonies and human rights organisations use
standard formats to record details of violations.

1.4 Reporting the Results of Monitoring

Monitoring is done to serve a purpose, which is to provide a basis of action in the face of a certain
situation or case. It often involves finding out what is wrong and also finding out whether remedies
intended to correct problems are working. It is therefore necessary that the persons undertaking
monitoring regularly produce information, in the form of reports. These reports detail the events or
findings in a given period and should provide an over-all assessment, indicating whether there are
changes from one period to another, such as an improvement or a deterioration of the situation. The
reports therefore form the basis for further action, by the persons actually doing the monitoring, or
by other parties being asked to intervene.

Monitoring can go on indefinitely. It can also be stopped, especially when it is determined that the
situation has improved so as not to warrant further monitoring. For instance, a doctor curing a
patient can stop monitoring when a patient has recovered from illness.

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2. WHAT IS HUMAN RIGHTS MONITORING

2.1 Basic Human Rights Principles

Human rights are universal, to be enjoyed by everyone regardless of race, colour, sex, language,
religion, political or other opinion or orientation, national or ethnic origin, social origin, property or
other status. Yet, for various reasons, certain individuals or groups experience denial or
transgression of their rights. The reason could be highly political such as in the case of an
authoritarian leader suppressing all form of opposition. Or it could be the dominance of the majority
(e.g., ethnic, cultural, religious or linguistic) to the exclusion of the minority.

Human rights principles assert that all human beings are equal – and all should thus be afforded ways
to enjoy rights equally. Moreover, they recognise the reality that there some groups are at a
disadvantage compared to others. In other words, some kinds of individuals and groups are more
vulnerable to being victimised than others. Additional rights are identified for these so-called
vulnerable groups in order to ensure their protection. Among these groups are women, children,
refugees, minorities, indigenous peoples, ageing persons and disabled persons.

2.2 The Work of the Human Rights Community

Human rights organisations can be grouped into governmental and quasi-governmental,
intergovernmental, and non-governmental organisations. These can be found at various levels:
international, regional, sub-regional, national and local. The many tasks implemented by these
organisations fall under the areas of standard-setting, enforcement of standards, institution-building,
education, promotion, law reform, situation monitoring and casework. The greater part of NGOs
perform direct services through casework, such as in providing legal assistance in the pursuit of
justice, or in providing relief and rehabilitation services to specific victims.

Standard-setting refers to the work of inter-governmental organisations (IGOs) that elaborate
human rights declarations, conventions, covenants and other international instruments and enjoin
states to abide by their provisions. Among the IGOs that carry out human rights standard-setting are:
a) the United Nations (U.N.) and its sub-bodies
b) specialised agencies related to the U.N. like the International Labour Organisation (ILO) and the
United Nations Educational, Scientific and Cultural Organisation (UNESCO)
c) regional bodies like the African Union, the Organisation of American States and the Council of
Europe.

2.3 International Human Rights Standards

Standards are set and expected to be met so that human rights are enjoyed equally and vulnerable
groups are protected accordingly. These standards are contained in international instruments,
referring to declarations, conventions, covenants, treaties and other agreements among States. Their
very universalism gives them normative authority and prevents human rights discourse from turning
into political posturing since these standards apply to everyone equally.

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An example of a human rights standard is in relation to the right to life. Article 6 paragraph 1 of the
International Covenant on Civil and Political Rights states that “No one shall be arbitrarily deprived
of his life”. As for the treatment of prisoners, standards can among others be found in the
instrument Standard Minimum Rules for the Treatment of Prisoners.

Another example of a standard concerns the protection of children through the specification of a
minimum age for employment. Some relevant paragraphs in this regard are found in the ILO
Convention 138 concerning the Minimum Age for Admission to Employment, as follows:

Article 2, paragraph 1: “Each Member for which this Convention is in force undertakes to pursue a
national policy designed to ensure the effective abolition of child labour and to raise progressively
the minimum age for admission to employment or work to a level consistent with the fullest physical
and mental development of young persons.”
Article 2, paragraph 3: “The minimum age specified in pursuance of paragraph 1 of this Article shall
not be less than the age of completion of compulsory schooling and, in any case, shall not be less
than 15 years.

2.4 Kinds of International Human Rights Instruments

The numerous instruments on human rights can be categorised as follows:
• general and special instruments
• global and regional instruments
• binding and non-binding instruments

A general instrument, such as the Universal Declaration of Human Rights, comprises a wide
range of human rights. A special instrument on the other hand deals with specific subjects such as
rights of women, rights of the child, employment, freedom of information, etc.

Global instruments are those produced by global organisations like the United Nations and the
International Labour Organisation. Regional instruments are those produced by regional
mechanisms like the African Union, Organisation of American States and the Council of Europe.

Instruments could be binding or non-binding on States. Declarations such as the Universal
Declaration of Human Rights or the American Declaration on the Rights and Duties of Man are
not legally binding, but just the same form part of international law and are often quoted in national
law and jurisprudence. They are expressions of good intentions and as such carry great moral force.
A non-binding instrument also has an impact on a bigger number of States because it is adopted by
the whole governing body of an IGO, such as the United Nations General Assembly.

Instruments that are legally binding are covenants, conventions and other agreements such as the
International Covenant on Civil and Political Rights and the International Covenant on Economic,
Social and Cultural Rights. A certain process is followed before an instrument becomes legally
binding on a state. The usual process is through signature and ratification. Signature refers to the
signing of the instrument by a government, which thereby declares its intention not to do anything
contrary to the provisions of the instrument. Ratification refers to the confirmation of the signature,
as effected through an official vote by the country’s legislature, and in so doing agreeing to be
legally bound to the instrument. For some states, specifically those where the executives also wield
lawmaking functions, a single act of accession takes the place of the two-act process of signature
and ratification. Accession achieves the same purpose as signature and ratification, that of making

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the instrument legally binding. States that ratified or acceded to binding instruments are referred to
as State Parties or Contracting Parties.

Some instruments have protocols. A protocol is an agreement that is a supplement to a main
instrument. An example is the Optional Protocol to the International Covenant on Civil and
Political Rights which allows the U.N. Human Rights Committee to receive complaints from
individual victims. As the title implies, it is optional for a State Party to ratify or accede to it. The
individual complaint procedure therefore is not binding to all State Parties that ratified or acceded to
the International Covenant on Civil and Political Rights, but only to those who ratified or acceded
to its protocol.

States have two kinds of obligations: moral obligations with respect to non-binding instruments and
legal obligations with respect to instruments which they signed and ratified or acceded to. States are
expected to meet their obligations by passing domestic laws and by ensuring that these laws are
implemented.

On the next pages is a table showing some examples of instruments grouped according to the above
categories. For a more complete listing of international instruments, see the list International
Instruments in Micro-thesauri: A Tool for Documenting Human Rights Violations.

GLOBAL REGIONAL
NON- • Universal Declaration of Human • American Declaration of the
BINDING Rights Rights and Duties of Man

GENERAL • International Covenant on Civil and • European Convention for the
Political Rights Protection of Human Rights and
BINDING • International Covenant on Economic, Fundamental Freedoms
Social and Cultural Rights • American Convention on Human
Rights
• African Charter on Human and
Peoples’ Rights
• Declaration on the Rights of Persons • Declaration on Education for
Belonging to National or Ethnic, Democratic Citizenship (Council
NON- Religious and Linguistic Minorities of Europe)
BINDING • Basic Principles for the Treatment of • Inter-American Declaration of
Prisoners Principles On Freedom of
• Declaration of Basic Principles of Expression
SPECIAL Justice for Victims of Crime and • Declaration on the Rights and
Abuse of Power Welfare of the African Child
(African Union)
• International Convention on the • European Convention for the
Elimination of All Form of Racial Prevention of Torture and
BINDING Discrimination Inhuman or Degrading Treatment
• Convention on the Rights of the Child or Punishment
• ILO Convention No. 100 concerning • OAS Convention on Asylum
Equal Remuneration for Men and
Women Workers for Work of Equal
Value

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2.5 Human Rights Monitoring

Human rights monitoring is undertaken to see whether international human rights standards or
norms are met in domestic settings.

