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Full text of "Mainstreaming Human Rights-Based Approach in Selected Development & Governance Projects"

CHAPTER 1 
OVERVIEW OF THE STUDY 



A. Introduction /Rationale 

Human rights aspirations date back from ancient times, and are as old as human society 
itself resulting from people's struggle against all forms of injustices. These aspirations 
represent the dignity to which every human being is entitled to. Over time the gaps 
between these human rights aspirations and reality became apparent. In order to mend 
these gaps, the UN Family promulgated the International Human Rights Framework 
consisting of declarations, Covenants and Conventions in order to guide states and 
governments in their pursuit of development. 

One gap in human society is massive poverty that persists and subsists both at the global 
and country levels. Kofi Anan who instructed the entire UN organization in 1997 to 
"mainstream" human rights into all its programs said that: 

Human rights are as fundamental to the poor as to the rich, and 
their protection is as important to the security and prosperity of the 
developed world as it is to that of the developing world. It would be 
a mistake to treat human rights as though there were a trade-off to 
be made between human rights and such goals as security or 
development. We only weaken our hand in fighting the horrors of 
extreme poverty or terrorism if in our efforts to do so, we deny the 
very human rights that these scourges take away from citizens. 
Strategies based on the protection of human rights are vital for both 
our moral standing and the practical effectiveness of our actions. 

The Philippine commitments to human rights are explicitly expressed in its ratification of 
among others, the eight (8) core International Human Rights Treaties. These treaties are 
International Covenant on Civil 

and Political Rights (ICCPR) International Covenant on Economic, 
Social and Cultural Rights (ICESCR), Convention Against Torture (CAT), 
Convention on the Rights of the Child (CRC), Convention on the 
Elimination of all Forms of Discrimination Against Women (CEDAW), 
Convention on the Rights of Migrant Workers (CMW) and Convention 
Against Racial Discrimination (CERD) and Convention on the Rights of Disabled 
Persons (CRPD) 

These carry with it the State obligation to comply with the provisions of these treaties. 
However, there is a wide divide between committing to and substantially complying with 
human rights standards under these treaties, except for reportorial compliance. Over the 
past three years since the revitalization of the Presidential Human Rights Committee 



(PHRC) in 2006, the Philippines as of July 2008 has updated its periodic reports under 
these treaties. Its 3rd report for the ICCPR has been delayed but it will be submitted by 
end of year 2009. There have 

been five (5) considerations of these Philippine Reports by the respective international 
monitoring committees . And among their observations were, among others, the lack of 
implementation of human rights standards in the domestic legislations, and the 
inadequacy of government mechanisms, programs and remedies to improve the human 
rights situation in the country. 

The introduction of the HRBA worldwide is one resolute attempt to bridge the divide 
between commitment to and compliance with the international human rights treaties at 
the domestic level. As envisioned by the United Nations, HRBA capacitates not only the 
States, but also the civil society organizations to implement human rights in order to 
improve the quality of life of the people worldwide especially those in poverty situation. 

The HRBA is also seen as an attempt to "de-mystify" human rights and pragmatically 
engage development institutions to the realities of poverty powerlessness, inequities, and 
social exclusion affecting the poor, disadvantaged and marginal sectors both at the 
international and country levels. 

B. Problem Statement 

The 2007 Universal Periodic Review on the Philippine Human Rights Situation has 
raised serious concerns on the compliance of the country with its obligations under the 
International Human Rights Treaties. The Philippines is a State party to eight (8) core 
International Human Rights Treaties, among others. These treaties are International 
Covenant on Civil and Political Rights (1966) International Covenant on Economic, 
Social and Cultural Rights (1966), Convention Against Torture (1984), Convention on 
the Rights of the Child (1989), Convention on the Elimination of all Forms of 
Discrimination Against Women (1979), Convention on the Rights of Migrant Workers 
(1990) and Convention Against Racial Discrimination (1965) and Convention on the 
Rights of Disabled Persons (2009). 4 The various treaty bodies monitoring Philippine 
compliance had explicitly expressed common observations in their concluding 
recommendations the need to observe human rights standards and commitments under 
the treaties towards improving conditions of poverty and human rights situation in the 
country. 

HRBA was introduced in the country to complement the compliance approach. 
However, understanding HRBA and how it is applied in the country is another serious 
concern. Many practitioners and advocates of the approach have shared the lack of 
national and local capacities that would support its application. 

Running on its 8 th years of application in the country, HRBA has remained a mystery to 
most. There is a general lack of common understanding of HRBA more concretely 
beyond theories and concepts. Since HRBA was introduced in the Philippines in 2002, 
advocates and practitioners of the approach have been grappling with concrete proofs on 



how HRBA is being done in specific situations or processes of development or 
governance. 

In addition to the very limited number of HRBA experts who would be in a position to 
propagate its use in the country, there is general lack of coherent documentation of good 
practices of HRBA in the Philippines. There is also dearth of dissemination of HRBA 
initiatives among key practitioners, which made the use of the approach less 
institutionalized. 

Most practitioners of HRBA have expressed the lack of more demonstrable conceptual 
and operational frameworks and indicators that would exemplify the application of 
HRBA to enhance the competencies of HRBA advocates and practitioners in both 
government and non-government institutions. 

The approach has not been institutionalized at the operation level. The Commission on 
Human Rights of the Philippines (CHRP) has, time and again, openly expressed in the 
various orientations and trainings it conducted on the approach, the need for political will 
of vital institutions of government to advance its practice and application with or without 
development assistance 

In sum, even if the advocacy on the HRBA has been achieved at the international level, 
much is yet to be desired in terms of convincing key sectors of Philippine society to do 
HRBA at the policy, program and operation levels in the context of development and 
governance. The practice of HRBA in the country has done minimal progress as most of 
the initiatives to implement the approach are confined to UNDP supported projects. The 
lack of studies that illustrate how HRBA is being done over the years, its contributions 
and added value to both development and governance in the country is a major concern 
for the study. 



C. Objectives of the Study 

This study seeks to de-mystifying the practice of HRBA in the country. It is conceived to 
investigate the practice of HRBA as applied both by government and civil society for the 
past eight (8) years. Specifically, the study aims to: 

1. Analyze how HRBA is operationalized, practiced and promoted in selected 
development projects in the country ; 

2. Analyze the different modalities of HRBA practices and to draw up evidence- 
based indicators to measure its success 

3. Draw insights and lessons of the HRBA practice in terms of its sustainability and 
replicability; and 



4. Examine the added value of the approach and its prospects and implications in 
governance and development 

The study focuses on selected governance and development projects under the 
Governance Portfolio of the Government of the Philippines (GOP) and the United 
Nations Development Programme (UNDP). The Governance Portfolio is one of the four 
(4) areas of cooperation program framework of the UNDP with the Philippine 
Government that seeks to improve poverty conditions in the country through the capacity 
building of government institutions and civil society and mainstreaming into the process 
the standards and practices of human rights. 



The Governance Portfolio of the GOP-UNDP took more serious steps to institutionalize 
HRBA in all UNDP assisted governance projects. The Portfolio identified as criteria for 
assistance the mainstreaming of HRBA under its nine (9) Portfolio Programmmes. These 
programmes include Legislative Reform, Managing Globalization, Economic 
Management and Civil Service, Right to Development, Judicial and Justice Reform, Anti- 
Corruption, Governance Review, Decentralization and Local Governance and Political 
and Electoral Reform. 

As an advocacy for project assistance, agencies and organizations undertaking projects 
are made to undergo General Orientation on HRBA. This started in the 1 st cycle of the 
Governance Portfolio from 2002-2004 through the nine (9) cluster programmes and 
sustained through the proponents' Orientation Program on HRBA conducted by the 
Commission on Human Rights of the Philippines (CHRP) for 30 UNDP projects under 
the Governance Portfolio. The same practice was observed at the start of the 2 n cycle of 
the Governance Portfolio in August 2005. General Orientation covering among others, 
the HRBA was given to proponents of some 35 projects focusing this time on HRBA 
Capacity Building for both duty-bearers and claimholders involved in the various 
projects. Moreover, as a criterion for development assistance, the portfolio integrated 
HRBA into its templates requiring the mainstreaming of human rights into the various 
stages of the projects covered by UNDP support. 

At the UNDP level, HRBA was applied for development programming and project 
development. The CHRP expanded its framework on HRBA in Development and 
Governance encouraging its application not only at the project level but also as a 
perspective, framework and tool in the implementation of agency and organization 
mandates, programs and operations. On its own, the CHRP integrated into its regular 
education and training programs the HRBA Framework and further developed standard 
orientation and training modules and a systems and tools manual on HRBA in 2002- 
2003. 



D. Research Methodology 



The Case Study method was used in this study. Through this method, six (6) modalities 
of HRBA were produced responding to the following research questions: 

1. How the HRBA was applied and practiced in specific development or 
governance initiatives? 

This study reviewed the experiences of the lead proponents of the projects covered by the 
study in terms of how they were able to apply the approach in meeting the development 
objectives of their projects, how they were able to apply relevant human rights standards 
in their plans and activities. Concomitantly, this dissertation sought answer as to the 
application of the HRBA in governance in terms of capacity building of project 
stakeholders relative to how they were able to make relevant government stakeholders 
accountable for the fulfillment of the rights entitlements of specific target vulnerable or 
disadvantaged groups, how they were able to carry out these plans and activities with 
support coming from both the target groups claiming their rights and government 
agencies, which have the duty to comply, by what forms, instruments and means were 
these accountabilities and entitlements fulfilled, how was the implementation of these 
instruments and means monitored and by what human rights measures were these 
evaluated. 

2. What are the common elements, processes and measures observable in these 
HRBA practices? How do these contribute to the achievement of both the 
development and governance objectives in selected UNDP projects? 

This study made attempt to organize and analyze all available data and information to 
approximate the modalities or ways of how to do HRBA highlighting the peculiarities, 
probable rudiments and procedures, methods and tools, benefits and contributions and 
lessons learned from operational issues, constraints and risks, policies and institutional 
arrangements, resources and considerations for sustainability, as observed in specific 
development or governance initiatives. 

3. How would the HRBA stakeholders, both the duty-bearer and claimholders be 
capacitated in order to contribute to the larger goals of development and 
governance and what are their competency requirements? 

This study explored a general policy framework to reorient the perspective of key 
stakeholders on a rights-based development or rights-based governance through the 
HRBA with or without international support. This policy framework would build upon 
the "selling point" of the good examples of modalities of HRBA established by the study. 
The dissertation would also examine the basic competency requirements for HRBA 
practice in selected projects. 



Research Design 

The study is a qualitative research that built upon a systematic and holistic picture of the 
different HRBA modalities drawn from the information and data generated from the 
actual application of HRBA in selected sample projects. 



TABLE 1 - RESEARCH DESIGN 



Objectives of the 
Study 

1. Analyze how HRBA 
is operationalized, 
practiced and 
promoted in selected 
development 
projects in the 
country ; 

2. Analyze the 
different modalities 
of HRBA practices 
and to draw up 
evidence-based 
indicators to 
measure its success 



Combination of 
Methodology 

Case Study of six 
selected projects; 
and 



Collective case 
analysis for 
triangulation and 
validation 



Sample Size 

Six (6) selected 
projects of the GOP- 
UNDP Governance 
Portfolio 



3. Draw insights and 
lessons of the 
HRBA practice in 
terms of its 
sustainability and 
replicability; and 

4. Examine the added 
value of the 
approach and its 
prospects and 
implications in 
governance and 
development 



Conduct of User 
Satisfaction Rating 



Conduct of 
Structured Interview 
with Implementing 
Partners and other 
HRBA practitioners 



10-15 Project 
Stakeholders 

Direct participant 
Project proponent 
Implementing partner 
Other HR Practitioners 



Case Study Method 



The case study was used both for the process and output. The use of this method was 
characterized by the researcher's spending extended time, on site, personally in contact 
with activities and operations of the case reflecting and revisiting meanings of what was 
going on (Stake, 2003, 203). As further defined, what dictates the case is the purpose of 
the investigation. In this case in point, the holistic account of the HRBA application in 
selected projects, and not the projects per se, was the purpose of investigation. 



Two (2) types of this method were employed. These are: a) instrumental case study and 
b) collective case study (Stake, 1994, 237). Both types were required to do an 
examination of the phenomenon involved with the application and practice of HRBA. 
The same parameters discussed earlier were used for the case analysis and collective case 
analysis. Designs for both the instrumental case analysis and collective case analysis are 
contained in Appendix J. 

For the instrumental case study involving six (6) selected projects, the purpose was to 
investigate the operationalization of the concepts and practices of HRBA as applied in 
selected projects. These projects involve HRBA mainstreaming in a) policy reform, b) 
localization of the Millennium Development Goals (MDGs), c) setting of indicators, d) 
government reorganization, community participation in local development and e) 
implementation of international human rights treaties. The profiles of these cases are 
shown in the following table: 



TABLE 2- CASE PROFILES 



PROFILE 


CASE NO. 1 


CASE NO. 2 


CASE NO. 3 


CASE NO. 4 


CASE NO. 5 


CASE NO. 6 




LEGAL 


DEVELOPING 


RIGHT TO FOOD 


IMPLEMENTING 


MEDIA- 


NATIONAL 




EMPOWERMEN 


SN. FERNANDO 


PROJECT 


E.O. 366: A 


COMMUNHY 


HUMAN RIGHTS 




T OF THE POOR 


CITY AS A 




PRACTICAL 


ACTION ON 


ACTION 






RESOURCE 




GUIDE FOR 


MAINSTREAMI 


PLANNING 






CITY 




MANAGING 

THE CHANGE 

PROCESSES 


NG HRBA AT 

THE LOCAL 

LEVEL 

DEVELOPMENT 






ESCR Asia, Inc. 


San Fernando City 


Commission on 


Department of 


Center for 


Presidential 


Proponent 




Local Government 


Human Rights of the 


Budget and 


Community 


Human Rights 








Phil. 


Management 


Journalism and 
Development 


Committee 


Sector 


Informal Labor 


Local Government 


National Government 


Public Sector 


Media and 


All Vulnerable 


Involved 






Agencies 




Community 


Sectors 


Project 


National and 


Sn. Fernando City 


National 


National 


Selected Local 


National and 


Scope 


Regional 


and its Barangays 






Communities 


Regional 


Project Start 


4th Quarter of 

2006 


3 rd Quarter of 

2007 


4 th Quarter of 2005 


4 ,h Quarter of 2006 


2" d Quarter of 

2002 


2004 up to present 


Status, as of 


Completed in 


Completed in June 


Completed in 


Completed in 2 nd 


Completed in 


Ongoing 


date 


December 2007 


2008 




Quarter of 2007 


2004 





For the collective case study, the purpose is for triangulation, meaning multiple sources 
such as the six (6) project cases were used aimed at corroborating the same facts or 
phenomenon on the application and practices of the HRBA, using the above HRBA 
boundaries and parameters, which were identified specifically for purposes of this study. 
Thus from the strengths and biases of the six project cases were drawn complementing or 
substantiating analyzes from multiple sources such as documents, observations, 
interviews and consultations. Under this method, all the instrumental cases were treated 
as one whole case study. The collective case analysis was done using the single case 
design with findings contributing to the collective case, while retaining each case as a 
single case. Generalizations for collective case analysis were guided by an assessment of 
the HRBA parameters applied across the case studies. 

Findings and analysis of both the instrumental and collective case analyses were further 
validated and augmented by structured interviews. As designed, structured interview 
(Appendix L) was conducted among official representatives of projects designated by 
heads of agency proponents. . From the development partners, the European 
Commission and Asia Foundation responded also. All in all, seventeen (17) institutional 
representatives were interviewed. HRBA user satisfaction was also rated to augment the 
findings on the use of HRBA in each case. 



E Conceptual Framework of the Study 



Resulting from a detailed review of literature on HRBA, the study adopted the following 
conceptual framework, which guided the conduct of this empirical study that would 
address the problem statement and research questions on the practice of HRBA in the 
country. The framework follows the theory that on the basis of what the international 
human rights framework offers, there could be a progressive enjoyment of human rights 
to which every human being is entitled since man's beginning, if the HRBA is used to 
mainstream the core principles, standards, state obligations and people's entitlements, 
which are embodied in the International Human Rights Framework to include UN 
Declarations, International Covenants and Conventions. 