UNIVERSAL
STANDARDS
STANDARDS
APPLICATION

Monitoring is done to see whether
there are gaps between universally- . . . or between domestic standards
accepted standards and those set and how they are applied or met in
through domestic (national) reality.
legislation. . .

2.6 Kinds of Monitoring

Human rights monitoring can be of two general kinds, depending on their focus: situation monitoring
and case monitoring. Under each kind, there can be various forms, as summarised below:

a. situation monitoring
i. monitoring human rights violations
ii. monitoring the drafting and passing of legislation
iii. monitoring the implementation of laws and policies
iv. monitoring the establishment and progress of human rights institutions

b. case monitoring
i. monitoring the legal process undergone by a case
ii. monitoring relief and rehabilitation services provided to a client
iii. monitoring other forms of intervention in a case

Situation monitoring focuses on a situation in general. Many human rights groups for instance
produce reports that describe and analyse the occurrence of violations in a country. Aside from
documentation of events, a situation report may also include an assessment of the progress of a
country in terms of relevant human rights legislation and the performance of human rights
institutions. The different forms of situation monitoring are useful for the purpose of monitoring
government compliance with treaty obligations or for domestic monitoring purposes, for example to
be able to undertake denunciation and public awareness activities.

Case monitoring is very focused and victim-oriented. Consistent work for or on behalf of a client,
whether an individual victim or a group of victims, such as in pursuing justice or in providing
medical attention, is called casework. Following and documenting the developments in the case of a
client is an essential and integral part of casework.

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Humanitarian groups tend to conduct more victim-oriented monitoring. The majority of human
rights NGOs work both towards changing a general situation and in response to specific needs of
victims and thus carry out situation monitoring and case monitoring at the same time.

The scope of monitoring can be broad or narrow, with variations in terms of:

a. rights covered
Monitoring can cover a broad scope, e.g., for preparing a report on the performance of the
government in regard of civil and political rights, or specialised, e.g., for preparing a report on
the phenomenon of disappearances in one country.

b. target groups
Monitoring can cover the whole population or be focused on specific sectors like children,
ethnic minorities, workers, prisoners, etc.

c. geographical scope
The usual coverage of monitoring done by human rights groups is country-wide. There are
groups that focus on smaller areas, e.g., a depressed local region in a country, or wider areas,
e.g., monitoring the situation of child workers in South Asia.

Many human rights organisations combine several of the above forms of monitoring, although there
are organisations that confine monitoring to special aspects: for example, rehabilitation centres
monitor medical interventions. These forms of monitoring are further discussed in succeeding
chapters.

2.7 Monitoring, Investigation and Documentation

Monitoring involves the repeated collection of information. Often, it involves investigating and
documenting a large or representative number of human rights events. Investigation refers to the
process of finding out the facts surrounding an event which carries or is suspected to carry one or
more human rights violations. The term investigation is synonymous with fact-finding. In some
forms of monitoring, the more precise term is examination rather than investigation. For instance,
medical care-givers conduct periodic health examinations in monitoring the progress of rehabilitation
of victims.

Documentation means the recording of the results of an investigation or examination.
Documentation is very important, especially when proof is needed for the advocacy of human rights
issues. More than this, documentation is needed so that the facts can always be revisited, especially
for purposes of comparison of past and current situations. Data compiled over a period of time can
be analysed so as to get a fuller picture of the issues at stake.

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3. WHY MONITOR

3.1 Aims of Monitoring

The most common general purpose of monitoring is to be able to pinpoint what is wrong with a
situation or a case and to indicate what steps can be taken to remedy it. Monitoring is also
undertaken to see whether steps that have been taken to improve a situation are working. Most
activities that are carried out in response can be therefore considered as reactive.

However, monitoring is also undertaken to be able to provide early warning. Early warning refers
to the presentation of an assessment of a certain situation citing the likelihood of the outbreak of
conflict, especially violent conflict, well in advance so that mechanisms of intervention can be set up
before the actual outbreak.

Human rights monitoring has the following particular purposes, among others:
a. to assist governments in applying international standards;
b. to be able to pressure governments into adopting and implementing international standards;
c. to be able to undertake domestic legal actions like taking cases to court;
d. to be able to undertake other actions like denunciations and publicity campaigns, with the goal of
bearing pressure on the government and/or to enhance public awareness
e. to be able to help particular victims; and
f. to be able to provide early warning in potential conflict areas.

The first aim is for U.N. treaty-monitoring bodies, while the next four are generally the aims guiding
the work of human rights NGOs. The last aim is pursued by specialised inter-governmental and non-
governmental bodies alike.

3.2 Users of Monitoring Results

Diverse governmental, intergovernmental and non-governmental bodies undertake monitoring,
usually for internal use and based on their own particular mandates. Human rights activists working
in NGOs for instance conduct direct monitoring by promptly investigating reports of human rights
violations and undertaking immediate intervening actions. The members of treaty-monitoring bodies
of the U.N. conduct monitoring so that they will have the necessary information to call the attention
of governments regarding compliance with their treaty obligations. NGOs and IGOs dealing with
conflict prevention or transformation carry out monitoring so as to be able to provide early warning.

There are also external users of the information derived from monitoring, notably policy-makers
and scholars. It must be stressed that an important part of the work of NGOs is lobbying for change
in legislation, thus the results of monitoring should be brought to the attention of policy-makers,
such as parliamentarians. Scholars, such as those belonging to the academic world, also oftentimes
undertake an indirect kind of monitoring by selecting certain situations for analysis and soliciting
information from various sources. The conclusions reached by scholars in highlighting problems in
society could and should be utilised in working for policy changes.

A very important specific kind of users consists of quasi-governmental organisations like national
truth and/or justice commissions, as well as ad hoc and permanent criminal tribunals. The results of

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monitoring by NGOs over many years can be fed into these bodies in the quest for justice or the
acknowledgement and elaboration of a historical past.

Other users can be researchers, lawyers, other human rights NGOs, cause-oriented groups and the
public in general. Activist groups, for instance, may use the information derived from monitoring in
denouncing policies of the state. The specific uses and methods may vary, but the ultimate aim is the
same, which is to seek to change an abnormal human rights situation.

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4. WHO MONITORS

4.1 Standard-Setting and Monitoring Tasks

Human rights promotion and protection all over the world is accomplished primarily through the
dynamic interplay of three kinds of actors – inter-governmental, governmental and non-
governmental organisations. With regard to human rights standards, these actors usually have the
following tasks:

• Set standards
INTERGOVERNMENTAL
• Monitor compliance of
ORGANISATIONS
governments with their treaty
(IGOs) obligations
• Monitor certain situations
involving violations

GOVERNMENTAL NON-GOVERNMENTAL
ORGANISATIONS ORGANISATIONS
(GOs) (NGOs)

• Encourage own governments to • Lobby with IGOs toward setting
adopt international standards standards
• Monitor compliance of own • Lobby with governments toward
governments with treaty obligations adopting international standards
• Monitor violations • Monitor compliance of governments
with their treaty obligations
• Monitor violations

The above types of organisations, especially the NGOs, can be found at various levels –
international, regional, sub-regional, national and local. The work that a type of organisation does
often complements or provides a balance to the work of others. For instance, in the area of
monitoring the compliance of State Parties with their obligations, the monitoring IGO body primarily
receives information from the governments themselves. It also obtains information from NGOs to
corroborate the government reports.

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4.2 Monitoring by the U.N. and Other IGOs

The United Nations is a very big organisation with various divisions and affiliated organisations,
many of which deal with human rights. These often have overlapping functions, so much so that it is
difficult to present its complicated set-up in simple terms. However, it is possible to pinpoint which
bodies are directly engaged in human rights monitoring, namely:
• Treaty-based committees
• Special Rapporteurs and other bodies under the U.N. Commission on Human Rights
• some specialised agencies

a. Monitoring by Treaty-Based Committees

Six major international human rights instruments elaborated by the U.N. contain in their texts
provisions for the establishment of committees with the task of monitoring their implementation.
These treaty-based committees are composed of independent experts who are nominated by their
governments but are expected to act independently. The main monitoring procedure employed by
these committees is exercised by requiring State Parties to submit regular reports.

Below are the six major human rights instruments, their respective monitoring committees, and the
respective reporting requirements for the State Parties:

INSTRUMENT MONITORING REPORTING
COMMITTEE REQUIREMENTS
International Covenant on Civil Human Rights Committee Initial report within one year of
and Political Rights the Covenant's entry into force;
subsequent reports every five
years thereafter
International Covenant on Committee on Economic, Social Initial report within two years of
Economic, Social and Cultural and Cultural Rights the Covenant's entry into force;
Rights subsequent reports every five
years thereafter
International Convention on the Committee on the Elimination of Initial report within one year after
Elimination of All Forms of Racial Discrimination the entry into force; subsequent
Racial Discrimination reports every two years thereafter
and whenever the Committee so
requests
Convention on the Elimination Committee on the Elimination of Initial report within one year after
of All Forms of Discrimination Discrimination against Women the entry into force; subsequent
against Women reports after every four years
thereafter and whenever the
Committee so requests
Convention against Torture and Committee against Torture Initial report within one year after
other Cruel, Inhuman or the entry into force; subsequent
Degrading Treatment or reports every four years thereafter
Punishment
Convention on the Rights of the Committee on the Rights of the Initial report within two years
Child Child after the entry into force;
subsequent reports every five
years thereafter

To illustrate how a treaty-based committee performs its task, below is a brief description of how the
Human Rights Committee works.

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1) The Committee consists of 18 members serving for a four-year term. It elects from among its
members a Chairperson, three Vice-Chairpersons and a Rapporteur.
2) It holds threes sessions of three weeks each per year - one in New York (March/April) and two
in Geneva (July and October/November).
3) Each session is preceded by sessions of the working groups it has created. An important
working group is the one that prepares the “list of issues” that the Committee would like to
bring up with the State Party whose report is to considered.
4) The “list of issues” is transmitted to the concerned government through its Permanent
Representative to the United Nations.
5) During the Committee meeting, the representatives of the reporting government provide the
Committee with oral replies to the written questions. It is at this point that the Committee
usually poses various questions to the representatives. Its questions can be informed from
different sources, such as from the press and from non-governmental organisations.
6) The outcome of the consideration of a State Party report can be:
• concluding comments: conclusions reached by the Committee which can include, among
others, a section on factors and difficulties affecting the implementation of the Covenant, a
section on positive aspects, a section on main subjects of concern, and a section on
suggestions and recommendations of the Committee.
• general comments – comments that are relevant to all State Parties or to the question of civil
and political rights in general, intended to clarify the provisions of the Covenant and thus
assist State Parties in applying the provisions and in fulfilling their reporting obligations.
7) The Committee submits an annual report to the U.N. General Assembly. The report contains a
summary of the activities of the Committee, as well as all its decisions and recommendations,
including concerns that it has expressed in regard of a situation in a particular country.

The procedures followed by other committees are almost similar to those followed by the Human
Rights Committee. A main difference is that the Human Rights Committee also receives individual
complaints which it can raise with a reporting government. This is made possible by the coming into
force of the Optional Protocol to the International Covenant on Civil and Political Rights. A
similar protocol is being contemplated for the International Covenant on Economic, Social and
Cultural Rights. Exceptionally, the Convention against Torture has a provision that also allows
individual complaints.

b. Monitoring by Bodies under the U.N. Commission on Human Rights

The Commission on Human Rights is a large body which meets once a year for six weeks in Geneva.
Its membership rotates among the countries that belong to the U.N. Each member government
appoints a delegation to attend the Geneva meeting. These are not independent experts like the
treaty body members, but very much represent their government’s positions.

The Commission does not by itself conduct monitoring. Rather, it should be seen as the forum in
which monitoring results could be aired and discussed. NGOs which are accredited by the U.N. can
attend the Commission meetings and present interventions during the open plenary sessions.

There are however bodies under the Commission that undertake monitoring of situations, although
limited in some cases. These are the different Special Rapporteurs and Working Groups, and the
Sub-Commission on the Protection and Promotion of Human Rights (previously known as the Sub-
Commission on Prevention of Discrimination and Protection of Minorities). They undertake
monitoring in the sense that they collect information from various sources, analyse the collected
information, and in some cases take action such as referring the cases to the concerned governments.

16

Moreover, they all produce reports which are usually taken up during the annual sessions of the
Commission on Human Rights. The monitoring they conduct, on the other hand, may be limited in
one or more ways:

1) Monitoring is incidental to the main purpose of the agency. For instance, the exact mandate of a
thematic Special Rapporteur is to examine questions related to the theme assigned to her/him
and to recommend steps to prevent and or respond to violations. Monitoring of selected
situations is therefore done for the purpose of fulfilling the given mandate.

2) The method of gathering information may be limited. Some bodies conduct occasional fact-
finding missions. Most of these bodies collect information by receiving communications. A
communication is a complaint sent by a victim or by others working on behalf of victims,
describing an alleged violation of a right or, or in the case of the “1503 procedure” (described
below), an alarming human rights situation, and asking for intervention by the addressee. As
such, the communications received, together with the missions so far conducted, may not, in
their totality, accurately represent the country or global situation.

A Special Rapporteur is an expert appointed by the Commission on Human Rights to look into an
area or subject of human rights violations. There are two kinds of Special Rapporteurs: country
Special Rapporteurs and thematic Special Rapporteurs. In 2003, among the countries under
investigation by Special Rapporteurs we re: Afghanistan, Burundi, the Democratic Republic of the
Congo, countries of the Former Yugoslavia, Iraq, Myanmar, Palestinian occupied territories and
Sudan. Meanwhile, thematic Special Rapporteurs (or Independent Experts or Special
Representatives of the Secretary-General) have been named to study questions on the following
subjects:

• Adequate Housing
• Contemporary forms of Racism, Racial Discrimination and Xenophobia
• Draft optional protocol to the International Covenant on Economic, Social and Cultural Rights
• Extrajudicial, Summary or Arbitrary Executions
• Freedom of Opinion and Expression
• Freedom of Religion or Belief
• Health
• Human Rights Defenders
• Human Rights and Extreme Poverty
• Human Rights of Indigenous People
• Human Rights of Migrants
• Illicit Movement and Dumping of Toxic Waste
• Independence of Judges and Lawyers
• Internally Displaced Persons
• Mercenaries
• Protection from Enforced or Involuntary Disappearance
• Right to Development
• Right to Education
• Right to Food
• Sale of Children, Child Prostitution and Child Pornography
• Structural Adjustment Policies and Foreign Debt
• Torture
• Violence against Women

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The Working Groups are small committees appointed by the Commission on Human Rights to look
into particular issues. Some current working groups are: Working Group on Enforced or
Involuntary Disappearances and Working Group on Arbitrary Detention.

The usual method of work followed by Special Rapporteurs and Working Groups consists of
receiving communications and taking action on those that merit response. The usual action is done
by forwarding the communications to the concerned government, often asking simply for further
information, but sometimes making concrete requests like the release of deserving detained persons.
The Special Rapporteurs and Working Group members also occasionally visit countries to directly
investigate serious situations.

Another body that conducts monitoring in a sense is the Sub-Commission for the Protection and
Promotion of Human Rights (previously known as the Sub-Commission on Prevention of
Discrimination and Protection of Minorities), a body under the Commission on Human Rights. It
follows the so-called “1503 procedure” named after Resolution 1503 of the U.N. Economic and
Social Council. In gist, the Sub-Commission tries to examine whether there is a distinct pattern of
violations in any given country and whether such pattern has reached a level of gross and systematic
violations. The various steps comprising the “1503 Procedure” are:

1) Under the Sub-Commission is the Working Group on Communications that receives and analyses
communications together with government replies. The communications must describe situations
and will be admitted only if they show reasonable grounds to believe that consistent patterns of
violations exist.
2) When the Working Group considers that there is reliable evidence of a consistent pattern of
violations in one country, it submits the relevant communications to the Sub-Commission
3) The Sub-Commission studies all the country situations referred to it by the Working Group, and
decides which ones should be referred to the Commission on Human Rights for further action.
4) Further action on a country situation may be undertaken by the Commission on Human Rights by
making a report with recommendations to a higher organ, the Economic and Social Council. The
Commission may also decide to appoint an ad hoc committee to make a thorough investigation,
but this however requires the consent of the State where the violations are alleged to have
happened.