FIGURE 1 : CONCEPTUAL FRAMEWORK 



INTERNATIONAL HUMAN 
RIGHTS FRAMEWORK 



HR PRINCIPLES, 
HR STANDARDS, 

HR STATE 

OBLIGATIONS, 
HR 

ENTITLEMENTS 

RELATION 

BETWEEN DUTY- 
BEARERS & 

C.LATMHOLDERS 



DEVELOPMENT 

OR 

GOVERNANCE 

INTERVENTIONS 

(PROJECTS) 




HUMAN RIGHTS 

FOCUSED 

DEVELOPMENT 

BETTER 
GOVERNANCE 




POLICIES & 
MEASURES SECURING 
RIGHTS 

ACCOUNTABLE 
STAKEHOLDERS: DUTY- 
BEARERS AND 
CLAIMHOLDERS 

EMPOWERED SECTORS 



Source: Original design 



Figure 1 projects the mainstreaming of HRBA into the various development and 
governance interventions based on the International Human Rights Framework 
characterized by the following processes: 



1. The mainstreaming of HRBA through the application of human rights 
principles and human rights state obligations and people's entitlements in 
defining development problems and capacitating governance stakeholders 
involved in the projects; 

2. The mainstreaming of HRBA in the projects through the application of 
human rights principles and standards yield to outputs such as rights-based 
policies and measures, more accountable and obligation-bound 

stakeholders and empowered sectors with their rights entitlements 



The contextualized implementation of the International Human Rights 
Framework for mainstreaming human rights through the use of local 
parameters such as the mainstreamed rights-perspective, the methods and 
tools used, the human rights content of outputs and outcomes and the 
institutional policy and organizational support that guarantee HRBA 
application; and 

The rights-orientation of outcomes both in terms of content and process 
towards a human-rights focused development and good governance that 
serve as enabling environment for the constant development of the people 
in larger freedom and exercise of rights. 



As used in the study. HRBA is operationally defined as discussed below: 



HRBA is mainstreaming of the HRBA core elements comprising of 
Human rights principles, standards, obligations and entitlements as criteria 
and guide for development or governance processes. It is not a separate 
approach or a substitute to any existing development or governance 
process. 

HRBA provides a paradigm shift of understanding the status or conditions 
of people from needs to rights perspective. This means that needs 
correspond to certain rights guaranteed under the international human 
rights treaties or national human rights laws; 

HRBA facilitates mainstreaming of human rights principles in capacitating 
governance stakeholders. The application of human rights principles 
follows the universal definition. For purposes of this study, the principle 
of accountability is herein applied in terms of the state or government 
complying with its human rights obligations while empowerment means 
capacitating the vulnerable groups based on their rights entitlements. 

HRBA is an approach that guides the planning, analyzing, advocating, 
assessing and monitoring of processes or initiatives using human rights 
criteria and measure. It does not introduce a new process of policy 
making, program and project development and implementation but works 
within the existing established processes. 

HRBA works between the interaction of the duty-bearer (mostly referred 
to as the state/government actor) and the rights-claimholder (people 
especially the vulnerable and disadvantaged sectors). The private actors 
referring to business comes in as non-state actor regulated by the 
government; and 



10 



Continued practice and mainstreaming of human rights in development or 
governance processes contribute to attaining human-rights-focused 
development and better governance. 



This definition is illustrated in Figure 2 below: 



Figure 2: HRBA Operational 
Definition 



SHIFT FROM NEEDS TO 
RIGHTS PERSPECTIVE 



CAPACITY BUILDING 
BASED ON STATE 
OBLIGATIONS-BOUND 
ACCOUNTABILITY 




PEOPLE 
EMPOWERMENT 
BASED ON SECURING 
HUMAN RIGHTS 
ENTITLEMENTS 



HUMAN RIGHTS AS 
CRITERIA & GUIDE FOR 
DEVELOPMENT OR 
GOVERNANCE POLICIES, 
PLANS, MEASURES, 
REMEDIES, ETC. 



Source: Original Design 



Definition of Terms 



The following definition of terms is adopted from the International Human Rights 
Framework and used for purposes of the study. Any and all references made to the use of 
the following terms in the study would be based on the explanation provided below: 



11 



1. Human Rights -UNDP in its Human Development Report in 1960 defined 
human rights as the supreme, inherent and inalienable rights to life, to dignity and to self- 
development. It is the essence of these that makes man human. There are two sets of 
rights namely: civil and political rights and economic, social and cultural rights. There is 
no such thing as prioritization or hierarchy of rights based on the human rights principles 
that human rights are universal, indivisible and interrelated. 

2. Human Development - UNDP in its 2001 Report explains that human 
development is the expanding choices for all people in the society, wherein men and 
women, particularly the poor and the vulnerable, are at the center of the development 
process. It also means the protection of the life opportunities for future generations... 
and ... the natural systems on which all life depends, thus creating an enabling 
environment in which all can enjoy long, healthy and creative lives. This has been the 
concern of every society considering the persistence of global poverty and powerlessness, 
wherein achievements of societies with regard to basic human rights indicators or indexes 
are relatively low in developing countries. 

3. Development - As enunciated in Article 1 of the UN Declaration on the 
Right to Development, development is a comprehensive economic, social, cultural and 
political process aimed at the constant improvement of the self-being of the entire 
population and of all individuals on the basis of their active, free and meaningful 
participation in development and in the fair distribution of the resulting benefits. 9 Over 
the past many decades, there had been continuous search into how development can be 
approached and achieved both as a process and an end, as well as the priorities that 
societies should look upon to make development benefits distributive and equitable. This 
is one priority agenda in the Philippines in relation to the human rights conditions of the 
vulnerable and disadvantaged sectors of the country. 

4. Human Rights Principles - According to Aurora Parong in her article on 
Principles and practices of Human Rights, the principles of human rights are embodied in 
international human rights laws such as the International Bill of Human Rights as well as 
other human rights declarations. 10 These principles are essential conditions to facilitate 
the definite enjoyment of rights and these principles originated from human rights norms. 
These human rights principles are universality, non-discrimination and equality, attention 
to vulnerable groups, equity, indivisibility, interdependence and interrelatedness, 
accountability, people's participation, empowerment, good governance, independence of 
the Judiciary, legislative capacity and transparency. These principles work in various 
ways but basically serve as criteria of processes of achieving human development. Some 
of these principles are similarly viewed as a helpful guide in capacitating the different 
governance stakeholders particularly the principles of accountability, transparency and 
rule of law. These human rights principles are regarded as one of the core elements of 
HRBA. 

5. National and International Framework - As explained in the UNDP 
Training Manual on the Rights-Based Development Training Manual issued in 2002, 
human rights are standards of human dignity rooted in every culture, religion and 



12 



tradition throughout the world. Their inclusion in the UN Charter means human rights 
are no longer exclusively with in the domestic jurisdiction of states but they are 

i n 

legitimate concerns of the international community. It also, consists of international 
human rights law consisting of customary law (including non-binding declarations and 
general comments, etc.) and treaties and the national framework as the Constitution and 
domestic laws. 

6. Human Rights Instruments - As described in the same UNDP manual, it 
says that human rights instruments refer to two types: Human Rights Treaties also known 
as conventions or covenants; and UN Standards also known as UN Principles, Rules and 

i a 

Declarations. ' These are instruments that address the status and level of enjoyment of 
rights of people in different societies, incorporating therein the universal response and 
standards of human rights observance. 

7. Human Rights Treaties - Based on the International Human Rights 
Framework, the idea that human rights should be enjoyed by every human being goes 
back to man's beginnings. But the protection and promotion under international law 
those human rights are still in infancy compared to the system of government. It is thus 
the intention of the international treaties to narrow the existing gaps between human 
rights aspirations and reality to ensure that each human being is accorded the dignity he is 
entitled to. Thus, as defined these treaties also known as conventions or covenant are 
formal legal texts to which states become parties and which create binding legal 
obligations. The following are seven fundamental human rights treaties ratified by the 
Philippines: International Convention on the Elimination of All Forms of Racial 
Discrimination (CERD); International Covenant on Civil, Political Rights (ICCPR); 
International Covenant on Economic, Social and Cultural Rights (ICESCR); Convention 
on the Elimination of All Forms of Discrimination Against Women (CEDAW); 
Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment for 
Punishment (CAT); Convention on the Rights of the Child (CRC); and Convention on the 
Protection of the Rights of All Migrant Workers and Members of their Families 
(MWC). 15 Each of these treaties have monitoring bodies serving as the oversight for the 
status of implementation of the treaties in different societies especially the UN member 
signatories, which carry human rights state obligations having signed the treaties. The 
various treaty bodies deliberate on the different country reports. Consideration of the 
country reports are followed by the issuance of concluding comments and observations. 

8. UN Standards - The UNDP Training Manual of 2002 defined UN 
Standards as UN Principles, Rules or Declarations that are passed by resolutions of a UN 
body, which is usually the General Assembly. Examples of UN Standards are the 
Universal Declaration on Human Rights and UN Declaration on the Right to 
Development. 16 These are often negotiated over a period of time to which all members of 
the UN participate. These standards are arrived at by consensus of the UN members. 

9. Normative Content of Human Rights - In the same manual, normative 
content of rights is defined as the specific standards protected by such right or its actual 
meaning that can be used as objective standards of human dignity in the development 



13 



process. These standards become important guides to be used in the dynamic process 
such as development because the normative content of human rights includes guidance 
for immediate and progressive realization. These human rights and their normative 
bases are contained in the treaties, general comments and even, in periodic treaty 
concluding observations issued by treaty bodies. The application of human rights 
standards is another core element of the HRBA practice. 

10. State Obligations - Maria Socorro I. Diokno in her article published in the 
CHRP-UP_NCPAG Source Book on Human Rights in 2006 explained the different 

1 8 

levels of state obligations. Originating from international human rights framework that 
requires a particular conduct now (immediately and also the attainment of certain results 
over time (progressively). Emphasis is given to the fact that human rights always imply 
human duties and responsibilities and most of these duties or obligations lay on the state 
because the State's political, economic and military power over its citizen is both the 
major threat to human rights and also its major guarantee and protection. State 
obligations are founded in the very text of the treaties. The concept of State Obligation is 
herein applied in the study as another core element of HRBA, as basis for establishing 
accountabilities at different stages and aspects of development or governance. 



11. Human Rights-Based Approach (HRBA) - UNDP in its 1995 report on 
Human Reports in Development described HRBA as a conceptual framework for the 
process of human development that is normatively based on international human rights 
standards and operationally directed to promoting and protecting human rights applying 
the integration of the norms, standards and principles of the international human rights 
system into the plans, policies and processes of development. 19 This is popularly referred 
to as the mainstreaming of human rights either in development or governance, either on a 
national scope of development programming or mainstreaming in the context of project 
development. There is no single approach to HRBA only core elements that make up its 
practice or operationalization. 

12. Mainstreaming - As defined by Christopher Mc Crudden, mainstreaming 
means reorganization, improvement, development and evaluation of processes so that 
human rights perspective is incorporated by actors into policies and measures at all 
stages. Further, he explains that mainstreaming as contrasted with mere compliance, is 
intended to be anticipatory rather than remedial and to be extremely participatory in 
defining issue and how it might be addressed. As may be deduced from this definition, 

20 

mainstreaming aims to complement and support compliance but does not supplant it. 
Taken from this definition, mainstreaming is the process of incorporating human rights 
principles and standards and other concepts and practices of human rights into 
development and governance interventions more popularly known as Human Rights - 
Based Approach (HRBA). 

13. Right to Development - As defined in the 1995 UN Declaration on the 
Right to Development, right to development is an alienable human right by virtue of 
which every human person and all peoples are entitled to participate in, contribute to, and 



14 



enjoy economic, social, cultural and political development, in which all human rights and 

91 

fundamental freedoms can be fully realized. The right to development is founded in the 
Declaration of the Right to Development of 1985, which is the sound basis and 
framework for human rights-based approach to development. This declaration is used as 
the framework for the practice of HRBA to Development. 

14. Development Projects - For purposes of this study, development projects 
refer to time bound interventions to effect changes in the condition and quality of life of 
the people. In the context of this study, these are implemented to produce development 
outputs, which may contribute directly or indirectly in the attainment of development 
outcomes. 

15. Governance Projects - Also in the context of this study, these are time 
bound interventions to effect changes in the capacities of governance stakeholders. These 
are projects that respond to enabling the governance stakeholders to overcome 
weaknesses and constraints towards achieving more effective performance of mandates. 
Under this study, governance projects focus on the capacity building of both the duty- 
bearers and claimholders of rights. 

16. Duty-Bearers - As discussed in the 2002 UNDP Training Manual, these 

99 

are governance actors that have responsibilities in the realization of rights. In the 
traditional and legal approach based on the treaties, the state is often assumed to be the 
duty-bearer. There is a consideration that private sector or business is a non-state duty- 
bearer. For purposes of the HRBA, this concept of duty -bearer is loosely applied to 
mean all those who have the responsibility and the mandate to respond or assist in the 
securing of human rights entitlements for the claimholders. For the most part of this 
study, duty-bearers refer to government agencies. 

17. Claimholders - In the same manual, claimholders are referred to as 
governance actors that have claim or entitlement over the rights being secured. Under the 
HRBA, they may refer to people's organizations, basic sectors or any organization of 
vulnerable and disadvantaged sectors that are often unaware of their rights and how to 
claim them. It is assumed also that while they may have claim over human rights 
entitlements, they also, perform certain responsibilities in seeking the well-being, justice 
and equity for all, relative to individual obligations are concerned. 

17. GOP-UNDP Governance Portfolio is the joint cooperation program of the 
Government of the Philippines and the United Nations Development Programme 
(UNDP). The GOP is represented by the National Economic Development Authority 
(NEDA). Under the portfolio, there are implementing partners and responsible partners. 
The responsible partners are the direct proponents of projects, referred to in this study. 



15 



G. Scope and Limitations of the Study 

The original plan of uncovering and analyzing indigenous practices of human rights 
should have been the focus of the study. However due to some technical considerations 
and limited resources, to conduct a nationwide survey, the study was given a different 
focus. 

The study works within the International Human Rights Framework but the practice of 
HRBA as used in this study is based on the operationalization of the approach by the 
United Nations Development Programme specifically in the areas of development 
programming, project development and project assistance. Other international 
development partners may have adopted human rights based approaches in the context of 
their own unique policy frameworks, which are not covered by the scope of this study, 
but the same could be an interesting area for further research in the future. 

On the overall, the study focused on Philippine projects under the Governance Portfolio 
of the GOP-UNDP Country Cooperation Program. Ideally, the study should have 
covered all the GOP-UNDP Programme Portfolios namely: Empowerment of the Poor, 
Peace and Development, Environment and Governance. All these portfolios were 
covered by the series of HRBA orientation and trainings when the approach was 
introduced by the UNDP in the country in cooperation with the National Economic 
Development Authority (NEDA) and the Commission on Human Rights of the 
Philippines (CHRP). However due to financial constraints and material time to cover a 
study of this wide magnitude, the dissertation focused only on six (6) projects under the 
Governance Portfolio, which were chosen based on certain criteria. 

As surmised, this Governance Portfolio constitutes more variety of development and 
governance initiatives both at the national and local levels and thus, more suited to cover 
the wide concerns of the problems, issues, questions and objectives of the study. 

Some limitations, though, were recognized in the course of conducting the study. The 
study substantially depended on the reliability of the information shared by the lead 
proponents of projects of the Governance Portfolio. In order to address possible 
information gaps, a review of relevant project documents was undertaken and 
complemented by the conduct of structured interview with key informants of the projects 
and other stakeholders. 

Moreover, the study was limited to six (6) governance projects that were supported by 
UNDP to represent those that practiced and mainstreamed HRBA and those who 
participated in a series of HRBA training conducted by the CHRP and UNDP. The case 
study did not cover all the management aspects of the six (6) projects. Only the content 
and process of HRBA applied in the projects were subject to analysis. 



16 



H. Significance of the Study 

It is the intention of this study to see how HRBA contribute to the narrowing of the gaps 
between human rights aspirations and reality to ensure that every human being is 
accorded the dignity to which he or she is entitled to since man's beginnings. As Mary 
Robinson, former UN High Commissioner said "Human Rights are inscribed in the 
hearts of people; they were there long before lawmakers drafted their first 
proclamations. " These aspirations are embodied in both the national and international 
human rights framework, which needed more implementation and enforcement. Through 
this study, the HRBA as a soft and persuasive approach but "not compromising", will 
demonstrate how governance actors may be capacitated into mainstreaming human rights 
in development or governance projects that could empower people seek their human 
entitlements and hence, improve their quality of life. Specifically, this study on HRBA 
will provide the means to enhance existing development and government processes that 
can make interventions and projects more focused and targeted in terms of alleviating 
poverty in the country. Hence, this study will introduce how best the approach could be 
used in implementing international human rights treaties that will serve as guide to 
different governance actors in pursuing development in the country. 