All actions regarding a country situation remain confidential, until such time when the Commission
decides to bring the matter to the Economic and Social Council, in which case the country situation
may be discussed publicly in various U.N. forums. Only a few countries, mainly those ruled by
authoritarian regimes, have reached the point of being referred to the Economic and Social Council,
and such is an indication that the situation in the country is indeed alarmingly bad.

c) Monitoring by Specialised Agencies

Some other IGOs elaborate instruments for adoption by their governing bodies. The most notable of
these is the International Labour Organisation. Its governing body, the International Labour
Conference, is the instance that adopts Conventions. States Parties that have acceded to or ratified
the Conventions are required to submit periodic reports which are first of all examined by the
Committee of Experts on the Application of Conventions and Recommendations, and, subsequently,
by the tripartite Conference Committee on the Application of Conventions and Recommendations.

There are other U.N. specialised agencies that produce reports which are the results of ongoing
monitoring efforts. For instance, UNESCO and WHO regularly compile statistics on education and
health respectively from all over the world. A good source of information regarding the performance

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of all countries in terms of development and human rights indicators is the Human Development
Report, an annual publication commissioned by the United Nations Development Programme
(UNDP).

d) Monitoring by Regional IGOs

Three regions – Europe, Americas and Africa – have existing inter-governmental bodies which have
elaborated conventions on human rights. The conventions have provided for the establishment of
regional machineries (including human rights courts) to monitor their implementation. The table
below shows the regional governing bodies, the treaties they elaborated, and the bodies created to
monitor their implementation:

GOVERNING BODY REGIONAL IMPLEMENTING
INSTRUMENT BODIES
Organisation of American States American Convention on Inter-American Commission on
Human Rights Human Rights; Inter-American
Court of Human Rights
African Union African Charter on Human and African Commission on Human
Peoples’ Rights and Peoples’ Rights; African
Court on Human Rights (being
established)
Council of Europe European Convention for the European Court of Human
Protection of Human Rights and Rights
Fundamental Freedoms

The Inter-American Commission on Human Rights and the African Commission on Human and
Peoples’ Rights conduct monitoring by reviewing periodic reports from State Parties. There used to
be a European commission with a similar task, but since 1998 the European Court of Human Rights
has served to oversee the implementation of the European Convention. The various regional human
rights courts are expected to rule on matters concerning the interpretation or application of the
regional conventions.

4.3 Monitoring by Government Bodies

A national human rights institution is usually any of the following:
a. human rights commission – a body composed of several members usually from diverse
backgrounds which discharge various functions (usually different from one commission to
another) that range from human rights education to investigation of complaints.
b. ombudsman – an individual or group of persons generally appointed to protect the rights of
individuals who believe themselves to be the victim of unjust acts on the part of the government
c. specialised commission – a body composed of several members which function to protect the
rights of a particular vulnerable group such as ethnic and linguistic minorities, indigenous
populations, children, refugees or women.

National human rights commissions are generally mandated to study international standards,
encourage their governments to adopt these, and call the attention of their governments if the
adopted standards are not met. One way through which they monitor the compliance of their
governments with obligations is by making contributions to the required periodic reports.

19

A common duty of national human rights commissions as well as specialised commissions is to call
the attention of the government to areas of violations and instances of discrimination in the country.
Many human rights commissions, either national or specialised, and certainly the national
ombudsmen, are mandated to monitor violations, especially if a complaints procedure is in place.

4.4 Monitoring by NGOs

Human rights NGOs accomplish among them a wide range of activities, such as human rights
education, advocacy and direct services to victims, with the majority carrying out monitoring, both
of situations and of individual cases of victims. The usual focus of situation monitoring by NGOs is
on violations. Some NGOs have broad mandates (e.g., monitoring of violations of civil and political
rights) while others are specialised (e.g., responding to cases of disappearances, torture, etc.). Also,
diverse types of groups like development NGOs, women groups and community-based groups have
gradually included a human rights approach in their work. Thus, the whole spectrum of human rights
– from individual to collective rights, from civil and political to economic, social and cultural rights –
is increasingly being monitored nowadays.

In the provision of direct services, NGOs are bound to carry out case monitoring. It could be the
legal situation of a victim that is monitored or the progress of her/his rehabilitation. The modalities
of case monitoring are further discussed in Chapter 7.

NGOs have now gone beyond monitoring direct violations, to monitor also the compliance of their
governments with treaty obligations. Moreover, some NGOs have been actively taking part in the
activities of treaty-monitoring bodies, such as in the submission of alternative or “shadow” reports.
The subject of “shadow” reports is discussed in Chapter 9.

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5. HOW AND WHERE TO GET DATA

5.1 Methods of Data Gathering

Monitoring can be the sustained conduct of investigation and documentation activities. In this
regard, all the methods of fact-finding, when employed regularly and consistently, can be rightfully
considered as methods of monitoring. Among these are: interviewing, ocular inspection, trial
observation, collection of relevant documents, use of photographic and other recording instruments,
and forensic examination. Two or more of these methods are usually combined in any fact-finding
activity. For instance, a fact-finding mission into a community where violations happened can be
carried out by interviewing the residents, undertaking ocular inspection and taking pictures.

5.2 Survey

A very common method of monitoring, one that usually combines interviewing and use of standard
recording tools, is the survey method. It is especially employed in association with the use of
indicators (discussed in the next chapter). A survey is the gathering of similar kinds of data from
among a number of respondents, so as to be able to take a general or comprehensive view of or
appraise a situation. Surveys can be taken with the aid of interviewers, or through self-administered
questionnaires.

Sometimes it may not be possible to reach the whole population, in which case a sample survey is
taken. There are three kinds of samples:
a. haphazard sample – the sample that is taken simply because it is what the data gatherer can get
under the circumstances. For instance, a researcher may decide to interview all persons that
he/she finds at a particular place at a particular time.
b. judgmental sample – the sample that is chosen with a specific criterion used. For instance a
researcher may decide to interview an equal number of representatives of ethnic groups in an
area.
c. probability sample – the sample that is chosen using a random method of selecting respondents.
For instance, before interviewing the residents of a community, a lottery is conducted to
determine which houses will be approached.

For most kinds of data, probability samples are better than the other types. Using this type of sample
allows to project findings from the sample populations to the larger populations they represent. For
instance, a random sample of 60 households may be interviewed in a community of 300 households.
If it is discovered that 45 of the interviewed households (75%) fall below the poverty line, then it
would be sound to state that it is very probable that around 225 households in the community fall
below the poverty line.

Results of surveys using haphazard and judgmental samples are also valid, provided that the methods
of data gathering are made explicitly clear.

5.3 Collection of Relevant Documents

21

The collection of relevant documents is a tried and tested method of investigation and
documentation. This method has been institutionalised into a procedure followed by treaty-
monitoring bodies, namely periodic reporting. On the part of NGOs, they should actively attempt to
acquire relevant documents such as reports by various government organs, on a regular basis.

5.4 Where to Get Data

In general, the sources of data can be governmental or non-governmental. Below is a chart that
shows the usual flow of human rights information.

Primary sources
(witnesses, evidentiary
materials, survey Human rights NGOs Scholars and
respondents, etc.) other users

Press and
other
Statistics offices, media
U.N. treaty-
other government
monitoring
organs
bodies, other
IGOs

National human
rights institutions

Those who undertake direct monitoring, such as human rights NGOs, usually have as sources the
people actually involved in the events being investigated, as well as evidentiary documents like death
certificates, etc. External users such as scholars and policy-makers, usually take material from
NGOs, as well as other bodies such as governmental agencies, as their sources. U.N. treaty-
monitoring bodies mainly receive reports from governments, but they also consider information from
other sources.

It can be noted that the information often is used again by local and national bodies. For instance, the
UNDP report is based on many national reports and its assessment of country performance is
increasingly being quoted in NGO publications.

5.5 The Use of Standard Formats and Controlled Vocabularies in Monitoring

a) Standard Formats

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A format is an empty form, consisting of fields, on which information can be recorded. The form
can be on paper, a layout on a word processor, or an entry layout within a database program. Fields
are spaces in which pieces of information can be entered. A record is produced each time a format is
completed. A standard format is a format with a definite number of fields, arranged in a pre-
determined way, with prescribed notes for the entry of data in each field.

Standard formats are an essential tool in monitoring. They are most commonly used as
questionnaires in surveys, and as recording formats in the documentation of information on victims,
the violations they suffered and other related information.

HURIDOCS has developed several standard formats for use in monitoring violations. Their use is
discussed in Chapter 6, The “Events” Monitoring Methodology.

b) Controlled Vocabularies

A controlled vocabulary is a list of terms used by documentation workers to represent concepts
such as the characteristics of an event, person or thing, or the contents of a document. The terms
contained in the list are said to be controlled when an effort is made to make them as exhaustive and
as mutually exclusive as possible.

To illustrate, we can take the example of
killings. Killings can be divided into
executions and unpremeditated killings.
In turn, executions can be judicial (i.e., Judicial execution DUE PROCESS
the application of the death penalty Summary execution
arrived at through a fair trial), summary Extra-judicial
(e.g., execution after sentencing by a execution
“kangaroo” court) or extra-judicial (i.e.,
execution with no judicial process
observed at all).

After the different types of executions have been listed, the types of unpremeditated killings should
also be included, until an exhaustive list is completed. A list used for classifying killings could look
as follows:

1. Deliberate killings
1.1. summary execution
1.2. extra-judicial execution
1.3. judicial execution
2. Indiscriminate/random killings
2.1. killing in demonstrations, crowd control and similar events
2.2. killing in indiscriminate attacks such bombing
2.3. death as a result of being caught in cross-fire
3. Other unpremeditated killings
3.1. death as consequence of torture or brutality
3.2. death from natural causes aggravated by the infliction of physical, psychological and sexual violations
3.3. death resulting from negligence
3.4. death resulting from intention to maim
3.5. killing of a wrong target
4. Unexplained killings and deaths

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The compilation of a controlled vocabulary is important so that there is a consistent reference tool
for classifying events, persons or things. The list will contain the same categories that are used in
statistical generation, thus facilitating data analysis.

A micro-thesaurus is a short controlled vocabulary used for a specific field in a standard format.
HURIDOCS has published Micro-Thesauri: A Tool for Documenting Human Rights Violations,1
containing numerous micro-thesauri, among them: types of acts, methods of violence employed,
types of locations, victim characteristics, kinds of occupations, nationalities, religions, types of
perpetrators, etc.

Another useful tool is the Thesaurus of Economic, Social and Cultural Rights by Stephen Hansen.2
It contains hundreds of terms on the subject of economic, social and cultural rights and could serve
as the basis for the design of a monitoring system in this area.

1
Dueck, Judith, Manuel Guzman and Bert Verstappen. Micro-thesauri: A Tool for Documenting Human
Rights Violations. Versoix: HURIDOCS, 2001.
2
Hansen, Stephen A., Thesaurus of Economic, Social, and Cultural Rights: Terminology and Potential
Violations. Washington D.C.: American Association for the Advancement of Science and HURIDOCS, 2000.

24

6. HOW TO MONITOR A SITUATION

6.1 The “Violations” Approach to Monitoring

There are two general approaches used in monitoring human rights situations: the "violations"
approach and the "progressive realisation" approach.

The “violations” approach has been used extensively in monitoring civil and political rights, but can
also be used for monitoring other types of rights. Simply put, this approach seeks to identify the
violations of recognised rights, rather than the steps taken by governments to comply with their
obligations. Violations can be very visible acts like killings, arrests, torture and displacements, or less
visible acts like the failure of a government to adopt a policy for combating homelessness. Violations
can be
a. acts of commission, by the state or by parties insufficiently regulated by the State
b. acts of omission by the state

The violations on the part of the state can be seen in terms of its failure to comply with its three
different types of obligations. These are:

a) obligation to respect, which is to abstain from doing anything that violates the integrity of the
individual or group or infringes on her/his/their freedom.

Examples of violations are such acts as:
• extra-judicial execution (in violation of the obligation to respect an individual’s right to life)
• arbitrary arrest (in violation of the obligation to respect an individual’s right to liberty)
• banning of a trade union (in violation of the obligation to respect a group’s freedom of
association)

b) obligation to protect, which is to take the measures necessary to prevent other individuals or
groups from violating the rights of the individual or group, including the prevention or infringement
of the enjoyment of her/his/their freedom.

Examples of violations are acts like:
• inaction when a certain group, such as an ethnic group, attacks another
• failure to compel companies to pay decent wages

c) obligation to fulfil, which is to take the measures necessary to ensure for each person within its
jurisdiction opportunities to obtain satisfaction of those needs which cannot be secured by personal
efforts.

Examples of violations are acts of omission like:
• failure to adopt a basic health care system
• failure to implement a free education system on the primary level

6.2 The “Progressive Realisation” Approach

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Another monitoring approach, one used in monitoring economic, social and cultural rights, is the
“progressive realisation” approach. It stems from Article 2 of the International Covenant on
Economic, Social and Cultural Rights which provides that “each State Party to the Covenant
undertakes to take steps, to the maximum of its available resources, with a view to achieving
progressively the full realisation of the rights recognised in the Covenant.” This approach thus
focuses on periodic evaluations of government efforts towards the realisation of economic, social
and cultural rights, and comparing the progress made during each period. As such, it requires the
collection of a large amount of data over a long period of time, such as through a national census.
Thus, this approach is best taken by governments and by IGO bodies which monitor treaties, with
the former actually doing the data-gathering and afterwards reporting to the latter.

6.3 The “Events” Monitoring Methodology

Two dominant methodologies in monitoring human rights situations are the "events" (or acts-based)
methodology and the indicators-based methodology.

The “events methodology” for monitoring involves identifying the various acts of commission and
omission that constitute or lead to human rights violations. In other words, it is a concrete form by
which the “violations” approach takes shape.

This methodology involves investigating and documenting an event that is suspected of or confirmed
to be consisting of one or more acts considered as violations. For instance, the dispersal of a protest
rally is an event which could contain several acts of violations like beatings of rally participants,
arrest of rally leaders, etc. Aside from the event and its component acts, information about the
persons involved, including the victims and perpetrators, are also recorded. HURIDOCS has
developed a set of standard formats for recording the various pieces of events and related
information. For a more detailed discussion of the “events” methodology, refer to the book
HURIDOCS Events Standard Formats: A Tool for Documenting Violations.3

The "events" methodology has been effective in monitoring very visible acts as killings, arrests,
torture and the like. Inquiries into less visible acts, especially acts of omission such as instances of
inaction by authorities, are now gradually being integrated into this methodology.

A limitation of the “events” methodology is that it usually does not aim, or often fails, to arrive at a
complete picture by giving the total number of violations, much less the proportion of actual victims
to the whole population. There are two problem areas identified in this regard;

The monitoring body does not hear of all events involving the violations covered by its mandate.
Among the reasons for this are the lack of local contacts who could inform on ongoing events, and
misconception by the local population in the sense that some acts are not seen as violations.
Even if the monitoring body learns of events that are likely to contain violations, it is unable to
investigate and document these for reasons such as ongoing military actions, hesitation of witnesses
to come forward, and lack of resources.

In a way, the use of the “events” methodology, including the use of the HURIDOCS Events
Standard Formats, can be considered as the conduct of a survey involving a haphazard sample. It
must be stressed though that “haphazard” here simply refers to the fact that the respondents are

3
Dueck, Judith, Manuel Guzman and Bert Verstappen. HURIDOCS Standard Formats : A Tool for Documenting
Human Rights Violations. Versoix: HURIDOCS, 2001.

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limited only to those that can be reached. There is nothing haphazard at all with the deliberate efforts
taken by NGOs in tracking, investigating, documenting and following up cases within their reach.