The limited literature on the best practices that will substantiate and analyze in 
operational and practical terms the rhetoric of the HRBA will hopefully present empirical 
evidence on the usefulness of the approach in the Philippines. While there are best 
practices from other countries, understanding HRBA as to how it is done, its 
contributions and the difference it makes in relation to achieving development and 
concomitant governance goals in the Philippines lingers and thus, continues to be a key 
challenge. However, at the onset, the proponent of this study would like to state that this 
study is not merely focused on best practices to support HRBA but it is also centered on 
contributing to the body of knowledge on how development and particularly governance 
could be enhanced by HRBA and thus, would inevitably touch on an assessment of the 
factors that may promote and impede its application as demonstrated in some observed 
practices 

In addition to filling a portion of the "information gaps", the study will enlighten those in 
the human rights field as to the practical processes involved in mainstreaming human 
rights in the realm of development and governance. As a pioneering study, this would 
encourage more HRBA practitioners to give flesh and substance to HRBA at the 
operational practice through conduct of similar studies that would illustrate the virtues 
and added-values of the approach. 



17 



I. Organization of the Study 



The study presents the following chapters: 

Chapter I - Introduction includes the rationale, objectives, research methodology, 
conceptual framework and definition of terms, scope, limitations and significance of the 
study 

Chapter 2 - Review of Literature covers the historical beginning of HRBA, theoretical 
foundations of human rights, development, governance and human rights-based 
approach. It also includes citation of existing foreign studies on HRBA cases and recent 
developments in the practice of the approach. 

Chapter 3 - Case I on the Legal Empowerment of the Poor illustrates an HRBA modality 
in the conduct of consultative policy studies and formulation of legislative proposal on 
the empowerment of the informal sector on four (4) focus areas: 1) access to justice and 
the rule of law; 2) property rights; 3) labor rights; and 4) business rights. 

Chapter 4 - Case 2 on the Rights-based Localization of MDGs illustrates an HRBA 
modality in the existing process of local planning in San Fernando City and its 59 
Barangays particularly in the application of human rights standards and indicators in the 
MDG planning. 

Chapter 5 - Case 3 on the Right to Food Project using HRBA illustrates a modality of 
HRBA, which resulted in identification of the government organization's (duty-bearers) 
respective roles in fulfilling state obligations on the Right to Food 

Chapter 6 - Case 4 on Implementing E.O. 366: A Practical Guide for Managing the 
Change Processes of the Rationalization Program illustrates a very simple application of 
the HRBA in government wide reorganization. 

Chapter 7 - Case 5 on Media-Community Action on Mainstreaming Human Rights-Based 
Approaches at the Local Level illustrates a modality of HRBA using obligation-bound 
accountability and rights-entitlement empowerment as applied in the strategies and 
processes of public journalism. 

Chapter 8 - Case 6 on National Human Rights Action Planning (NHRAP) illustrates a 
more defined modality of HRBA. The design of the HRBA for national action planning 
was done in a very detailed and intricate manner in order to orient the entire government 
machinery (duty-bearers) and the participating vulnerable sectors (claimholders) and 
CSOs on human rights and the approach itself 

Chapter 9 - Summary, Conclusions, Future Directions, Recommendations and 
Implications. This is a consolidation of the findings of the six (6) cases vis-a-vis the 
HRBA parameters adopted for the study. Also covered under this chapter are the 



18 



Conclusions, Future Directions and Replicability of HRBA based on the general lessons 
derived from the study, as well as, the comments and recommendations of various 
stakeholders and the study's overall implications to Development, Public Administration 
and Governance. 



19 



CHAPTER 2 
REVIEW OF RELATED LITERATURE 



This section revisits all related literature on HRBA, Development and Governance, which 
could help shed light to the problems, issues and research questions to be addressed by 
the study. Both foreign and local readings are covered by this section. Discussions are 
thematic as basis for the theoretical, conceptual frameworks of the study and operational 
definition of HRBA. 

It focused on the core elements of HRBA as take off point in attempting to establish the 
role of HRBA in development and its implications on good governance. 

For greater understanding of the HRBA, it is best that this chapter presents in brief a 
background on human rights. Jorge Coquia in his written work on the History, Theories 
of Sources and Development of Human Rights in 2000 asserted that human rights are as 
old as human society. Human rights as referred to in ancient times refer to the "Rights of 
Man". These rights were asserted by the citizens against tyrannical governments arising 
from the struggle of man against injustices of despotic rulers and tyrannical 

74 

governments. Therefore, as contended by Aurora Parong during the Multi-Sectoral 
Forum on the Popularization of the Paris Principles in the Context of HRBA to 
Governance and Development in February 2004, human rights did not start from the 
Universal Declaration on Human Rights (UDHR) in 1948 since peoples have been 

75 

concerned with rights and freedoms since ancient times. From these two pieces of 
literature, it could be deduced that the concept of human rights evolved to the "Rights of 
Man", the French' s Declaration of the Rights of Man and the Citizens in 1789 and the 
Americans' US Bill of Rights in 1791 Resulting from the abuses of men and women 
against other men and women, peoples of nations against other peoples of other nations 
came the establishment of the United Nations in 1945. Forty eight members of the 
United Nations adopted the Universal Declaration of Human Rights (UDHR). The term 
"Rights of Man" was changed to "Human Rights", which refer to both man and woman. 
Several principles of the UDHR became internationally accepted and were in fact, 

77 

incorporated to the Constitutions of more than 185 member countries of the UN. These 
developments in the UN were followed by the drafting, adoption and ratification of 
conventions or treaties on human rights. To date the Philippines has been a signatory to 
eight (8) core International Human Rights Treaties, among others. These treaties are 
International Covenant on Civil and Political Rights (1966) International Covenant on 
Economic, Social and Cultural Rights (1966), Convention Against Torture (1984), 
Convention on the Rights of the Child (1989), Convention on the Elimination of all 
Forms of Discrimination Against Women (1979), Convention on the Rights of Migrant 
Workers (1990) and Convention Against Racial Discrimination (1965) and Convention 

78 

on the Rights of Disabled Persons (2009). These consist of international human rights 
framework consisting of these treaties, including non-binding declarations and general 
comments, and customary laws. 



20 



A. HRBA and its Role in Development 

Conceptually, HRBA has its beginnings rooted in the international human rights 
framework. Within the context of this framework the approach is conceived as a process 
to mainstreaming human rights in every stage and aspect of development in order to 
improve the quality of life of people across the globe. To understand the approach, its 
core elements as applied in this study must be comprehensively understood. These 
elements are: 1) A paradigm shift from needs to rights; 2) Operationalization of human 
rights principles; 3) application of human rights standards; and 4) implementation of 
human rights obligations and entitlements. As described by UNDP in the article " A 
Human Rights-Based Approach to Development Programming in UNDP published in 
2001, HRBA is understanding development and process of achieving universal 
realization of rights and freedoms by expanding people's choices and capabilities through 
an empowerment process. As further explained in the UNDP Training Manual on 
HRBA of 2002, the mainstreaming of human rights in development provides the 
objective standards for effectiveness of development, accountability and evaluative role 
as the criteria for improving the quality of life of the vulnerable and disadvantaged 

29 

sectors. 

Integrating Human Rights into Development 

This study considered understanding needs perspective to human rights as one core 
element of HRBA. In order to understand this element, there is a need to present how this 
shift came about as started by the UN specifically the framework and the particular 
initiatives undertaken by the UN to make this approach work. This trend in human rights 
work in development was not only pursued by the UNDP. A Study of donor approaches 
and experiences on integrating human rights into development was prepared for the 
OECD DAC Network on Governance (GOVNET), September 2005. The study points to 
the fact that agencies have adopted different rationales for working on human rights; 
some prefer not to work on human rights explicitly. Legal, political or empirical issues 
are amongst some of the challenges faced by agencies; research and multi-disciplinary 
exchanges can inform the further development of policies and their operationalisation. 
The integration of human rights into development can be classified using a five-part 
typology, as summarised in the table below. Most agencies are situated within the three 
central categories - project, mainstreaming, and dialogue - a shared feature of which is 
the positive use of human rights. A number of agencies are moving to human rights- 
based approaches, which requires institutional change in the provision of aid. In some 
agencies, an implicit integration can be identified. The most common form of assistance 
has traditionally been projects, though a strategic use of human rights can be found in the 

in 

design of country programmes and global initiatives. 



Human Rights had been laid out as criteria for development since the inception of the 
Universal Declaration on Human Rights (UDHR), which was adopted by the UN Family 



21 



on December 10, 1948. The declaration is one core document that laid out the 
framework and standard criteria by which development needs were given corresponding 
human rights criteria. The UDHR is an offshoot of the Second World War that 
proclaimed the common standards of achievement for all peoples and all nations. This 
early, the members of the UN should have been properly guided in their pursuit of 
development. This declaration was made in response to the atrocities, oppressions and 
violence against humanity as experienced during WW II, which prompted the UN family 
to affirm its commitment to pursue social progress and standards of life in larger freedom 
both at the national and international levels. 

More than 60 years ago since the adoption of the UDHR, the global community had a 
history of achieving the goals of peace, justice and social progress. The history involves a 
continuing process of defining, describing and promoting human rights, specifically how 
the human person must be treated. The intention is to internationalize human rights and 
to strengthen national systems that protect them. All states that joined the UN embraced 
its key purpose of respecting and promoting human rights. As declared in the preamble 
of the UN Charter, its primary purpose is "promoting and encouraging respect for human 
rights and for fundamental freedoms for all without distinction as to race, sex, language 
or religion. " . However, the UDHR and the treaties did not seem to be enough. Poverty 
and powerlessness across the globe persisted. On its part, the United Nations 
Development Programme (UNDP) continued its search for varied approaches to respond 
to the phenomenon of poverty, powerlessness and underdevelopment. UNDP in its 
special report on Governance and Sustainable Development defined Sustainable Human 
Development (SHD) as a process of enlarging the choices of all people in society. 
Specifically, SHD is characterized as pro-people, pro-jobs and pro-nature. Highest 
priority is given to poverty reduction, productive employment, social integration and 
environmental regeneration. This definition considered partly the recommendation of the 
Brundtland Commission, the Rio Declaration and other UN documents and also, the work 

-5 1 

done by the non-government organizations for 30 years.' 

In 1995, the UN Commission on Human Rights drew up a definition of development 
taking into consideration its human rights dimension. As espoused by the Commission, 
development is people-centered, participatory and environmentally sound. It involves not 
just economic growth, but equitable distribution, enhancement of people's capabilities 
and widening of their choices. It gives top priority to poverty elimination, integration of 
women into the development process, self-reliance and self-determination of people and 
Governments, and protection of the rights of indigenous people. 

Continuous advocacy was pursued internationally to explicitly link human rights and 
development needs. In 1986, the UN issued the Declaration of the Right to Development. 
This piece of document reveals the first time that the link between human rights and 
development was fully recognized. As elucidated in the declaration, Right to 
Development is an inalienable human right, with exact provisions that "every human 
person and all peoples are entitled to participate in, contribute to and enjoy economic, 
social, cultural and political development. As espoused in the declaration, development 
involves the full realization of the right of peoples to self-determination, which includes, 



22 



subject to the relevant provisions of both International Covenants on Human Rights, the 
exercise of their inalienable right to full sovereignty over all their natural wealth and 
resources. ' Further guidelines of the declaration point to the idea that development 
seeks empowerment both in the process and outcome levels. It carries with it the 
responsibility in achieving the full realization of human rights. Certain principles will 
have to be observed as guide for an empowering development process: Also, the 
declaration provided a framework that development is not a theoretical exercise to 
transform a certain amount of money into some other commodity or some more money. 
It gave fuller meaning to the concept of development as a process about people and deals 
with people's lives." 

Such contention was validated in a study conducted by the World Bank in 2002, where 
around 80,000 poor people world wide were asked how it felt to be poor and what it 
meant to them in their everyday lives. The responses of poor people are extremely 
significant to development practice. Their perceptions pointed at the fact that "poverty 
was not merely absence of commodities and services to meet basic needs but rather a 
question of powerlessness". Aside from the importance of material assets, health and 
education in improving people's lives, the poor mentioned the influence of factors such 
as emotional integrity, respect and dignity, social belonging, cultural identity, 
organizational capacity and political representation and accountability. The World Bank 
Study concluded, "development should ultimately increase people's freedom to live the 
lives they value. 

Express Linkage between Human Rights and Development 

In 1995, the Copenhagen Declaration reaffirmed the link between human rights and 
development by establishing a new consensus that places people at the centre of concerns 
for sustainable development, and by pledging to eradicate poverty, to promote full and 
productive employment, and to foster social integration to achieve stable, safe and just 
societies for all. 

In its General Comment on international technical assistance, the Committee on 
Economic, Social and Cultural Rights warned that proposals for the integration of human 
rights into development activities can too easily remain at a level of generality. The 
Committee had long recognized that development cooperation activities do not 
automatically contribute to the promotion of respect for human rights simply by 
addressing thematic human rights concerns such as health, education or governance. It 
has cited as evidence the many activities undertaken in the name of "development" that 
have subsequently been recognized as ill-conceived and even counter-productive in 
human rights terms. 

A case sample from UNDP Argentina was documented Linking MDGs and Human 
Rights in Local Contexts. In such case documentation, human rights were used by 
UNDP Argentina as the channel through which to encourage greater public engagement 
in the MDG process at local level. UNDP Argentina hosted two diagnostics workshops 
involving civil society organizations and local authorities in the municipality of Moron to 



23 



identify citizens' priorities for the local poverty reduction strategy. While human rights 
were widely understood by participants, MDGs were perceived as strange or foreign 
concepts. The first workshop thus began with sensitization exercises. Participants first 
worked in mixed groups to prioritize the MDGs for their municipality, and then after 
debating the findings of different groups in plenum, the groups linked the MDGs to 
human rights. In the second workshop, participants proposed policy areas that would help 
the population achieve the MDGs. These proposals were then compared with the 
municipality's list of ongoing public programmes and policies for each MDG. 36 



This development further led to the business of the Human Rights-Based Approach 
(HRBA). Founded on the definition of the rights-based definition of development in 
article 1 of the Declaration on the Right to Development, development is viewed as a 
comprehensive economic, social, cultural and political process. Its object is the constant 
improvement of the well-being of the entire population and of all individuals, on the basis 
of their active, free and meaningful participation in development and in the fair 
distribution of the resulting benefits. The human rights approach to development is 
therefore integrated and multidisciplinary. Offering practical advice on how integration 
can be better achieved, the Committee has recommended that United Nations 
development strategies should expressly recognize the "intimate relationship" between 
development activities and efforts to promote respect for human rights; that development 
cooperation activities should be subject to human rights impact assessment; that 
development personnel should receive human rights training; and that human rights 
obligations should be taken into account at every stage of development projects (i.e. 
needs assessment, project identification, project implementation, project monitoring and 
project evaluation). Under the framework of the HRBA, human Rights provide a holistic 
framework and tools for development. 

The link between human rights and development are also established under the 1987 
Philippine Constitution. The 1987 Constitution establishes a democratic State and 
recognizes that sovereignty resides on the people. The Constitution recognizes the right 
of the people and their organizations to effective and reasonable participation at all levels 
of social, economic and political decision making (XIII- 16). Together with a bill of 
rights and a detailed description of civil and political rights, the Constitution establishes 
specific obligations for the state such as to guarantee full protection to workers (XIIII.3), 
establishes policies and provide adequate social services, employment and rising 
standards of living and improved quality of life for all (11.9), protection of the right to 
health (11.15), to a balanced and health ecology (11.16), ensuring free primary and 
secondary education to all and promote quality of education at all levels (XIV. 1), respect 
and protect the rights of indigenous cultural communities to preserve and develop their 
cultures, traditions and institutions (XIV. 17), among others. All these are all contained in 
the International Human Rights Treaties.' 



24 



Reorientation of the UN System and its Works on Human Rights 

The shifting in the orientation of development from needs to rights did not happen 
automatically. The UN had to take deliberate steps to ensure the observance of human 
rights in development work. 

Despite all these international legal policies that should bind nations to their state 
obligations on human rights, the phenomenon of "divides" between and among countries 
and people persisted, which prompted Kofi Annan, the UN Secretary General then to 
institute reforms in the UN in 1997. In his report, he postulated for the mainstreaming of 
human rights in the UN system convinced that "Human rights are as 

fundamental to the poor as to the rich, and their protection is as important to the security 
and prosperity of the developed world as it is to that of the developing world. It would be 
a mistake to treat human rights as though there were a trade-off to be made between 
human rights and such goals as security or development. We only weaken our hand in 
fighting the horrors of extreme poverty or terrorism if in our efforts to do so, we deny the 
very human rights that these scourges take away from citizens. Strategies based on the 
protection of human rights are vital for both our moral standing and the practical 
effectiveness of our actions. " Hence, under the report he stated that "if the Organization 
is to take the cause of human rights as seriously as those of security and development — 
then Member-States should agree to replace the Commission on Human Rights with a 
smaller standing Human Rights Council. " As further discussed in the report, Member- 
States would need to decide if they want the Human Rights Council to be a principal 
organ of the United Nations or a subsidiary body of the General Assembly, but in either 
case its members would be elected directly by the General Assembly by a two-thirds 
majority of members present and voting. Kofi Anan fought for the creation of the Council 
that would accord human rights a more authoritative position, corresponding to the 
primacy of human rights in the Charter of the United Nations. Member States should 
determine the composition of the Council and the term of office of its members. Those 
elected to the Council should undertake to abide by the highest human rights standards. 
In 2008, the Human Rights Council instituted the Universal Periodic Review among 
members of the UN, on the status and level of enjoyment of human rights at the national 
level, also in the context of how development is being pursued by member countries. 