What is important is to qualify the reports that one issues after using this methodology. Such
qualifications can indicate the possibility that there are more violations that had occurred but were
not investigated and documented. The report can include a description of the factors that hampered
investigation of certain events.

6.4 The Indicators-Based Monitoring Methodology

An indicator is a tool that shows where something is, what direction it is leading to, and how far it is
from that objective. It serves as a sign or symptom that tells what is wrong in a situation and helps in
pointing out what needs to be done to fix the problem. Examples of indicators are:
• in the area of education: adult literacy rate
• in the area of health: infant mortality rate
• in the area of political participation: proportion of seats in Parliament held by women
• in the area of access to information: ratio of telephone lines to population

There are two kinds of indicators: result indicators and process indicators. A result indicator
measures the outcome of efforts, or the lack of them, by the state to meet a particular obligation. It
is therefore an indication of the current status of the enjoyment of a certain right. A process
indicator on the other hand measures the degree to which the state is complying with its obligations.

For example, a state has the obligation to increase literacy among its citizens. A result indicator
would be the literacy rate, while a process indicator would be the number of schools in the country.
Another example concerns the obligation to reduce deaths among newly-borns. A result indicator
would be the infant mortality rate, while a process indicator would be the proportion of children
immunised against childhood diseases.

A benchmark is the level that is aimed to be met when using a certain indicator. An example of a
benchmark, when using adult literacy rate as an indicator, is 75% literacy among adults nation-wide.

There are many indicators already used by various IGOs such as the World Health Organisation and
the United Nations Development Programme to measure the status of economic and social
conditions within countries. These indicators can be used as they are or may need to be adapted for
local use, at the same time that NGOs can develop their own indicators.

While indicators have been employed mainly in the field of economic, social and cultural rights,
especially by development organisations, they are equally applicable in the area of civil and political
rights. An example has been given above (proportion of seats in Parliament held by women).
Another example would be the percentage of persons tortured among all those arrested.

Also, indicators can be used in both the “violations” and “progressive realisation” approaches. If a
State Party failed to meet the minimum obligations to fulfil a certain right, it can right away be
considered a violation. Also, if a benchmark is not met, or if a government does not set any target to
be met to begin with, this can also be construed immediately as a violation on the part of the
government. As for the “progressive realisation” approach, the findings over a period of time using
both process and result indicators could show whether a state is meeting its various obligations.

Overall, indicators are very valuable in expressing the magnitude of the problems in a certain
situation. However, their use cannot replace the “events” methodology, especially in addressing

27

grave violations like killings, evictions and disappearances. Also, a main weakness of the indicators-
based methodology lies in the fact that the focus is removed from the individual. In human rights
work, it is often necessary to know the details concerning victims, especially if direct assistance is to
be given.

On the other hand, it must be recognised that with sufficient data gathering, and with the aid of tools
and techniques for data analysis, the results of monitoring events can be transformed into indicators.
For instance, if there are sufficient and well-chosen samples that show the proportion of tortured
persons among all those arrested in local areas, a national projection can be made to give one
indication of the state of police conduct in handling arrested persons.

In short, the combination of the “events” methodology and the indicators-based methodology should
result in a comprehensive and detailed picture of a situation. This is especially needed in the field of
early warning, where information on the magnitude and nature of violations as well as on economic
and political realities is crucial to determine whether a situation is on the verge of plunging to
conflict.

6.5 Monitoring Laws and Policies and their Implementation

A substantial part of monitoring a country situation is studying the laws of the country and finding
out if there is progress in keeping with international standards.

First, it is necessary to find out what instruments have been signed, ratified or acceded to by a
government. Afterwards, a good place to start the study of national legislation is with the country’s
national Constitution, if there is one. A Constitution normally contains a Bill of Rights, and it would
be easy to determine how the provisions compare with universal standards. Afterwards, specific laws
that have been passed by the country’s legislature can be studied. Many of the laws relevant to
human rights can be found in national penal codes, for instance.

Laws pertain not only to those passed by the legislature. For instance, decisions by judicial bodies,
especially by the Supreme Court or the highest court in a country, become part of a law, and are
normally referred to as case law.

It must be borne in mind that laws have different levels of effectivity. Some laws are self-enacting,
while others need enabling laws for them to take effect. For instance, the Constitution may contain a
provision stating in general that torture is prohibited. This general statement, to be effective, would
require an enabling law to be passed by the legislature which should include, among others, the
definition of torture as a crime with corresponding penalties when committed.

The next step after studying existing laws is to monitor bills that are being proposed, drafted,
debated or passed in legislative bodies. The substance of each bill can be reviewed to see whether its
provisions warrant support or opposition. Moreover, NGOs can monitor how individual legislators
vote in relation to human rights issues, to form a concrete basis for lobbying plans.

An important piece of legislation concerns the national budget. Budget analysis can be done to see
whether the government has adopted policies and is serious in implementing these.

Annual reports of government organs from the national to the local levels can be studied to see if
laws, policies, programs and plans are implemented as intended. The various benchmarks set as

28

targets by governments, usually contained in multi-annual development plans, can be used as
standards.

6.6 Monitoring the Establishment and Progress of Human Rights Institutions and
Other Government Bodies Dealing with Human Rights

The Principles Relating to the Status and Functioning of National Institutions for the Protection
and Promotion of Human Rights, often referred to as the Paris Principles, were adopted in 1991 in
Paris at an international workshop convened by the U.N. Centre for Human Rights, and
subsequently endorsed by the Commission on Human Rights in 1992. The Paris Principles provide a
set of international standards that can be used in monitoring the establishment and performance of
such agencies as national human rights commissions, ombudsmen and specialised commissions.

The judiciary can also be regarded as a human rights institution in a way, as it is often the recourse
of citizens in seeking remedies for human rights violations. Hence, some organisations, including
international NGOs, monitor the independence of the judiciary. There is also a designated UN
Special Rapporteur on the Independence of Judges and Lawyers.

Institutions that deal with education and training may also be studied. For instance, it would be
valuable to determine whether basic human rights values are integrated in school curricula.
Professional training of government officials can also be looked into, especially in the case of law
enforcement authorities and the armed forces.

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7. HOW TO MONITOR A CASE

7.1 Casework

What constitutes a case is determined by the responding organisation. Normally, it is the situation of
an individual in regard of a certain aspect, e.g., legal or health. It is usually marked by the time when
an intervening organisation started providing a service until the termination of that service.

Legal casework deals with court matters and other legal processes that are undergone by the case of
a client in the quest for justice. The case should be monitored closely to ensure that the rights of the
client are not violated. For instance, many international instruments list a multitude of rights that an
accused and arrested person should enjoy, among them:

a. When arrested:
• Right to release in case of unlawful arrest

b. When accused and put on trial:
• Right to presumption of innocence
• Right to adequate time and facilities to prepare defence
• Right to trial by an impartial judiciary
• Right to trial by an independent judiciary
• Right to fair trial
• Right to public trial
• Right to free assistance of an interpreter
• Right to equality of arms
• Right to prompt and detailed information
• Right to prompt trial
• Right to legal assistance
• Right to non bis in idem (not to be tried or punished for an offence for which the accused has
already been acquitted or convicted)
• Right to determination of criminal charges
• Right to access to court
• Right to communication with defence
• Right to examination of witnesses
• Right to nulla crimen sine lege (not to be charged with a crime, if the act was not so defined
in law applicable at the time the act was committed)
• Right to nulla poena sine lege (not to be punished by a heavier penalty than the one that was
applicable at the time the offence was committed)
• Right to be heard in person
• Right to freedom from giving self-incriminating evidence
• Right to release pending trial (such as by posting bail)

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c. When sentenced:
• Right to appeal
• Right to seek commutation of sentence
• Right to seek pardon

It must be noted that the right to freedom from giving self-incriminating evidence has to be observed
even before a person is accused and put on trial, starting with the time when a person is arrested.

In monitoring the case of an arrested person, the fact-finder should discover whether the right
sequence of procedural steps was followed. For instance, the proper procedure in the arrest of a
person suspected of having committed a crime entails that a preliminary investigation by a competent
authority should be made first, which then serves as the basis for the issuance of a warrant of arrest.
The only way that this specific procedure can be ignored is when a person is arrested en flagrante
delicto (in the act of committing a crime).

Moreover, what can also be monitored are the respective lengths of time between different phases.
Many types of violations against accused persons are in the form of statutory time limits not being
respected. For instance, normally, an arrested person can only be be held for a limited number of
hours without charges. It would be a violation of his/her right if charges are not brought against
him/her promptly or if he/she continues to be held with no charges filed. Another example of a
common violation is when a trial drags on for a very lengthy period of time.

For purposes of illustration, on the next two pages is a flowchart showing the usual phases in a case
involving an accused and arrested person. Please note that what is presented are standards in a
certain country that may not apply in others. It is possible for the reader to develop a similar
flowchart, to be consulted in monitoring the progress of the case of an accused and arrested victim.

31

Flowchart used for Monitoring the Case of an Accused/Arrested Person

If the person is not yet arrested If the person had been arrested in the
act of committing a crime
Lodging by complainant of
Police (custodial)
complaint before the police
investigation

If police decides to If police decides not
Police investigation press charges to press charges

Filing of complaint with
fiscal
Filing of information Release from
by fiscal custody
Preliminary investigation
by fiscal

Notice for appearance to
submit counter-affidavits

Submission of
counter-affidavits

Decision by judge whether
there is probable cause or none

(continued on next page)

32

(continued from previous page)

If it is decided that there If it is decided that there is
is probable cause no probable cause

Appeal by defence Appeal by prosecution
contesting decision contesting decision

If appeal is If appeal is denied If appeal is granted If appeal is denied
granted

Issuance of warrant of Arrest (if not yet Petition for bail
arrest and/or fixing of bail arrested) and detention

If granted If denied

Provisional release Continued
from detention detention

Arraignment
If plea is “guilty” If plea is “not guilty”

Presentation of evidence
by prosecution

Presentation of evidence by If contested If not contested
defence

Motion of demurrer to
Presentation of rebuttal evidence
evidence by prosecution
If denied If granted

Presentation of sur-rebuttal
evidence by defence

Memoranda / closing
arguments by both parties

Deliberation by jury or
determination by judge
Dismissal of case
Promulgation If found “guilty” If found “not guilty”
of sentence

Imprisonment
If sentence is reversed

Filing of Commutation, parole or pardon Release
appeal If decision
is affirmed
Serving of full sentence

33

7.2 Monitoring the Rehabilitation of Clients

Another area of casework that NGOs engage in is the rehabilitation of victims of torture and other
causes of trauma. The steps that are usually taken by the responding NGO are:

a. Acceptance of client, such as through referral from other NGOs
b. General assessment of the client’s situation, to include documentation of the following:
• Personal Information
• Event information (the violation, its circumstances and related information)
• Injuries and consequences
• Medical and Psychological History
• Family, economic and legal situation
c. Development of a rehabilitation plan
• Medical assessment and suggested treatment
• Mental health assessment and suggested counselling activities
d. Implementation of rehabilitation plan
e. Evaluation of rehabilitation
f. Closure of case

7.3 Using Standard Formats and Controlled Vocabularies for Case Monitoring

While standard formats and controlled vocabularies are very useful in monitoring situations, they are
also equally useful in case monitoring. The HURIDOCS Events Standard Formats in particular
include formats for recording information on specific details of cases like arrests, torture and killings,
as well as details on related legal developments. There are corresponding Micro-thesauri to use in
recording these details, such as those enumerating methods of torture, types of detention and types
of courts. Moreover, there is a format specifically used for recording interventions such as legal,
medical or other forms of assistance. Users can in fact modify the format to make it more
appropriate for local use, such as in monitoring the rehabilitation of trauma victims.

34

8. HOW TO ANALYSE DATA

Monitoring aims to identify and expose the problems that can be found in a given situation, as well
as to take note of progress. There is need for data analysis to unearth problems or signs of
improvement that are not discovered at first glance, to show their ramifications, or to present the
findings in a clearer and more convincing manner. There are various tools and techniques of data
analysis that can be used, and a few of them are discussed here for purposes of illustration, namely:
time series, use of charts or plots, and cross-tabulation.

Time series is a series of values (measurements or counts) occurring at successive times. For
instance, the following is a set of time series data:

Year Number
1995 26
1996 41
1997 12
1998 97
1999 83
2000 11

Table 1. Number of extra-judicial executions in Country X

The graphic presentation of data through charts and plots enhances visibility and allows the
determination of patterns more readily. For instance, the data above can be presented as a time series
plot as follows:

100 -----------------------------------------------------------
90 -----------------------------------------------------------
80 -----------------------------------------------------------
70 -----------------------------------------------------------
60 -----------------------------------------------------------
40 -----------------------------------------------------------
30 -----------------------------------------------------------
20 -----------------------------------------------------------
10 -----------------------------------------------------------
0 -----------------------------------------------------------
1995 1996 1997 1998 1999 2000
YEARS

Graph 1. Number of extra-judicial executions in Country X

Deeper analysis of data can be made by correlating variables. For instance, let us suppose that in a
certain town, 73 persons were arrested for violation of curfew. Of the 73 persons, 40 belong to the
majority ethnic group, while 22 belong to the minority ethnic group. Everyone is detained but for
different durations, ranging from 1 day to 4 days. To determine whether there is correlation between
length of detention and ethnicity, a cross-tabulation can be made as follows:

35

Ethnicity
Duration of Majority Minorit Total
detention y
1 day 28 3 31
2 days 7 5 12
3 days 4 10 14
4 days 1 4 5
TOTAL 40 22 62

Table 2. Correlation between ethnicity and length of detention of arrested persons in Town X

It can be easily seen that indeed there is correlation between the two variables (length of detention
and ethnicity). The findings could become even more evident if the figures are translated to
percentages and charts are drawn up from the figures.

If the appropriate controlled vocabularies are drawn up (such as the HURIDOCS Micro-thesauri)
and employed, it is possible to generate various statistical outputs. For instance, one can output
statistics about victims disaggregated in terms of type of victimisation, sex, ethnic background and
any other criteria, singly or in combination. Similarly, it is possible to show various kinds of
information about perpetrators, such as their levels of involvement, areas where the events in which
they are involved occurred, etc.

The reader can consult the book Data Analysis for Monitoring Human Rights4 for a more elaborate
discussion of the available tools and techniques for human rights data analysis.

4
Spirer, Herbert F., and Louise Spirer. Data Analysis for Monitoring Human Rights. Washington D.C.:
American Association for the Advancement of Science in co-operation with HURIDOCS, 1993. New edition
forthcoming.

36

9. WHAT MORE CAN BE DONE

This manual attempts to provide an overview of monitoring, showing various avenues for work by
human rights organisations. One avenue is working with intergovernmental bodies, especially the
treaty-monitoring bodies.5

The Office of the U.N. High Commissioner for Human Rights has not been cited in the discussion of
monitoring activities by IGOs. It must be stated however that it plays a crucial role in monitoring,
which is basically by coordinating the programs and activities of the various human rights bodies.
For one, it discharges the secretariat functions needed by the various treaty-based committees. It is
also a rich source of information in discovering what is being done by various U.N. bodies to
promote and protect human rights.

Below are other possible kinds of activities that human rights NGOs can do to be more effective in
their monitoring work.

9.1 Monitoring Government Plans

An area which NGOs can consider, either for active participation or for monitoring afterwards, is the
development of multi-annual economic and social development plans by governments. In many
cases, benchmarks are set by governments to comprise these plans. NGOs can undertake
mobilisations to air concerns that can be considered by the authorities in the course of planning.
When the plans are finalised, the NGOs can use them as the standards in monitoring the
achievements of the government.

9.2 Adapting and Developing Indicators

Human rights NGOs should also study existing indicators as used by intergovernmental and
governmental bodies, to see whether they are applicable or whether they need some adaptation for
local use. It is also possible to develop indicators that NGOs themselves can use, given that they do
not possess the resources which governments have in conducting large-scale data collection.