Operationalization of Human Rights Principles 

The second core element of human rights is the operationalization of human rights 
principles in development work. As reviewed under existing literature of the United 
Nations, HRBA and later condensed in the UNDP Training Manual, the HRBA for 
purposes of this study focused on the operationalization of these principles in terms of 
providing perspective and tools to enhance the process of development. 

Human Rights Principles Inherent to Development 



25 



Human Rights have fourteen (14) principles that should guide development as true 
enabling criteria for expanding choices and opportunities for all to realize their human 
rights and freedoms. The UN Training Manual on the Human Rights-Based Approach 
produced in July 2002, gave flesh to the application of the HRBA in the Philippines. The 
UN Country Team in the Philippines adopted the HRBA to its Development 
Programming in 2001. It oriented and trained the entire UN Family and key partners 
from both government and civil society on the mainstreaming of human rights principles 

39 



Although there are principles that are governance in essence, all these 14 principles serve 
the criteria and purpose of development work and process. 



TABLE NO. 3- HUMAN RIGHT PRINCIPLES AND THEIR MEANINGS 



40 



PRINCIPLES 


PURPOSES IN 
DEVELOPMENT 41 


MEANING 


Accountability 


■ Determines both the 


■ Authority of government is 




essence and modes of 


based on the will and consent 




conduct of 


of the people; and 




development and 


■ Government is answerable to 




governance 


the people for its decisions 
and actions. 


Attention to 


■ Points to the essence 


■ Greater importance given to 


Vulnerable 


of development and 


the disadvantaged/vulnerable; 


Groups 


governance 


and 

■ Measures taken up to help 
participate in the solution of 
their problems. 


Empowerment 


■ Determines both the 


■ Power to act for or on their 




essence and modes of 


behalf to claim their rights 




conduct of 


entitlements; and 




development and 


■ Capacitating them to 




governance 


contribute and participate. 


Equality 


■ Determines both the 


■ Women and men equally 




essence and modes of 


enjoy and exercise their rights 




conduct of 


and freedoms; and 




development and 


■ Preferential treatment where 




goverance 


there is impairment in the 



26 



PRINCIPLES 


PURPOSES IN 
DEVELOPMENT 41 


MEANING 






exercise of their rights and 
freedoms. 


Equity 


■ Determines both the 
essence and modes of 
conduct of 
development and 
governance 


■ Fairness, justice and 
impartiality in the guarantee 
of rights and freedoms; and 

■ Equity demands that the poor 
should not be 
disproportionately burdened. 


Good 
Governance 


■ Specifies modes of 
conduct in the pursuit 
of development by 
relevant stakeholders 
and actors 


■ Participatory, consensus 
oriented, accountable, 
transparent, efficient, 
effective, equitable and 
follows rule of law. 


Independence 
of the Judiciary 


■ Specifies modes of 
conduct in the pursuit 
of development by 
relevant stakeholders 
and actors 


■ Final arbiter on human rights; 

■ Independence guaranteed; and 

■ Decision rendered with 
impartiality without influence 
or pressure. 


Indivisibility 


■ Points to the essence 
of Development 


■ Human rights are intertwined: 
the absence of one right 
negates the presence of the 
other; 

■ Both sets of rights should be 
enjoyed: civil and political; 
and economic, social and 
cultural rights. 


Interdependence 
and inter- 
relatedness 


■ Points to the essence 
of Development 


■ Enjoyment or exercise of one 
right is dependent on the 
other; 

■ No rights precede the other; 
and 

■ Rights are interlinked with 
one another. 


Universality 


■ Points to the essence 
of Development 


■ Human Rights belong to all 

■ Human Rights are based on 



27 



PRINCIPLES 


PURPOSES IN 
DEVELOPMENT 41 


MEANING 






principles that dignity is 
inherent to all 


Legislative 
Capacity 


■ Specifies modes of 
conduct in the pursuit 
of development by 
relevant stakeholders 
and actors 


■ Human Rights must be 
guaranteed by law; 

■ Legislature must have the 
capacity to enact laws that 
uphold inherent dignity of 
person and the enjoyment, 
exercise and fulfillment of 
human rights. 


Rule of law 


■ All persons are equal 
before the law and 
are entitled to equal 
protection 


■ Without an independent and 
honest judiciary there is a big 
risk that development will 
collapse 


Non- 
Discrimination 


■ Determines both the 
essence and modes of 
conduct of 
development 


■ Entitled to human rights 
without restriction, 
prohibitions, exclusions or 
preferences. 


Peoples' 
Participation 


■ Specifies modes of 
conduct in the pursuit 
of development by 
relevant stakeholders 
and actors 


■ Participant and contributor at 
all level of economic, social, 
and political decision making; 

■ Informed decision; 

■ Voluntary, effective and full 
without threats and sanctions; 
and 

■ Participation mechanisms 
made available. 


Transparency 


■ Specifies modes of 
conduct in the pursuit 
of development and 
governance by 
relevant stakeholders 
and actors 


■ People to see openly into the 
activities of government; 

■ Full, free and public 
disclosure of decision, 
policies and processes of 
government; and 

■ Access to information 
especially in rule making 
activity of government. 



28 



The meaning of these principles, as defined in the above table, point to the fact that these 
principles play a significant role in describing the direction and quality of both the 
outputs and process of development. 

There are many accounts of the effectiveness of HRBA as applied by other countries 
documenting HRBA practices that operationalize human rights principles. A review of a 
number of documented case studies in the Asia-Pacific Region provides valuable insights 
into the human rights practices in governance issues. The following cases demonstrate 
HRBA and strategies used by development agencies and civil society groups including 
non-government organizations and community-based organizations to successfully 
demand for their rights. Thus, the cases covered the landless people in Bangladesh, the 
poor farmers in Indonesia and restoring culture of peace in Cambodia. The cases give a 
showcase of the principles of participation, empowerment, accountability, transparency, 
good governance, policy advocacy framework and access to justice conditions that 
generally concern the poor and the marginalized to realize their rights in the context of 
governance that is not necessary initiated always by government but pursued by multi- 
sectors of society. 

Application of Human Rights Standards 



The normative content refers to specific standards protected by a specific right, what the 
right actually "means". The meaning of every right may be found at the national level 
through jurisprudence and legislation or through the General Comments elaborated by the 
UN Treaty Bodies to implement the International Human Rights Instruments. The 
normative content describes and defines all the rights covered by civil and political and 
economic, social and cultural rights. 

The application of the normative content involves immediate compliance for civil and 
political rights and progressive realization for economic, social and cultural rights. As 
clarified in the UNDP Training Manual, progressive realization entails maximum 
application of the State's available resources and not a reason for excuse or inaction of 
the government. Progressive realization requires government to take certain steps 
regardless of the level of resources. Constant and substantial moving towards a particular 
goal must be demonstrated. 

For development purposes, the normative content of human rights as standards of human 
dignity to the development process are effective guides for the analysis, design, direction 

An 

and assessment of development policies and programmes. 

The normative content of a particular right is found in jurisprudence and legislation at the 
national level and in the human rights treaties, general comments and treaty concluding 
comments and observations on the periodic country reports in the context of the 
international human rights framework. Normative content ascribes to the specific 
standards protected under a particular right, what it actually means or the legal 



29 



description of the right. The normative content of human rights qualifies what is 
important, what has value and what will enhance realization of human freedom and 
dignity in all the development processes. The effectiveness of development may be 
evaluated and valued against the normative content of human rights, which defines the 
quality of human life. Below is a table of selected human rights, their normative content, 
which could serve as effective guide for analysis, design, direction and assessment of 
development initiatives, plans, policies and programmes particularly on poverty. 



TABLE NO. 4 - NORMATIVE CONTENT OF HUMAN RIGHTS 



43 



RIGHTS 


CORE CONTENT 


BASES 


Right to Life 


The supreme and inherent 
human rights from which no 
derogation is permitted, even 
in time of war or public 
emergency. Whereas it 
begins at birth according to 
International Law, it begins 
at conception in the 
Philippine Law. 


Article 3 of UDHR; 
Article 6 of ICCPR; 
General Comment 6, HRC 
(1982); 

Article 5(b) of ICERD; 
Article 6 CRC; and 
Section 1 Article III of the 
1987 Philippine 
Constitution 


Equality and Non- 
Discrimination 


This includes substantive 
equal protection of the law 
and enjoyment of all civil, 
political, economic, social 
and cultural rights. Its most 
important element is the 
distinction, exclusion, 
restriction, preference or 
prohibition of discrimination 
based on race, color, 
sex/gender, language, 
disability, descent, age, 
religion, political or other 
opinion, national or 
ethnic/social origin, 
property, birth or other status 
which has the effect or 
purpose of 

impairing/nullifying the 
recognition, enjoyment or 
exercise of human rights 


Equality: 

Article 7 of UDHR; 
Article 3 of ICESR; Article 
3 of ICCPR; 

Article 8(1) of the Right to 
Development; 
Article 5 of ICERD; 
Article 9&15 of CEDAW; 
Section 1 Article III of the 
1987 Philippine 
Constitution; and 

Non-Discrimination: 

Article 7 of UDHR; 
Article 2(2) of ICESR; 
Article 2(1) & 20(2) of 
ICCPR; 

Article 6(1) of the Right to 
Development; 
Article 1,3&4 of ICERD; 
Article 1,2,4&7 of 
CEDAW; and 
Article 2 of CRC. 



30 



RIGHTS 


CORE CONTENT 


BASES 


Political Rights and 


These may be exercised 


Right to Participate in 


Freedoms: 


directly or indirectly, 


Government; 




individually or collectively 


Article 21 ofUDHR; 




but must be free, genuine 


Article 5 of ICERD; and 


Right to Participate in 


exercise, and voluntary. 




Government, 




Section 16 Article III of the 




- Take part in the 


1987 Philippine 




government directly or 


Constitution; 




indirectly through freely 






chosen representatives; 




Freedoms of Opinion 


equal access to public 


Freedom of Opinion and 


and Expression, 


services; and the will of the 


Expression; 




people as basis of 


Article 19ofUDHR; 




government authority 


Article 19ofICCPR; 


Freedom of Movement, 


- Freedom to hold opinions 


Article 5(d) (viii) of 




without interference and to 


ICERD; Article 12&13 of 




seek, receive and impart 


CRC; Section 4 Article III 




J: 

information and ideas 


of the 1987 Philippine 




through any media and 


Constitution. 




regardless of frontiers 


Freedom of Movement: 




- Freedom of movement and 


Article 13 ofUDHR; 


Right of Peaceful 


residence within the 




Assembly and 


borders of state, leave any 


Article 12ofICCPR; 


Association 


country, including his own 


Section 6 Article III of the 




and return to his country 


1987 Philippine 
Constitution; 




and shall not be subject to 




any restrictions except 






those which are provided 






by law, consideration of 


Right of Peaceful 




national security, public 


Assembly and 




order, public health or 


Association; 




morals or the rights and 






freedoms of others. 


Article 20 ofUDHR; 
Article 20&21 oflCCPR; 




- No restrictions on the 


Article 5(d) (ix) of ICERD; 




exercise of this right to 


Article 15 of CRC; and 




peaceful assembly to 


Section 4 Article III of the 




include right to form and 


1987 Philippine 




join trade unions for the 


Constitution. 




protection of his interests 






except those in conformity 





31 



RIGHTS 


CORE CONTENT 


BASES 




with the law, in the interest 
of national security or 
public safety, public order, 
public health or protection 
of rights and freedoms of 
others 




Right to Social Security 


This is a right to security in 
the event of unemployment, 
sickness, disability, 
widowhood, old age or lack 
of livelihood in 
circumstances covering all 
risks involved in the loss of 
the means of livelihood or 
subsistence for reasons 
beyond a person's control 


Article 22 of UDHR; 
Article 9 of ICESCR; 
General Comment 5&6 
ICESR (1994/1995); 
Article 8(1) of the Right to 
Development; 
Article 11 (e)ofCEDAW; 
and 
Article 25 of CRC 


Right to Work 


This right covers: free choice 
of employment; just and 
favorable conditions of 
work; protection against 
unemployment; equal pay 
for equal work, just and 
favorable remuneration 
ensuring for himself and his 
family an existence worthy 
of 

human dignity; to form or 
join trade unions for the 
protection of his interests; 
equal opportunity to be 
promoted in employment; 
rest leisure and reasonable 
limitation of working hours, 
etc. 


Article 23 of UDHR; 
Article 6,7&8 of ICESCR; 
Article 8(1) of the Right to 
Development; Article 
5(e)(i)(ii) oflCERD; 
Article 11 ofCEDAW;' 
Article 32 of CRC; and 
Section 3 Article XIII of 
the 1987 Philippine 
Constitution. 


Right to Health 


This is a right to access and 
enjoyment to health services 
and facilities, and to enjoy 
certain social conditions 
favorable to the highest 
attainable standard of health. 
Such right considers: 
availability in terms of 
functional health services, 


Article 25 of UDHR; 
Article 12 of ICESCR; 
General Comment 14 
ICESCR (2000); 
Article 8 of the Right to 
Development; 
Article 5(e) (iv) of ICERD; 
Article 12 of CEDAW; 
Article 24 of CRC; and 



32 



RIGHTS 


CORE CONTENT 


BASES 




programs and facilities: 
accessibility in terms of 
information availability, 
physical and economic 
accessibility, cultural 
appropriateness and 
respectful of medical ethics 
and quality in terms of 
scientific & medical 
appropriateness. 


Section 11, 12, &1 3 Article 
XIII of the 1987 Philippine 
Constitution. 


Right to Food 


This covers availability, 
adequacy and physical and 
economic accessibility of 
food supply, and the stability 
of the supply. In addition, it 
is not limited to calories, 
proteins and specific 
nutrients. Likewise, it is 
linked to sustainability not 
only for the present but also 
for the future generations. 


The normative bases are: 
Article 25 of UDHR; 
Article 1 1 of ICESCR; 
General Comment 12 
ICESCR (1999); and 
Article 8 of the Right to 
Development. 


Right to Housing 


This refers to the right to live 
somewhere in security, 
peace and dignity. Its core 
contents include the legal 
security of tenure, 
availability of infrastructure, 
facilities, materials and 
services, affordability, 
habitability in terms of 
space, protection and safety 
against structural and health 
hazards, accessibility, 
location, and cultural 
adequacy 


Article 25 of UDHR; 
Article 11 of ICESCR; 
General Comment 4 of 
ICESCR (1991); 
General Comment 7 of 
ICESCR (1997); Article 8 
of the Right to 
Development; Article 5(e) 
(iii) of ICERD; Section 
9&10 and Article XIII of 
the 1987 Philippine 
Constitution. 


Right to Education 


Availability of Functioning 
educational institutions and 
existing programs in 
sufficient quantities; trained 
teachers; non-discriminating; 
physically and economically 
accessible; acceptable in 
terms of quality, cultural 


Article 26 of UDHR; 
Article 13 of ICESCR; 
General Comment 1 1 of 
CESCR(1999); 
General Comment 13 of 
CESCR(1999); 
Article 8(1) of the Right to 
Development; 



33 



RIGHTS 


CORE CONTENT 


BASES 




appropriateness; and 
flexibility and relevance. It 
also includes the right to free 
universal primary education, 
secondary higher, 
fundamental, technical and 
vocational educations. The 
government is also required 
to set up school system and 
to respect educational 
freedom, such as freedom of 
parents/guardians to choose 
the school for their children, 
and right of foreigners to set 
up schools. 


Article 5(e) (v) of CERD; 
Article lOofCEDAW; 
Articles 28&29 of CRC; 
and Article XIV of the 
1987 Philippine 
Constitution. 


Right of Reparation 


This is an inherent right 
associated with an effective 
protection of human rights 
for the purpose of relieving 
and affording justice to 
victims. The victims can 
seek redress for human 
rights violations through 
restitution, compensation, 
rehabilitation, and non- 
repetition. 


Article 8 Universal 

Declaration of Human 

Rights; 

Article 2(3a-c) ICCPR; 

Article 5, Declaration on 

the Right to Development; 

Article 6, CERD; 

Articles 4 and 39, 

Convention on the Rights 

of the Child 



Implementation of Human Rights Obligations and Entitlements 



This is the third important element of the HRBA, which covers the implementation of 
obligations and entitlements that apply to duty-bearer and claimholders respectively. 
Human Rights always imply human duties and responsibilities. In a conceptual sense, 
claimholders are all people, men, women and children regardless of any other 
considerations, identified in situations where their fundamental rights are being affected. 
On the other hand, duty-bearers are those with responsibilities in the realization of rights. 
Traditionally, this role is identified with the state. However, in terms of the human rights 
approach, the issue of who is the duty -bearer has expanded to include both the state and 
the non-state actors, referring to the private or business sector. 



34 



1 . State obligations 

State obligations emanate from the national and international human rights framework. 
They are based from the Constitution and from ratified international human rights 
treaties. Duties are both positive (relating to acts of commission and negative (relating to 
acts of omission. State obligations require a particular conduct now immediately and also 
the attainment of certain results over time "progressively". Civil and political rights are 
usually referred to for immediate compliance whereas economic, social and cultural 
rights are identified for progressive realization. However, this distinction does not 
necessarily hold. All human rights apparent imply immediate obligations, and also 
obligations to attain certain results over time 

Individuals can demand government to comply with its human rights obligations, which 
have three levels: obligation to respect, obligation to protect and obligation to fulfill. 
These levels of obligations go with two levels of compliance: immediate and progressive. 
The concept of "progressive realization" implies the obligation to prove progress as the 
state is under obligation to take stapes to the maximum of its available resources and by 
all appropriate means, with a view to achieving progressively the full realization of 
rights. 



In addition, state obligations require both conduct and results. Obligation of conduct 
means that a state has to undertake a specific step (act or omission. Obligation of results 
means the obligation to attain a particular outcome through active implementation of 
policies and programs. 46 

State obligations exist at three levels or commonly referred to as "Levels of State 
Obligations". These are: Respect, Protect and Fulfill. Obligation to Respect means that 
the state should not directly violate the rights of the citizens. Obligation to protect means 
that the state should protect its citizens from violations committed by others. Obligation 
to Fulfill means that the state should facilitate and promote the full exercise of rights by 
its citizens, becoming a direct provider in exceptional circumstances. 

The obligation to fulfill has two dimensions: 

a) Obligation to facilitate or promote implies that the state should remove all 

obstacles, which impede disadvantaged groups to enjoy opportunities that 
are available to others. This means that the state should take all the 
necessary measures to "facilitate" as much as possible the rights of 
individuals by ensuring real opportunities for people to exercise their 
rights fully. This requires states to adopt appropriate legislative, 
administrative, budgetary, judicial, promotional or other measures toward 
the full enjoyment of rights by all. 



35 



b) Obligation to be the provider means that individuals or groups are unable 

to realize their rights by the means at their disposal for reasons beyond 
their control and thus states have the obligation to directly provide. 

2. Obligations of Individuals 

"Freedom and equality" require responsibility and solidarity. Responsibility means the 
legal exercise of human rights. Solidarity ascribes to economic and social rights and its 
application to redistributive policies. Most of the time, this refers to duties towards the 
community and towards the vulnerable and disadvantaged sectors. Over and above the 
general duties of individuals to respect, protect and promote human rights, their duties are 
also of two kinds as follows: 

a) To exercise their Rights - Individuals must exercise their rights 

responsibly. Most human rights establish certain limitations to ensure 
rights and duties go together especially when the welfare of the 
community and the rights of others are concerned and thus, preserved. 



b) To exercise duties to others and the community - At the very foundation of 

human rights is the conviction that because every one of us human beings 
is sacred, every one of us bears certain responsibilities to every one of us". 
4 This means that human rights are attentive to right and wrong. It 
cares about what happens to other people for no other reason except their 
being humans. Thus, individuals ought to promote and observe human 
rights and also has duties to the community because it is only in solidarity 
with the community that individuals will be able to achieve their full 
development. 



3. Obligations of the International Community - The member states comprise 

the United Nations Organizations. Individually and collectively they are bound to 
comply with human rights obligations as provided in the UN Charter. Therefore, 
development assistance is not charity but obligation of the international community and 
of the members. Hence, solidarity which is encouraged voluntarily is an international 
human rights obligation. 

From this discussion of concepts of obligations and entitlements could be derived the role 
that both the duty-bearers and claimholders perform in development. They are in fact the 
doer and the actors in development. This meant that certain accountabilities, duties and 
responsibilities are essential to the development process. 



36 



B. Implications of HRBA in Good Governance 

A Case Study on the connection between human rights, good governance and sustainable 
development was conducted by the Commonwealth of Australia the case study reveals 
that good governance is achieved under a democratic political system in which the 
actions of all three sectors contribute to the good of society. It is most likely to occur 
when the government sector has high quality public sector institutions and when the 
nation has a strong civil society. Good governance and human rights develop together. 
A truly democratic government cannot occur unless individuals have guaranteed civil and 
political rights. This means they can freely express their views without fear of being 
arrested, tortured or discriminated against. Civil society is about people contributing to 
the governing of their country through their participation in the community. It is difficult 
to participate if you are poor, unemployed, hungry, homeless and uneducated. People 
who live under these conditions are being denied their economic, social and cultural 
rights. Good governance cannot truly occur until these rights are guaranteed by a 
government willing to take responsibility for the social security of its people. Investing 
in people through good governance means creating a skilled workforce that will 
capacitate them into having access over their right to productive assets that will help them 
improve themselves. This cannot occur unless basic economic and social human rights 
are met including the right to adequate education, health services, food, and shelter. A 
government which does not manage its economy well will not have enough resources to 
guarantee basic human rights. However, if these rights are not met it is difficult to create 
the accountable and transparent institutions so vital to good governance and to 
sustainable development. 

Understanding governance, its beginnings, concepts and processes is a prerequisite to 
figuring out the possible implications of the HRBA and it future direction in the context 
of Public Administration specifically in governance. Such review of the beginnings, 
purposes, actors and their roles and the processes of governance, are significant in 
relation to how governance is viewed in the perspective of the HRBA. 

Emergence of Governance 

In order to appreciate better the implications of HRBA in good governance, there is an 
imperative need to revisit the beginnings and the evolution of governance concepts over 
three decades, which was a long struggle of transforming governance into so-called good 
governance in connection with making governance processes more accountable, 
transparent, participatory, efficient and effective, equitable and follows rule of law. 

Governance as a concept and a practice was precipitated by series of societal conditions. 
Governance did not come out from a vacuum. It was a response to existing societal 
phenomenon from the 1970s, 1980s and 1990s. Governance is a new paradigm, a model 
or a project during this period of world history. The meaning of the use of the word 
paradigm here refers to the concept of Thomas Kuhn during the early 1960s, which he 
discussed in his celebrated essay The Structure of Scientific Revolution (1962). 
Governance, which was made to respond to pressing realities of the 1970s, did not bear 



37 



any revolutionary character but a developmental one that helped fragmented, 
disarticulated and weak states in managing the democratic polity. 

The developmental stage of governance involves "a transition from "Government to 
Governance" , which has remarkable changes in the relationships and operations of the 
different stakeholders of society. The realities surrounding the emergence of governance 
are tackled specifically in industrialized countries. It explains the conditions that typified 
the period, which was marked by economic depression and stagnation, harshness in 
mandatory implementation of austerity measures gradually disintegrating the welfare 
state, derogation of unemployment insurance schemes, the privatization of pension fund, 
social services and decline of social security. Michel Chossudovsky in his article on 
"The Global Poverty in the late 20 tl Century also accounted for the breakdown of the 
welfare state during the early 1990s in the ghettos of America and increasingly in Europe 
that gave rise to social strife and civil dissent, with governments perceived to be 
encroaching into individual liberties and also, perceived to be losing credibility to run the 
democratic polity. One aggravating condition was the post cold war marred by economic 
collapse in parts of Eastern Europe, which had tremendous impact on earnings, 
employment and social services due to hyperinflation and privatization that triggered 
massive lay-offs of millions of workers in the affected industries. 

Based on the conditions described above, there came about the so-called "the rise of 
hollow states" referring to disarticulate and fragmented states. As Donald Kettl (2000) 
said Governments in the 1970s, 1980s and 1990s became less hierarchical, more 
decentralized and increasingly willing to cede their role as dominant policy actor to the 
private sector. " There was at the time an ongoing management reform movement that 
varies across the globe and between nation-states. He asserted that the "management 
reform centered on six core issues such as: how government can do "more with less, 
government leveraging market mechanisms, connecting government with citizens, 
decentralization and devolution and bringing the process closer to the people, improving 
government' s capacities to create, implement and administer public policy and making 
government more accountable to what it promises to do (Kettl 2000, 1-2)." 

Obviously to cope with pressures at all economic, social and political fronts, government 
engages in practices such as contracting out public service provision for the purpose of 
reducing its role as direct supplier of public goods (Provan 2000b, 240) and handling 
public policies & programs administered thru states, regions, special districts, service 
delivery areas, local offices, non-profit organizations, collaborations, networks, etc 
(Lynn, et al 2001, 1). As a consequence, government that used to be strong is weakened 
and seen to be incapable of governing as it had in the past. Thus, the traditional concept 
of government as a controlling and regulation organization for society is argued to be 
outmoded "(Bekke, Kickert, and Kooiman 1995). 

Within the management reform movement was a debate about governance: What should 
government do? How can it best accomplish these goals and what capacity does it need 
to do it well? The discussion and debate about governance depend on the histories, 
institutions and political differences of nation-states. This debate largely occurs in 



38 



Europe, primarily in the United Kingdom and Netherlands focused on the argument on 
"Governance without Government." Bekke, Kickert and Kooiman (1995) postulate that 
the traditional concept of government as a controlling and regulating organization for 
society is argued to be outmoded but the preeminent role of government in welfare state 
in Europe made it more resistant to the perspective of governance. Governments in this 
part of Europe are basically centralized and therefore, have much more to lose in terms of 
power and involvement in public policy making and implementation. In the United 
States, the debate on governance was much less. Its government is decentralized and 
there is inter-governmental sharing of responsibilities on policy concerns among the 
local, state and national government. 51 



Approaches of Governance and its Relevance to Human Rights 

On the basis of the varied definitions of Rhodes on governance, this study would attempt 
at discovering what definition/s would functionally work compatibly with human rights if 
and when the approach has prospect of being broadly applied in governance and public 
administration. 52 

The three theoretical approaches of Governance include the following: that Governance 
is Public Administration of expanded scope, that Governance is new Public Management 
and Governance is the repositioning or the conjunction of Public Administration. 



As herein discussed, the approaches present the different forms of responses of states to 
changing societal changes and conditions under the language "Governance". However, 
not one approach is conclusive to have the monopoly of understanding governance. 

For instance, governance under the first approach was interpreted to mean the expanded 
form of public administration. Represented by an equation developed by Lynn et al. 
(2000, 15), governance was featured as the summation of environmental factors, client 
characteristics, core processes and treatment used, structure involving integration and 
coordination and the leadership and managerial roles and actions. This model was 
viewed useful in terms of empirical research on governance but not necessarily 
representative of a coherent theory of governance. 

The second approach described governance closer to the New Public management 
(NPM) in so many ways as described in Table 1 but their basic differences stood out in 
respect to their respective goals. NPM is corporatizing the public sector while 
governance is purely engaging the stakeholders into multi-jurisdictional relationships and 
processes. Meaning, it defines the interaction and relationship between and among the 
principal actors of governance, without attempting to change the culture and inherent 
characters of the actors, namely: government, private sector and civil society. 

Finally, the third approach defines the repositioning and changing Public Administration 
under the intellectual label "Governance". The approach focuses on administrative 



39 



conjunction, which co-exists with hierarchical arrangements of organizations. Mutual 
cooperation and agreements define the multi-jurisdictional relationships and processes of 
different networks managements. Such that while jurisdictional borders exist, they 
become less relevant among organization networks compared to meaningful 
representations of public interest. 53 

In the context of HRBA, the theoretical approaches of governance worked compatibly 
with the approach. All the approaches point to transforming the functioning of 
governance institutions and processes that would serve public interest and welfare of the 
constituency. HRBA is a response to societal demands that would enhance the 
improvement of the quality of life of the people in the context of larger freedoms and 
exercise of rights. This works compatibly with governance, the purpose of which is to 
make institutions and organizations serve public interests to work well in cooperation 
with one another. HRBA even adds dimension to the roles that principal actors of 
governance play. Under HRBA, the role of the State as an actor of governance is further 
enhance through the performance of human rights obligations under the international 
human rights treaties. The private sector's role as well, is strengthened with its 
identification as the non-state actors with obligations to fulfill human rights. The civil 
society, which is a network of institutions and organizations representing different stakes 
and interests in governance have duties and responsibilities under the international human 
rights framework specifically in ensuring that HRBA would work. 



Concepts of the New Governance Paradigm' 

HRBA, which involves multi-sectoral approach to approaching community problem 
solving at the local and national level, policy and program level and at the institutional 
and network level would work well in the new governance paradigm. The paradigm on 
new governance proves to be useful in public action. Lester Salomon (2001) contends 
that a new era of public problem solving has dawned in many parts of the world. Under 
such era, a host of actors are being mobilized instead of relying exclusively on 
government to solve public problems. The traditional conceptions of Public 
Administration have been rendered irrelevant and the traditional notions of public and 
private responsibilities are rendered obsolete. A conceptualization called "new 
governance" acknowledges the complex of networks of interaction that characterize the 
recent efforts to handle public problems that focuses on wide array of tools and diverse 
networks of institutions being activated in the process rather than the old rigid hierarchies 
in public administration. Salomon presents new dimensions and novel attributes of the 
"new governance" approach to public problem solving that involved non-government 
organizations. 

This trend in New Governance paradigm is demonstrated in the following case. 
Banerjee, et al (2005) who authored this case The Nijera Kori Experience in 
Bangladesh , cited some human rights practices to secure land rights for the poor and 
vulnerable group in Bangladesh. This involves the initiative of the Nijera Kori, a non- 
government organization that work with poor and vulnerable groups of landless people. 



40 



They started their involvement in areas that are densely populated by the poor who 
basically relie on the sale of their physical labor for livelihood. These areas fell in the 
vicinity of the seacoasts and river basins and other specific areas where most inhabitants 
are slum dwellers, weavers, blacksmiths, tobacco and sugarcane farmers and the like. 

The Nijera Kori focused on the application of socially and politically empowering 
strategies that are rights-based. They concentrated on the vulnerable groups, collective 
capacity building using participatory approaches and social mobilization strategies that 
promoted equity and non-discrimination. They have successfully undertaken the 
formation of landless groups, capacity development of these landless groups and adoption 
of social mobilization strategies that harnessed collective capacities and empowerment in 
the forms of economic activities, cultural activities and advocacy activities. These 
landless groups were successful in accessing education, accessing livelihood 
opportunities, regaining lands from illegal usurpers, fighting against some societal 
irregularities, responding to gender issues and gaining representations in government 
committees and community affairs. 



From agency and program to Tool 

The new governance paradigm builds on the rich history of Public Administration. It is a 
synthesis that brings to better focus responses to the prevailing realities. On the basis of 
the societal circumstances under which new paradigm emerged, Governance is regarded 
as a new approach that shows a shift in the unit of analysis in policy analysis and public 
administration from the public agency or the individual public program to the distinctive 
tools or instruments through which public purposes are pursued. With the varied 
conditions and demands of society, such instruments have mushroomed in number and 
scale in recent decades. It has altered the nature of public management and the pattern of 
problem solving in various ways, but ways that are only partly acknowledged in existing 
theories and approaches. New governance takes a significantly different approach. 
Rather than seeing programs as sui generic, it finds commonalities flowing from the tools 
of public action that they employ. It thus shifts the unit of analysis from the individual 
program or agency to the distinctive tools of public action that program embodies. 
Underlying this approach is the notion that the multitude of different government 
programs really embody a more limited number of basic tools or instruments of action 
that share common features regardless of the field in which they are deployed. Whenever 
governance works, these tools define the set of actors that will be part of the cast during 
the all important implementation process that follows program enactment, and they 
determine the roles that these actors play. Since these different actors have their own 
perspective, ethos, standard operating procedures, skills and incentives, by determining 
the actors the choice of tools importantly influences the outcome of the process. 

In this sense, HRBA could be regarded as one of these many approaches and tools that 
proliferated in order to provide alternative methods and tools for public action both at the 
program and project level. The HRBA defines the role of the three governance actors, 
namely the government, private sector and civil society differently based on the levels 



41 



and standards of human rights obligations and entitlements required for a particular 
public action, program or project. 