HURIDOCS and the Science and Human Rights Program of the American Association for the
Advancement of Science (AAAS) administer a project that aims to develop methodologies for

5
To learn more about the intergovernmental bodies – their work and how to contact them – the reader is
referred to:
Office of the High Commissioner for Human Rights (Geneva), United Nations Institute for Training and
Research (UNITAR) and United Nations Staff College Project (Turin). Manual on Human Rights Reporting :
Under Six Major International Human Rights Instruments. Geneva: United Nations, 1997.
Office of the High Commissioner for Human Rights, and United Nations Library. Human Rights on CD-ROM
1999: Bibliographical References to United Nations Documents and Publications. Geneva: Office of the
High Commissioner for Human Rights, and United Nations Library, 1999.
United Nations. Office of Legal Affairs. Guidelines for the Conduct of United Nations Inquiries into
Allegations of Massacres. New York: United Nations, 1997.
United Nations Centre for Human Rights (ed.). Human Rights: A Compilation of International Instruments.
vol. 1. New York: United Nations, 1994.

37

monitoring economic, social and cultural rights. The project will produce a number of manuals that
can be used in monitoring specific rights. These rights-specific manuals cover the use of appropriate
indicators as tools for monitoring.

9.3 Preparing Shadow Reports

Another avenue that NGOs can consider is the submission of “shadow” or alternative reports.
Shadow reports are those prepared by NGOs to provide information that supplements the periodic
reports of governments to treaty-monitoring bodies. A shadow report can be comprehensive,
equalling the scope of what the government is supposed to report on, or specific, focusing on certain
issues, especially particular, persistent and egregious problems. The goal is to make the treaty-
monitoring body, as well as the government concerned, aware of the problems as seen by the NGOs.

A number of NGOs should work together in preparing shadow reports. This is so that a broader
range of information can be put together. The group also gains more credibility because of its
number, and thus should weigh more in the eyes of the treaty-monitoring body or government.

It is best if the group can obtain a copy of the initial report of the government. From there, it can
come up with a list of questions related to gaps or inaccuracies in the governmental report. It can
submit the list to the treaty-monitoring body, for consideration in the development of “list of issues”
to be taken up with the reporting government. It can also use the list of questions as a guide in
preparing an alternative report that highlights the inaccuracies and fill in the gaps in the government
report.

9.4 Conclusion

While it is suggested that work with intergovernmental bodies should be done, it must be stressed
that work in the domestic level remains to be more important. Monitoring should have as its main
goals the following: influencing national laws and policies, educating the people and mobilising them
on issues of lack or inadequacy of government response. Human rights organisations should use the
results of international work, such as comments by treaty-monitoring bodies or findings by U.N.
Special Rapporteurs, as additional means available to strengthen the moves made at the national and
local levels.

There is also a need for greater collaboration and coordination of work among various NGOs in
order to analyse whether real and urgent needs are met. If human rights NGOs with various
mandates work together, a collective picture of what is happening in a country may be pieced
together, and more effective human rights protection and promotion strategies can be considered
and implemented.

38

GLOSSARY

case - the continuous succession of developments concerning an individual client’s situation, especially in
regard of a certain aspect, e.g., legal or health, usually marked by the time when an intervening
organisation started providing service until the termination of that service

controlled vocabulary - a list of terms or descriptors which are as exhaustive and mutually exclusive as
possible, and where preferred terms have been chosen over other possible terms, for use by
documentation workers and users in handling information

data - pieces of information which need to be analysed further to arrive at a conclusion. Note that in the field
of information science, data is defined as “symbols that need to be processed so as to provide
information “. In social research, the data that are referred may already be informative at a basic level,
but are seen to need further analysis to reveal more information.

documentation - the systematic recording of the results of the investigation of an event or the examination of
a client’s situation

early warning - the presentation of an assessment of a certain situation citing the likelihood of the outbreak of
conflict, especially violent conflict, well in advance so that mechanisms of intervention can be set up
before the actual outbreak

event - something that happens, with a beginning and an end, and which progresses until its logical
conclusion. It could be a single act, a series of related acts, or a combination of related acts happening
together. Moreover, at least one act that it contains should qualify as a human rights violation (e.g.,
arbitrary arrest which is a violation of the right to liberty), or is akin or similar to such (e.g., legal
arrest).

fact-finding - the process of identifying the violations in one event, and establishing the facts relevant to these
violations. Fact-finding and investigation are interchangeable terms.

field - the space in a format where a piece of information is recorded, such as a document title, name of author or
number of pages

format - an empty form, consisting of fields, on which information can be recorded. The form can be on
paper, or a layout on a word processor, or it can be an entry layout within a database program.

micro-thesaurus - a short controlled vocabulary, consisting of terms meant for a specific field

monitoring - close observation of a situation or individual case, carried out over a long period of time, with
reference to accepted norms, with the purpose of providing an assessment that serves as basis for further
action

record - a description of one thing, person, group of persons, event or any other entity, consisting of data entered in a
set of fields. In other words, a completed format is called a record.

standard format - a set of fields, arranged in a pre-determined way, with prescribed scope notes. A
completed standard format becomes a record.

39

BIBLIOGRAPHY

Buhl, Dana, and Ann Blyberg (eds.). Ripple in Still Water : Reflections by Activists on Local- and National-
Level Work on Economic, Social and Cultural Rights. Washington D.C.: International Human Rights
Internship Program, 1997. 125 p. Available in English, Arabic, French and Spanish from International Human
Rights Internship Program, 1400 K Street, N.W., suite 650, Washington D.C. 20005, United States.

Dueck, Judith, Manuel Guzman and Bert Verstappen. HURIDOCS Events Standard Formats: A Tool for
Documenting Human Rights Violations. Versoix: HURIDOCS, 2001. xiii, 245 p. ISBN: 92-95015-00-2.
Available from HURIDOCS.

Dueck, Judith, Manuel Guzman and Bert Verstappen. Micro-thesauri: A Tool for Documenting Human
Rights Violations. Versoix: HURIDOCS, 2001. vi, 190 p. ISBN: 92-95015-01-0. Available from
HURIDOCS.

Guzman, Manuel. Getting the Facts Down: Documenting Human Rights Violations. Bangkok: Asian Forum
for Human Rights and Development - Forum-Asia, 1997. 92 p. ISBN 974-89876-1-2. Available from Forum-
Asia, 109 Suthisarnwinichai Road, Samsennok, Huwaykwang, Bangkok 10310, Thailand.

Hansen, Stephen A., Thesaurus of Economic, Social, and Cultural Rights: Terminology and Potential
Violations. Washington D.C.: American Association for the Advancement of Science and HURIDOCS, 2000.
282 p. ISBN 0-87168-644-9. Available from AAAS Distribution Center, P.O. Box 521, Annapolis Junction,
MD 20701, United States. On-line version at <http://shr.aaas.org/ ethesaurus/>.

Sustainable Measures. Indicators of Sustainability : Everything You Want to Know about Indicators.
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Jabine, Thomas B. and Richard B. Claude (eds.). Human Rights and Statistics: Getting the Record Straight.
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McChesney, Allan. Promoting and Defending Economic, Social & Cultural Rights: A Handbook.
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20701, United States.

International Human Rights Internship Program, and Asian Forum for Human Rights and Development.
Circle of Rights: Economic, Social & Cultural Rights Activism: A Training Resource. Washington D.C.:
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Office of the High Commissioner for Human Rights (Geneva), United Nations Institute for Training and
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Human Rights Fact Sheet No. 19. 17 p.

41

This volume is part of a series of how-to practical manuals aimed to help build the capacity of human rights
organisations with regard to monitoring and documentation.

The series consists of the following manuals:
Volume 1: What is Monitoring
Volume 2: What is Documentation
Volume 3: How to Set Up Your Documentation Centre
Volume 4: How to Index
Volume 5: How to Record Names of Persons
Volume 6: How to Search Information
Volume 7: How to Handle Special Kinds of Information Materials
Volume 8: How to Do Meta-Tagging

Human Rights Information and Documentation Systems, International (HURIDOCS)
48 ch. du Grand-Montfleury
1290 Versoix, SWITZERLAND
Tel. 41 22 755 5252 / Fax. 41 22 755 5260
E-mail: info@huridocs.org
Website: http://www.huridocs.org

42

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