One case using HRBA as an alternative tool for public action is demonstrated in the 
UNESCO-Initiated Education for peace and Development Project in Kampo Province, 
Cambodia. This initiative is in response to the collapse of South East Asia's most 
progressive education system together with the killing of the country's educated class 
during the Khmer Rouge regime. As documented by Bajernee, the project is a UNESCO 
sponsored project "Conflict prevention and Resolution through Education - Education for 
peace and Development" in 1 8 villages in two communes (Trapeng Phleng and Taken) in 
the Koh Sla region in Kampot province. The project is centered on the right to 
information designed to achieve a long term goal of building a culture of peace in the 
communities by preventing conflict in both the domestic and community spheres. 
Components of this project include enabling children to access non-formal education, 
helping communities realize the value of a culture of peace, empowering communities 
through vocational skills and partnership and helping support equitable process for 
gender empowerment. 

The rights-based strategies used include training of stakeholders' capacities, enlisting 
stakeholders' participation, using, using a local civil society agency to help build inroads, 
using radio as means for development communication, using the community learning 
centers as a forum for participation and documenting process outcomes on the capacity 
and role of duty bearers in addressing demands and monitoring to ascertain rights-based 
outcomes from the rights-based strategies. 

In governance, there is no division between policy and administration assumed in the 
classical theory. In practice such division does not work. The process of program design 
does not end with legislative enactment but rather continuous into the implementation 
phase as well. The decisions in this stage of the process shape which actors have 
significant roles. Thus, by shifting the focus from agencies or programs to underlying 
tools, the new governance provides a way to get a handle on the post enactment process. 
Tool choices significantly shape this process that affect results. Tool choices are not just 
technical decisions. They are profoundly political. They give some actors some 
perspectives, an advantage in determining how policies will be carried out. The choice of 
tools to be used determines which interests will be more advantaged as a result. What is 
at stake here is not only the most efficient way to solve particular public problem but also 
the relative influence that various affected interest will have in the post enactment 
evolution. As further contended by Salomnon (2001), in the US tool choices is strongly 
pro-market bias. In the UK, tool choices are more favorably inclined toward the state. If 
tools are fundamentally political choices, they are also operational choices that have 
significant implications for the management of public affairs. Different tools require 
different management skills and knowledge. Generic management skills should be 
supplemented with skills peculiar to the various tools employed. 

HRBA provides diverse tools that helps in defining not only the roles of governance 
actors, but more importantly, in assessing the strengths and weaknesses of these actors in 



42 



realizing particular obligations and entitlements that could be applied to public action that 
would enhance governance towards improving the quality of life of the constituencies. 



From Hierarchy to network 

HRBA works through a network of institutions as well. These networks comprise a 
network of governance actors agreeing to work in collaboration with one another based 
on obligations and entitlements set to be realized. Under the new governance, network 
theory operates, which has four characteristics: 

1. Pluriformity - engages a diverse range of organizations and organizational 
types, many of which have limited experience cooperating with each other 
and limited knowledge of each other's operating style. 

2. Self -referentiality - involves different actors who in fact, have their own 
interest and frame of reference and therefore, approaches the relationship 
with a different set of perspectives and incentives 

3. Asymmetric interdependencies - suggests that even when all parties want the 
same thing, they still may not be able to cooperate fully because they may not 
all want it with the same urgency in the same sequence or at the same time 
and therefore, rarely perform in symmetrical way. 

4. Dynamism - changes over time as the network carry out its mission 

The dynamics involved in HRBA promote the same characteristics of this new paradigm 
of governance. The only fix pattern in HRBA is realizing rights through the defined roles 
of the governance actors. All the other aspects of governance related to pluriformity, 
self-referentiality and asymmetric interdependencies and dynamism could operate in 
governance that uses HRBA. 

From public vs. private to Public and private 

Cross-sectoral relationship can be achieved for effective public problem solving. New 
governance does not recognize sharp division between the public and private sphere. 
While they retain individuality, collaboration replaces competition highlighting on the 
complementarities that exists among the sectors. HRBA implies that complementarities 
that exist among the sectors are based on human rights principles, human rights 
standards, implementation of State obligations and empowerment of people for securing 
rights entitlements. 



43 



From Command and control to negotiation and persuasion 

Given the pervasive interdependence that characterizes such networks, no entity 
including the state is in a position to enforce its will on the others over the long run. 
Negotiations and persuasion replace command and control. Not only in setting up 
policies but also in implementing them. Instead of issuing orders, public managers must 
learn how to create incentives for the outcomes they desire from actors over whom they 
have only imperfect control. HRBA softens the imposition of international human rights 
standards. While its intention is not to compromise human rights, it engages different 
governance actors, especially the State into some kind of process whereby it would 
recognize the respect, promotion and fulfillment of enforceable accountabilities under the 
international human rights framework. There are enforceable rights that HRBA would 
promote in terms of immediate compliance and others in terms of progressive realization 
for instance, through development programming. 

From Management Skills to Enablement Skills 

HRBA is basically a process of capacity building for both the duty-bearers and 
claimholders involved in the governance process. As such, the approach works well with 
the thrust of this new governance paradigm, which requires enablement skills. These are: 

1 . Activation Skills which can be performed by any actor involving a sense of 
responsibility for activating problem solving networks; 

2. Orchestration Skills - An enabler rather than a doer; and 

3. Modulation Skills - the sensitive modulation of rewards and penalties in order to 
elicit cooperative behavior from the interdependent players. Excessive use of 
authority can backfire if partners choose not to play 

Contemporary Governance 

Contemporary governance aims at democratizing governance, which is exactly the 
objective of HRBA, which is that of ensuring the constant development of the people in 
larger freedoms and exercise of rights. There is a rich literature on contemporary 
governance which points to the increasing significance of networks and partnerships. The 
more significant literature include: a) governance studies that elaborates on the 
interrelationship of three governance structures: markets, hierarchies and networks 
(Rhodes, 1999): b) governance structures that are characterized by more open boundaries 
that are intermingling with one another with emphasis on varieties of public private and 
voluntary organizations working together through networks, with initiatives such as 
public -private partnerships 'at the core of the coordination repertoire' (Jessop, 2000: 31- 
2). The state still has powerful policy levers and agenda-setting capabilities that operate 
through the hierarchies at its disposal, but governmental action is often 'highly contingent 
upon the actions of others' (John and Cole, 2000: 8 2). 



44 



Governance necessarily involves questions of authority and legitimacy whenever it 
delves on concerns involving co-ordination and prioritization of actions, resources, values 
and purposes There are two types of open governance: a)organic governance and b) 
organic governance which emerges from the theoretical work below. Theoretical work 
incorporates Weber's typology of domination within a more broadly-based set of 
legitimacies of co-ordination, including the notion of interior authority, which is 
especially important for contemporary forms of governance. Interior authority is then 
explored further through the idea of identity orientations, which enable agency, and the 
notion of substantive liberty. 

The perspective on human agency reflected in this exploration acknowledges the 
interconnection of the social and non-social and links the sociological task of 
understanding agency with persistent philosophical issues in political philosophy 
concerned with freedom and welfare. It is suggested that this theoretical work helps give 
content to Weber's concept of inner distance and, that following from this, there are 
implications for our understanding of what is involved in democratizing governance. 



S7 

Changing Role of State in Governance 

Governance model has dominated public policy. The assertion is that these amorphous 
collections of actors-not formal policy-making institutions in government— control policy. 
State agencies may place some imprimatur on the policy, so the argument goes, but the 
real action occurs within the private sector. Further, in the more extreme versions of the 
argument, if governments attempt to impose control over policy, these networks have 
sufficient resiliency and capacity for self-organization (1) (Kooiman 1993; Marsh and 
Rhodes 1992; de Bruijn and ten Heuvelhof 1997) to evade the control of government. 

It long has been argued that the private sector has real influence over public policy 
through structures with varying degrees of formality, but this conception carries the 
argument to that of dominance. This dominance is possible partly because the State has 
become de-legitimated. The loss of legitimacy is in part because state actors are 
excessively clumsy, bureaucratic, and path dependent and in part because of the control 
of information and implementation structures by private actors. It appears that whatever 
the State does it does poorly, while the private sector (for profit and not for profit) is 

CO 

more effective. 

In the governance arguments, the State does not become totally impotent; rather, it loses 
the capacity for direct control and replaces that faculty with a capacity for influence. 
Government actors are conceptualized as in a continual process of bargaining with the 
members of their relevant networks. What has changed, however, is that these 
government actors now bargain as relative equals rather than as with the capacity to 
resort always to power if the decision that is made is not what they want. 

Government organizations remain a part of the networks in these emerging models of 
governance but they are conceptualized as dependent on the other actors to the same 



45 



extent that those actors are dependent on government. This mutual resource dependency 
(Rhodes 1988) at first characterized the relationship between central governments and 
sub-national government, but the argument has been extended to cover the gamut of 
relationships between central government organizations and the other organizations with 
which they interact. 

The blending of public-private resources is achieved through the use of network. This 
may be done through formal partnerships between actors in government and actors in the 
private sector. These partnerships permit each side to use resources that would not be at 
its disposal was it to remain on its own side of the (presumed) divide between the two 
sectors (Peters 1998). 

This perspective of governance is essential in so far as the demands of HRBA are 
concerned. Under HRBA, human rights standards would have to be progressively 
realized in the realm of policy making, programming and even project implementation. 
Resources of government are scarce and would require catalyzing the generation of other 
resources to get implemented. 

Challenge confronting Government in "New Governance" 

HRBA is one method and tool that could help governance faces up to its challenges under 
the new era of governance. As kettle postulates not only must government devise new 
strategies for managing public programs effectively in a globalized and devolved policy 
world, it must also build the capacity for doing so. As generally observed, most 
government bureaucracies remain structured and staffed to manage traditional direct 
programs through traditionally structured and staffed bureaucracies. As the government's 
strategies and tactics have changed, its structures and process— especially its personnel 
and support systems have not. The idea is not to abandon the traditional model. It only 
means making it possible to adapt effectively with the horizontal networks that have been 
layered on top of the traditional vertical system. Thus, the first governance challenge is 
adaptation: fitting traditional vertical systems to the new challenges of globalization and 
devolution, and integrating new horizontal systems to the traditional vertical ones. 

The second governance challenge is capacity: enhancing government's ability to govern 
and manage effectively in this transformed environment. Again HRBA is one method 
and tool to help enhance the capacity of government to respond to societal demands for 
economic, social, political and cultural development. For a century, hierarchical authority 
has provided the intellectual foundation of public administration. It has also provided the 
foundation for delegation of power to the bureaucracy in exchange for a mechanism of 
accountability. Because both globalization and devolution scramble these foundations, 
they demand that government create new strategies for effective management and 
accountability. HRBA provides this kind of new strategy to achieve more accountability 
in governance that is non-hierarchical but network based that is premised again, on 
human rights obligations and entitlements relevant and applicable to specific governance 
actors. 



46 



Good Governance as Donor Parlance 

In the aspect of good governance, different views about it evolved among development 
partners. Martin Doornbos (2003) posits his views on so-called good governance. He said 
that notions of good governance and political conditions coupled with series of 
interlocking policy criteria and initiatives have been prominent in the development aid 
front over many decades. As he elaborated and traced from the post-Cold War era such 
policy and political conditionalities has increasingly becoming apparent that these 
expectations were rather overstretched. Posing political conditions to induce good 
governance did not work over time. As a result, the particular ensemble of donor policy 
concepts and instruments associated is now reconfigured. 

He contends that new kinds of donor-recipient relations are increasingly being accepted. 
Donors consider foremost a comprehensive sector program that should be put in place 
through detailed contractual agreements with selected countries. Good governance 
remains part of donor parlance, but with less ambitious expectations on the scope for 
intervention and political restructuring that were set as conditionality before. Since the 
application of the HRB A was started, it has always been supported by donors or so-called 
development partners under their portfolios on democratic governance. It would seem 
that this trend would continue until the HRBA gets adopted as a State policy to 
implement the international human rights treaties. 

Link between Human Rights and Good Governance 

Governance is the process whereby public institutions conduct public affairs, manage 
public resources and guarantee the realization of human rights. Good governance 
accomplishes this in a manner essentially free of abuse and corruption, and with due 
regard for the rule of law. The true test of "good" governance is the degree to which it 
delivers on the promise of human rights: civil, cultural, economic, political and social 
rights. The key question is: are the institutions of governance effectively guaranteeing the 
right to health, adequate housing, sufficient food, quality education, fair justice and 
personal security 

The concept of good governance has been clarified by the work of the United Nations 
Commission on Human Rights. In its resolution 2000/64, the Commission identified the 
key attributes of good governance as: transparency, responsibility, accountability, 
participation and responsiveness (to the needs of the people). 

In support of the international trend of linking human rights and good governance, 
Christoppher Mccrudden (1998) of the University of Oxford produced a paper on 
mainstreaming of human rights in policy making. As he posited the advent of the Human 
Rights Act 1998 has significantly increased consideration of how best to ensure the 
effective delivery of human rights in the United Kingdom. In his paper he examined an 
additional mechanism, the "mainstreaming" of human rights in governmental decision- 
making, which may help to address some of the limits of existing approaches to human 
rights compliance. By "mainstreaming," he meant the reorganization, improvement, 



47 



development and evaluation of policy processes, so that a human rights perspective is 
incorporated in all policies at all levels and at all stages, by the actors normally involved 
in policy-making. His discussion of the issue reaches the conclusion that mainstreaming 
human rights is a desirable policy but that there is a need for considerably more 
discussion as to the most effective practical means of achieving this and that some 
methods that have been suggested might be counter-productive. He attempted to draw out 
some of the issues that need to be considered in adopting mainstreaming. In particular, 
the applicability of existing approaches to equality mainstreaming to human rights is 
examined. 



Resolution 2000/64 expressly linked good governance to an enabling environment 
conducive to the enjoyment of human rights and "prompting growth and sustainable 
human development." In underscoring the importance of development cooperation for 
securing good governance in countries in need of external support, the resolution 
recognized the value of partnership approaches to development cooperation and the 
inappropriateness of prescriptive approaches. 

By linking good governance to sustainable human development, emphasizing principles 
such as accountability, participation and the enjoyment of human rights, and rejecting 
prescriptive approaches to development assistance, the resolution stands as an implicit 
endorsement of the HRBA. 

Citizenship Rights in Governance 

Discussed in the literature of Hague (2003) are the evolution of citizenship rights, the 
recognition of social rights— e.g., citizens' rights to employment and income, decent living 
standards, and basic services like education and health have emerged largely after World 
War II in response to increasing clamor for those rights. In the developing world, the 
realization of social rights became indispensable due to the urgent need for providing 
basic services to low-income citizens. In general, the two major domains of citizenship 
rights include the citizens' political rights (rights to free speech, political participation, 
and political position) and their social rights (rights to economic security and basic 
services). The Universal Declaration of Human Rights (1948) recognizes each 
individual's right to freedom, liberty, equality, justice, education, employment, and so on. 
In developing countries like those in South Asia, the post-independence period saw the 
emergence and expansion of these basic citizenship rights guaranteed by their 
constitutions. However, the realization of these citizenship rights often depends on the 
nature or mode of governance prevailing in the country. 

Hague (2003) exhaustively elaborated on this phenomenon in South Asia. He contended 
that the state played a critical role in generating income, creating jobs, and ensuring 
people's access to basic education, health care, transport, and agricultural inputs, which 
led to the expansion of the public sector. Although many public agencies delivering 
subsidized basic services, suffered from fiscal difficulty and administrative 
mismanagement, they aimed to fulfill the entitlement of poorer citizens to these basic 



48 



services. But in the current age of reinventing governance based on market principles, the 
citizens' entitlement to such service provisions has come under challenge due to new 
policies such as the privatization of public agencies, reduction in public expenditures, 
withdrawal of subsidies, deregulation of prices, and introduction of user fees, which have 
made these services too expensive and unaffordable to poor citizens. 

Hague further explained the impact of a market-led reform on citizen's entitlements. He 
said, first, it is necessary to contextualize the severity of impacts of such market-led 
reforms on citizens, because it largely depends on their level of poverty or affluence-- 
while citizens in affluent developed nations can usually afford to pay for basic services 
like heath and education delivered by the private sector, the poor citizens in the 
developing world remain dependent on the state provisions of these services. This 
worsening situation of poverty is often attributed to market-led policies (e.g., 
privatization, deregulation, devaluation, retrenchment, and subsidy cut), which have 
allegedly benefited private firms and foreign investors but worsened unemployment, 
increased service charges, and perpetuated economic hardship among the rural poor 

Second, a more direct explanation of the causal relation between poverty and market-led 
reforms is the increasing rate of public sector unemployment under these reforms that led 
to redundancy and retrenchment. Condition of unemployment caused by market-led 
policies has become even more serious due to other outcomes of these policies, including 
a decline in real wages, the rise of inflation, and an increase in consumer prices. [86] 
Thus, the overall social protection for the working class has diminished in South Asia due 
to market-driven public sector reforms. 

Finally, the social protection and entitlement of citizens in South Asia have also come 
under challenge due to reduction in social sector budget and welfare subsidy under 
market-led reforms, which eroded the access of low-income families to basic needs such 
as education, health, safe water, nutrition, and housing. 

The OXFAM GB Indonesia-Supported project initiated by JARNOP PP/FKIP 63 is one 
good example of a case to demonstrate citizenship rights in governance. As documented 
by Banerjee, the worldwide OXFAM GB takes a Human Rights-Based Approach to 
addre4ssing the root causes of poverty. By definition, poverty as used by OXFAM GB 
goes beyond purely economic but includes capabilities, powerlessness and inequity. The 
initiative focuses on "voice poverty" referring to the denial of poor women and men's 
right to influence the decisions that affect their lives and the right to be heard, as its 
integral aspect. In context, 59% of the Indonesian population bases their livelihood on 
agriculture, where there is general lack of adequate policies and programs that hampers 
the plight of the farmers. 

The OXFAM GB Indonesia and JARNOF PP/PKIP partnership is public-State 

participation with the passing of law No. 22/999 on Regional Governance and Law No. 
25/999 on Fiscal Balance between the Center and the Regions that aims to transform the 
concept of decentralization and regional autonomy into reality. JARNOP-PP is a 
network of 30 NGOs working in Java advocating policy reforms at the national and local 



49 



levels. While the FKIP has a network of around 25 farmers' groups that comprise around 
300 farmers working in all the 28 sub-districts in 4 provinces - Central Java, West Java, 
Yogyakarta and East Java. These groups advocate for fair rice price, cheaper prices for 
fertilizers and access to Government-imposed floor price for rice. The rights-based tools 
used to changing the power equation include the tool of participatory budgeting through 
public hearing, advocacy and lobby campaigns. The changes that occurred as a result of 
using the rights-based tools include: increasing of budgetary allocation for agriculture 
and irrigation sectors; formation of water users' group, focus of government to illegal 
sand mining; rescheduling of farmers' credit; monitoring of budgetary allocation made 
transparent and participatory; an gaining representation and membership of the JARNOP 
PP in the Agency for Food Security for continued policy advocacy for farmers. 



Multi-level Definitions of Governance 

From this theoretical evolution of Governance emerge other definitions and concepts of 
governance. R.A.W. Rhodes (1996) tackles seven definitions of governance as networks 
and gives interpretations of it from the social science viewpoint. These seven definitions 
approximate the different uses and practical application of the governance theory. 

Governance has assumed different meanings: Governance as corporate governance 
argues for a more commercial style of management" to bring about different culture and 
climate" (CIPFA, 199: 6); as corporate governance focused on the market, participatory, 
temporary and regulatory state and discusses their effects (OECD, 1995); as good 
governance identifying the three strands to good governance to include systemic, political 
and administrative (Leftwich, 1993); as international development attributing to 
hollowing out of the state and multi-level governance in production, financial 
transactions, international organizations, international law and hegemonic powers and 
power blocks; as networks characterized by diplomacy, reciprocity, interdependence, 
self-organizing and inter-organizational (Rhodes, 1997b); as socio-cybernetic system 
governed by polycentric state with multiple centers with many and varied arrangements 
for coping with problems (Luhmann, 1982: xv); and as New Political Economy referring 
to governance ass "the political and economic processes that coordinate activities and 
transforms institutions that govern economic activities focused on emergence and 
rearrangement of several institutional forms (Lindberg and Campbell, 1991). 64 

On the other hand the United Nations Development Programme has contributed much to 
the development of governance. UNDP defines governance as "the exercise of political, 
economic and administrative authority in the management of a country's affairs at all 
levels to include the complex mechanisms, processes and institutions through which 
citizens and groups articulate their interests, mediate their differences and exercise their 
legal rights and obligations. " This definition is very much attuned with how Lyn et al 
define governance. However, governance is not something that operates in a vacuum. It 
is a process that seeks to achieve a goal. On the part of UNDP, the goal of governance is 
"to develop capacities that are needed to realize development that gives priority to the 
poor, advances women, sustain the environment and creates needed opportunities for 



50 



employment and other livelihoods." " The discussions on governance as a means for 
sustainable human development especially in market economies have begun only in the 
1990s. Different international organizations had initially taken up governance in the 
realms of public sector management. 

There is marvelous logic in discovering the concept of governance in these modern times. 
Indeed, it is an added value to the discipline of Public Administration to give credence to 
HRBA that focuses on how the doers and participants representing the different 
stakeholders of society within the perspective of so-called governance perform their 
rights and obligations in the pursuit of democratic goals and ideals. As implied, 
governance gives a sense of identity to the Public Administration discipline and practice 
in the context of how governance actors behave. They do behave through a process of 
cooperation, networking and collaboration for the purpose of maximizing the 
contributions, efficiency and effectiveness of all governance stakeholders in responding 
to societal issues and development. The culture projected by governance is not of 
competition in a winning or losing scheme, which is the basic character of the interaction 
of stakeholders in the practice of political science. 



Except for the inclusion of economic governance, the rest of the three other types 
conform to the concept introduced by Leftwich (1993). As postulated by UNDP these 
types have distinct philosophies and goals in governance: economic governance 
influences societal issues in the areas of equity, poverty and quality of life through 
processes of decision making that directly or indirectly affect the country's economic 
activities and its relationships with other economies; political governance serves 
pluralism of the democratic polity and citizen empowerment and legitimate 
representation through the process of decision making and policy implementation of a 
legitimate and authoritative state; administrative governance by an efficient, independent, 
accountable and open public sector through a system of policy implementation; and 
systemic governance that warrants protection of cultural, religious beliefs and values 
through processes and structures of society to guide political and economic activities for 
the creation and maintenance of environment for health, freedom and human security and 
better quality of life for the people. 68 



Domains of Governance and Changing Role of the Public Sector 

On the whole HRBA could contribute much in further defining the domains of 
governance and the changing role of the public sector. As earlier discussed, governance 
has three main actors namely: state, private sector and civil society. Since governance 
deals with relationships and processes, it transcends borders and underscores cooperation, 
agreements, interaction and mutual interdependence. Borders among the three 

stakeholders have weakened. The concept of public sector has narrowed. Public as a 
term is more aptly used to describe the nature of goods and services produced. Any of 
the three stakeholders or combination thereof, may produce public goods and services. 
Under the governance regime different types of cooperation and collaborations 



51 



characterize the delivery of public goods and services. Consequently, any actor in 
governance sphere may contribute to the delivery of public goods and services resulting 
to the widening of the concept of what are public and what is not depending on whose 
interests, goods and services are delivered. 



This is a favorable condition in the use of HRBA in governance. Very much related to 
addressing the problem of the study is putting HRBA in context. Thus, framework on the 
objectives and processes of public Administration and Governance will likewise be 
examined. This way, the prospect and future direction of HRBA may be formulated for 
its wider use and application not only in development programming or development and 
implementation of projects but also, achieving higher plane of goals in development and 
governance. Thus, readings on the theories and concepts of both Public administration 
and governance will be material to the pursuit of this study. 

One interesting concern will be the implication of the HRBA in the concept of 
governance to include the emerging role of government and civil society with particular 
reference to human rights concepts of state obligations and accountabilities. 
Frederickson and Smith discussed rationally the shift in the purposes and methods of 
government. They described the reversing trend characteristic of post-WW II 
development as governments in the 70s, 80s and 90s became less hierarchical, more 
decentralized increasingly willing to cede their role as dominant policy actor to the 
private sector (Kettl 2000). They comprehensively identified the challenge that these 
changes pose to existing PA Theory. 

They reviewed that traditionally, the "public" in public administration meant government 
and that as the traditional role of government changes and with its expectations about 
how the role is to be fulfilled; public administration is being forced to redefine and 
reposition itself both in applied practice and as a field of scholarship. They also 
rationalized the need for Theory of Governance? They deliberated Governance as 
currently more an acknowledgement of the empirical reality of changing times than it is a 
body of coherent theory. 



In the book of Rhodes, he carefully made a review on the literature of governance in the 
context of the study of Public Administration highlighting the sociological view of 
governance and its seven definitions. He reiterated the general definition of governance 
as a blanket term reflecting a changing meaning of government (Jorgensen, 1993) March 
and Olsen, 1989) focused on the extent and form of intervention of government and the 
use of markets and quasi-markets in the delivery of public services. 

Thus in seven ways, Rhodes defined Governance as follows: Governance as Corporate 
Governance - that describes more efficient government in the public sector bringing 
about a different culture and climate as those of business corporations; Governance as the 
New Public Management - referring to corporate management and marketization; 
Governance as "Good Governance" - underscoring a worldwide trend of defining three 



52 



strands to good governance as systemic covering the distribution of both internal and 
external economic and political power, political referring to enjoyment of both legitimacy 
and authority and administrative ascribing to an efficient, accountable and audited public 
service (p. 611); Governance as International Independence - contextualizing governance 
in the hollowing out thesis that international interdependencies erode the authority of the 
state through the limiting of the authority of the states, the internationalization of 
production and financial transactions, international organizations, international law and 
hegemonic powers and power blocks (Held, 1991: 151); Governance as a Socio- 
Cybernetic System - defining governance as a result or the total effects of socio-political- 
administrative interventions and interactions (Kooiman, 1993b:258); Governance As the 
New Political Economy - re-examining the government in the context of the economy 
and the interrelationships between and among the stakeholders such as the state, the 
market economy and civil society; Governance as Networks - covering two approaches 
namely: power-dependence and rational choice. Hence, using these definitions of 
Rhodes on governance, what definition/s would functionally work compatibly with 
HRBA if and when the approach has prospect of being broadly applied in governance and 
public administration. 69 

For purpose of this study, the focus is on good governance referring to the achievement 
of more participatory, transparent, accountable governance under a regime of rule of law. 

Corporate Governance and Human Rights 

HRBA as a method and tool for good governance could effectively enhance corporate 
governance involving the private sector. In the article prepared by Luke Wilde (2003) for 
the Business Leaders Initiative on Human Rights, June 2003 gave his operational 
framework on governance and human rights in business. He contended that, Governance 
includes concepts such as the manner of governing, the method of management, system 
of regulations, and mode of living, behavior, demeanor and wise self-command. Hence 
how companies themselves are governed - particularly in light of the recent high profile 
corporate failures in the United States - is in itself an important element of global 
governance and human rights concern. Corporate governance practices across the world 
are currently in the media and regulatory spotlight, for example with the recent 'Higgs 
Report' on the role of non-executive directors in the UKii and SaHRBAnnes-Oxley Act 
in the USiii. In the UK as elsewhere there is momentum towards mandatory social and 
environmental reporting and a group of NGOs including Friends of the Earth and 
Amnesty International are promoting revisions to company law to this effect. While not 
often formalized, the increasing emphasis given to stakeholder engagement and dialogue 
is another important development in corporate governance. Some companies have 
developed policies and implementation mechanisms relating to human rights including 
specific policies on issues such as bribery and corruption and political contributions. 

Clarity on the obligations of businesses for human rights is under development. The June 
2002 revision of the OECD Guidelines for Multinational incorporated the general 
statement that: "Enterprises should respect the human rights of those affected by their 
activities consistent with the host governments international obligations and 



53 



commitments." The United Nations Sub-Commission's Working Group on Trans- 
national Corporations has sought to draw together international human rights law and 
best business practices regarding the human rights conduct of business into the draft 
'Norms of Responsibility of Transnational Corporations and other Business Enterprises 
with respect to Human Rights'. The guidelines express the direct obligations of 
businesses as within their respective spheres of activity and influence, transnational 
corporations and other business enterprises have the obligation to respect, ensure respect 
for, prevent abuses of, and promote human rights recognized in international as well as 
national law.' The Norms cover a broad scope of human rights concerns and there is an 
extensive commentary which provides more definitive guidance as to the standards for 
expected business conduct. As an alternative to the commonly used 'spheres of influence 
model', Margaret Jungk at the Danish Centre for Human Rights has used a traditional 
dissection of human rights law into negative duties that business must respect and 
positive (protecting, promoting, and fulfilling) duties that business should accept 
'positive' duties in particular circumstances (and introduce the notion of a business acting 
as a 'government): 

1. Businesses should act like a government in respect of their workers and 
promote, protect and secure their rights; 

2. Businesses have a duty to ensure that their products are not used in the 
violation of human rights; 

3. A business should assume positive responsibilities in relation to anyone 
residing on its land; and 

4. Companies should incur positive duties when they de facto replace the 
government. 

Human Rights, Governance and Law 

The implications of HRBA in both governance and law have long been established. In 
Chapter 4 of the book published by Thurston (1878) of Georgetown University entitled 
Human Rights, Governance and law, the role of human rights in governance was 
explained thoroughly. One of the major functions of human rights is to guide governance 
at local, national, and international levels. Human rights restrain and give direction to the 
exercise of governance. In Webster's Third New International Dictionary, one of the 
definitions of "governor" is "an attachment to a machine (as in a gasoline or steam 
engine) designed to afford automatic control or limitation of speed or power: especially : 
such an attachment actuated by the centrifugal force of whirling weights opposed by 
gravity or by springs." With reference to the governor sketched on p. 64, Robert 
Thurston, in A History of the Growth of the Steam Engine, explained: The speed of the 
engine varying, that of the spindle changed correspondingly, and the faster the balls were 
swung the farther they separated. When the engine's speed decreased . . . they fall back 
toward the spindle. . . . The arms carrying the balls ... are pinned to rods . . . closing and 



54 



opening the throttle valve, and thus adjusting the supply of steam in such a way as to 
preserve a nearly fixed speed of engine. 



Implications ofHRBA in Governance in the Philippines 

Guided by the initiatives of Maria Socorro Diokno on HRBA together with her team 
composed of CHRP and CSO volunteers, the UN produced a UN Training Manual on 
HRBA in 2002. The UN Training Manual on the Human Rights-Based Approach 
produced in July 2002, gave flesh to the application of the HRBA in the Philippines. The 
UN Country Team in the Philippines adopted the Human Rights-Based Approach to its 
Development Programming in 2001. It oriented and trained the entire UN Family and 
key partners from both government and civil society on the mainstreaming of human 
rights principles, human rights instruments, normative content of rights, and concepts of 
state obligations and rights entitlements and progressive realization into development 
programming. This UN manual produced in the Philippines point to the following key 
features of the HRBA. The concepts of obligations and accountabilities, which apply to 
both duty-bearer and claimholders as elements of HRBA was also discussed in the 

70 

manual. Human Rights always imply human duties and responsibilities. Individuals 
can demand government to comply with its human rights obligations, which have three 
levels: obligation to respect, obligation to protect and obligation to fulfill. These levels of 
obligations go with two levels of compliance: immediate and progressive. 

As postulated in the manual, individuals have specific human rights obligations too: they 
should respect the human rights of others, exercise human rights responsibly and fulfill 
their rights to community. Both duty-bearers (referring to state) and claimholder should 
be capacitated to enable them to fulfill their respective human rights obligations and 
responsibilities. On the other hand, accountability over the performance of obligations 
may be demanded through complementary approaches such as monitoring, reporting, 
public debate, greater citizen participation in public service delivery, justiceability in 
court and the like. Very important to the mainstreaming of human rights obligations and 
accountabilities in development programming are the conduct of capacity analysis and 
assessment and the provision of measures to equip both duty bearer and claimholders 
with the needed capacities that would enable them to fulfill their duties and 
accountabilities. Like human rights obligations, people's rights entitlements are also 
derived from both national and human rights laws corresponding to the standards set in 
the normative content. 

Ma. Socorro I. Diokno had packaged a book that provides both development and human 
rights practitioners with a framework on how to work together. Her book is entitled 
Human Rights Centered Development (2004) is a pioneering attempt to put together the 
concepts and applications of the Human Rights-Based Approach in the Philippines. She 
explained in her book a highly acceptable rationale why development initiatives should 
center on human rights. The book addresses also the guidelines in formulating human 
rights centered policy, a rights-based national development planning, assessing national 
budget allocations in the context of human rights and the procedural process for a human 



55 



rights centered development programming. Of much contribution to both human rights 
and development practitioners are Ms. Diokno's tools for analysis in the context of 
human rights and her enlightening section on the concepts, principles, and standards of 
human rights. Specifically, she categorized human rights principles that determine the 
essence and modes of conduct of development such as empowerment, equality, equity, 
non-discrimination, attention to vulnerable groups, indivisibility, interdependence and 
interrelatedness and universality. She added that other human rights principles specify 
modes of conduct in the pursuit of development presumably by different actors of 
governance. These principles include accountability, good governance, and 
independence of the judiciary, legislative capacity, people's participation and 
transparency. Her manual dealt also on an illustrative discussion of the normative 
content of human rights and an amplification of the nature and levels of human rights 
obligations relating to specific rights, among others. While all these discussions are also 
found in international human rights documents and materials, Ms. Diokno has 
successfully demonstrated the applications of the concepts, principles and standards of 
human rights in a manner that will be easily understood by both development and human 
rights practitioners. 



On the part of the Commission on Human Rights, a framework evolved on the 
mainstreaming of human rights to development in the Philippine context. Under the 
guidance and substantial inputs of Chairperson Purificacion C. Valera-Quisumbing, 
Director Rosette C. Librea of the Strategic Development and Planning Office (SDPO) of 
the Commission on Human Rights of the Philippines (CHRP) developed the Right to 
Development Framework: Mainstreaming Human Rights, Gender and Right to 
Information. The framework was validated by participating government agencies and 
civil society organizations under the GOP-UNDP Right to Development Programme. 
She also formally launched the framework during the Onofre D. Corpuz Lecture Series 
sponsored by the Association of Development Academy of the Philippines Public 
managers, Inc. (ADAPPMI). 

Quisumbing, Librea, et al in their written report, contextualized the HRBA framework in 
the Philippines represented by "two separate spheres that overlap, depicting the level of 
interconnection, between human rights and development. The objective is to increase 
and widen the level of convergence of human rights and development through 
governance processes that provides the enabling environment for development." This 
framework was published in the joint publication of the CHRP and the University of the 
Philippines-National College of Public Administration of Governance (UP-NCPAG) 

71 

.As originally contemplated by Librea, the convergence of the two spheres could be 
better achieved if champions, advocates and workers of each sphere assume a better 
understanding and appreciation of how each sphere works in order to make possible the 
widening of the interconnection between human rights and development. 

The role of governance in this action framework was also elucidated. As conceptualized 
by Quisumbing, Librea, et al, they connected governance to HRBA in the context of the 
notions on human rights obligations and entitlements by the state and the people, who are 



56 



referred to as the duty-bearer and claimholder respectively, under the HRBA concept. 
They contended that the actors of governance refer to the same duty-bearer and 
claimholder under the approach. These same stakeholders constitute the domains of 
governance composed of government institutions, private sector and civil society, who 
interact altogether positively or negatively in different areas of governance such as 
economic governance, political governance and administrative governance. As further 
discussed in the Action Framework, the principles and standards of human rights can be 
applied in these different governance functions particularly in policy making, decision 
making, legislation, regulation, development planning and programming, taxation, 
national security, defense, election administration, administration of justice, 
environmental protection, local governance and the like. 

The concerns on how to mainstream and apply HRBA were also raised in the Action 
Framework. Thus, as the framework suggests, capacities for HRBA can be built through 
training, research, constituency building and other related strategies. The framework 
demonstrated also the practical application of the different steps of development planning 
and programming processes in order to raise standards for quality of life of the people 
and to increase accountability and capacity of government in producing administrative 
policy, economic policy, a piece of legislation, a service delivery system, production of 
goods and services, a program or project, etc. Hence, the framework presented the 
HRBA as applied to development programming involving the urban and informal sectors, 
which Librea presented to the Urban Poor Working Group and the Forum of the Informal 
Sector in 2000 during the implementation of Phase 1 of the Philippine Human Rights 
Plan. 

Ms. Librea made a follow through of the action framework when she joined the Center 
for Public Resource Management (CPRM) in 2002. As one of the consultants of the 
Center, she designed for the CHRP a system approach to understanding the process of 
HRBA in specific development and governance processes. She came up with designs 
that integrates the HRBA into the regular mandate of the CHRP and likewise, the 
application of the HRBA in writing project proposals, program and project development, 
conducting impact assessment, conducting policy analysis, budgeting, national 
development planning and local action planning, human rights compliance monitoring, 
orienting government mandates, services and programs to human rights and the like. 
This design manual was adopted by the CHRP and later published jointly by the UP- 
NCPAG and CHRP in 2006, as a source book on human rights. 

With more intensive research and studies on HRBA, its contributions to development and 
good governance could be more polished. As deliberated under this section, there is no 
conclusive attempt to establish HRBA as the most effective method and tool toward 
achieving good governance. Rather it is conceived as one of the evolving method and 
tool in the continuously evolving paradigm of new governance or good governance 
especially in the Philippines. However, at this stage of propagating HRBA, it could be 
safe to claim that the approach is definitely an effective tool to achieving good 
governance in a country like the Philippines, which is beset with combined development 
and governance problem. HRBA could categorically enhance participation, rule of law, 



57 



transparency, accountability and responsiveness to the people - which are real claims of 
the Filipino people for good governance. 

The foregoing discussions on the concepts of human rights, development, governance 
and their links that are instituted through different human rights-based approaches should 
prove beneficial to this empirical study. Indeed as was shown in the review of literature, 
there are various cases and sample of good practices experienced in different countries 
showing how human rights enhances development and governance as well. 

As the subject of this study, there is a need to establish parallel studies in the Philippines 
that would show the progress that the country is making in the practice of HRBA since 
2002 in different contexts such as institutions, projects, public action, policy making, 
local planning, policy making, among others. 



58 



CHAPTER 3 

CASE 1 - LEGAL EMPOWERMENT OF 
THE POOR (LEP) 



This chapter presents the first of the six case studies of mainstreaming HRBA in selected 
development projects of the Governance Portfolio. The six cases were selected based on 
the following criteria: a national policy reform initiative using HRBA to empower one 
vulnerable sector; a local initiative applying HRBA local planning for MDGs at the City 
and its component barangays; a national initiative for indicators setting on one basic 
human right; national initiative to use HRBA as guide in shepherding government 
reorganization, a local initiative to use HRBA in enhancing community participation in 
local development; and a national initiative to implement human rights treaties to 
improve conditions of the vulnerable and disadvantaged sectors of the country. Each 
case provides an in-depth analysis of the case. Discussed are the HRBA project design 
that was implemented, the organization of the proponent, the method and process through 
which HRBA was applied in the project, the various implementation, institutional and 
organizational Issues and constraints encountered by the project in applying the approach, 
the indicators of HRBA success both at the output and outcome level, the reaction of the 
HRBA user, the lessons learned in applying the approach incorporating as well the future 
direction, replicability and sustainability of the approach. 

This case on legal empowerment of the poor involves mainstreaming of economic and 
social protection rights of the informal sector that are guaranteed under ICESCR. 

A. Overview of the Project Case 

In 2007, the UNDP sought the engagement of the ESCR, Asia to implement a project on 
legal empowerment of the informal sector in the Philippines. The project is an offshoot 
of the mission conducted by Dr. Naresh Singh of the United Nations High Level 
Commission on Legal Empowerment of the Poor. The mission was intended to develop 
sound policy recommendations to reduce poverty in the country through legal 
empowerment. Dr. Singh recommended to UNDP to undertake initiatives to address the 
four (4) crucial pillars of national and international efforts to give the poor protection and 
opportunities. These pillars are (i) access to justice and the rule of law, (ii) property 
rights, (iii) labor rights and (iv) business rights. 

Under the Governance Portfolio of the GOP-UNDP, the ESCR Asia is expected to 
implement a legal empowerment project that demonstrates the use of HRBA in the 
designing and implementation of the project. 



59 



1 . Purpose of the Study 

This case study seeks to achieve the following purposes: 

a) To establish the extent to which the elements, processes and tools of the 
HRBA have been applied in the project; and 

b) To draw up lessons on how best the HRBA can contribute to the 
sustainability of the project and enhancement of the development and 
governance goals for the informal sector. 

2. Project Design 

The project was designed towards the review and formulation of appropriate legislative, 
judicial and administrative measures and mechanisms focused on the four thematic 
agenda on the legal empowerment of the poor. 

In order to implement the project, the ESCR Asia envisioned the conduct of systematic 
focus group discussions and national conference with key sectors and partners in 
government, civil society organizations and basic sectors. Such consultations were 
designed to take off from the policy papers on the thematic agenda of legal empowerment 
of the poor, which would be prepared, consolidated and presented through various 
consultation fora among key basic sectors, government organizations and private sectors 
from the different parts of the country. The results of these consultations would 
culminate in the formulation of action plans and monitoring of commitments of the 
project constituencies. 

3 Summary of Project Gains 

The project accomplished significant gains in the aspect of the use of the elements and 
processes of the HRBA in the project. ESCR Asia was able to produce four thematic 
policy papers along the four (4) focus areas of the project, which further led to the 
drafting of the Magna Carta for Informal Sector in the country. Hand-in-hand with 
achieving this gain is the massive participation that was generated among the informal 
sector involving six (6) basic sub-sectors to include: vendor, small transport, home-based, 
fisher-folks and farmers. Raising of awareness on the different rights of the informal 
sector was also done through community -based approaches in at least .six strategic areas 
in the country. 

Under a purely developmental framework, such very intricate analysis and formulation 
made covering the thematic policies and Magna Carta could not have been possible. The 
issue of legal empowerment was given a face and an address with the enlistment and 
participation of the different sub-sectors of the informal sector, who were statistically 
unknown in the past. 



60 



4 Summary of Lessons Learned 

The twelve-month work and preparation proved to be meaningful in bringing about a 
healthy and constructive engagement of both government and non-government 
frameworks in dealing with the human rights concerns of the informal sector. The 
application of HRBA was exhaustively done in terms of being able to mainstream human 
rights standards of the informal sector. The use of human rights advocates and 
practitioners in the writing up of the policy papers and Magna Carta through a 
consultative process proved to be the most appropriate method of HRBA in the project. 

Specific to this case, the human rights -related mandate of the ESCR Asia worked to its 
advantage. The operationalization of the HRBA parameters to include the human rights 
principles, normative content and application of obligations and entitlements proved to 
have been implemented with greater ease. Likewise the use of popular human rights 
materials that were designed and produced by human rights consultants and volunteer 
organizations tapped by ESCR Asia made significant contributions to facilitating the 
mainstreaming of the approach in the project. 



B. Overview of the Project Proponent 

1. Mission and Key Functions 

The ESCR Asia is committed to the understanding and articulation of Asian perspectives 
on human rights in general and economic, social and cultural rights in particular and also, 
in developing agreements on these principles and strengthening commitment to promote 
ESCRs, specifically in Southeast Asia and other Asian countries. 

2. Mandate of ESCR Asia in relation to the Project 

Upon the identification of the ESCR Asia, Inc. as the proponent of the project by the 
UNDP, its Board of Trustees discussed the research outline or framework to help give 
direction to the project. As guide to the participants of the project especially the writers, 
the board agreed upon the common terms of reference, which was made truly rights- 
based. ESCR, Asia adopted as a general policy that the policy measure would be along 
the basic principle that legally empowering the poor meant going beyond formal laws 
and that empowerment meant participation in the decision making processes and 
governance concerns that affect them. Coupled with this policy is the condition set by 
ESCR Asia the informal sector has special need in terms of capacitating itself on relevant 
vulnerability and corruption issues that affect their status in society. 



61 



C. Evidence-Based Application of HRBA in Project Implementation 



At the outset, the ESCR Asia made a conscious effort to promote and practice the use of 
HRBA in the project. It formulated a comprehensive right-based policy framework for 
the development of policy measures that entailed an exhaustive review of existing and 
pending legislations with those of the ICESCR and other relevant international and 
domestic labor laws. This was followed by a mobilization of networks of the informal 
labor throughout the country that participated in both the regional consultations and 
national consultation. The policy dialogues and consultations were aided by information 
materials in popular forms showing advocacies on specific rights of the informal sector. 
The documentation, analysis and interpretation of the various results of the policy 
consultations were supplemented by the inputs of the different law organizations in the 
country, concerned government agencies and academic and research organizations and 
media organizations involved in human rights advocacy work. 



The different strategies used to effect HRBA at every stage of the project included among 
others, the organization of rights-based constituency built into advocating the legal 
empowerment of the basic sectors. Representatives from different organizations of 
informal sector and sub-sectors participated in the various consultations. They 
represented the areas of Luzon, Visayas and Mindanao. Policy and social dialogues were 
advocated between these organizations of vulnerable sectors with national government 
agencies and local government units that were focused on the needs and concerns of the 
informal sector using a rights perspective. 

Starting November 2006 to February 2007, the Board of Trustees of ESCR-Asia met at 
least three times to tackle the framework and appropriate design of the national 
consultation processes. The bottom-up-bottom approach (or grassroots-experts approach) 
was reaffirmed as the effective methodology in the drawing up of the four thematic 
papers. It was agreed that at least two focus-group discussions with grassroots and 
experts be conducted to enhance the major documents and to realize the objectives of the 
endeavor. 

The basic sectors identified and covered from Luzon, Visayas and Mindanao were those 
coming from non-corporate construction work, small transport, vendors, home-based, 
fisher folks and farmers. 



From January-March 2007, writers were identified and briefed - Atty. Glenda Litong for 
Access to Justice and Rule of Law, Dr. Amado Mendoza- Property Rights, Atty. Edmund 
Lao and Jeremy Inocian- Labor Rights and Reginald Indon- Legal Mechanisms for 
Empowering Informal Businesses. The writers employed not only review of existing 
literature on the topic but initiated interviews with key informants from both key 
government agencies, basic sectors and the academe. The first drafts of the papers were 
subjected to reviews not only through focus group discussions with experts and basic 



62 



sector groups but also of the Review and Advisory Panel members. Relevant and 
pertinent case studies were also researched to substantiate the guidelines and terms of 
reference of each thematic paper. 



From March-April 2007, a 12-member Advisory Panel was formed and composed of 
well-known human rights advocates, legal luminaries, civil society leaders, academics, 
and former and current government officials who believe in the strength of legal 
processes/mechanisms and structures in addressing and crafting an anti-poverty agenda. 
The role of the Advisory Panel was defined. More importantly, given their expertise, the 
members were asked to further substantiate the contents of the draft thematic papers and 
to help advance the Philippine initiative in utilizing legal system to empower the 
marginalized section of society. Series of consultations were held from March to June 
2007 to orient and discourse on the LEP initiative, get feedbacks on the four documents 
as well as fortifying their respective commitments to champion the LEP agenda. These 
efforts paid off as members of the Advisory Panel proved to be very helpful in providing 
comments/inputs that further enhanced the contents of the four thematic papers and in 
putting forward viable proposals/policy recommendations. 

In April, 2007, after the creation of the advisory panel, ESCR-Asia deemed it necessary 
to conduct consultation activities with grassroots leaders concerning the design, content 
and time-frame of the envisioned national focus group discussions. ESCR-Asia met at 
least 14 major informal sector organizations in Metro Manila, 20 regional informal sector 
leaders and organizations in Cebu City, 12 in Cagayan de Oro City and 8 in Zamboanga 
City between end March and April 2007. In these meetings, target participants 
(participating organizations, leaders) for the national FGD were not only identified but 
also of the purpose of the endeavor. For enlightened participation of at the local level, 
the executive summaries of the papers were also translated into Filipino and Cebuano and 
distributed to the IS leaders before the actual consultations. Highlighted in these 
materials are the various rights and concerns of the informal sector. 



The results of the deliberation of the Advisory Panel were also turned in for presentation 
in Focus Group Discussions (FGDs) in strategic areas. In order to address the problems 
and concerns of the informal sector to the roots, which is typical of the HRBA, the FGD 
design allowed much participation from the sector in order to solicit opinions and views 
of grassroots leaders, human rights advocates and other stakeholders on the thematic 
policy papers. Two national focus group discussions were held. In the FGD with Basic 
Sector Leaders (Cebu City, May 18-22), thirty participants from different parts of Luzon, 
Visayas and Mindanao attended this four-day gathering. A news article capturing the 
highlights of the event came out in one local broadsheet in Cebu City. The same FGDs 
were run in Quezon City on June 1, 2007. Around forty select officials of government 
agencies, representatives from the private sector, leaders of non-governmental 
organizations, and church institutions, and academicians took part in this gathering. 
Feedbacks and recommendations of the participants in the two FGDs have been 



63 



considered by the authors in coming up with the final version of their respective thematic 
papers. 

These FGDs were followed by a national policy conference at the Makati Shangri-La 
Hotel on July 25-26, 2007. Aside from the regular staff, ESCR-Asia contracted at least 
four people to assist in the preparation of the National Policy Conference held on July 25- 
26, 2007. Adopting the multi-stakeholder approach to the endeavor, at least 60 key 
government agencies, 50 basic sectoral groups, 20 diplomatic, 20 from academe and 50 
from non-government organizations and people's organizations were targeted to 
participate in the conference invitations, to include venue preparation and the 
development of an LEP kit took more than a month-preparation. A major breakthrough 
in social dialogue on the empowerment of the poor was the gathering of duty-bearers and 
claimholders that made up a multi-stakeholder representations from government, civil 
society and basic sectors from Luzon, Visayas and Mindanao through a National Policy 
Conference (NPC) held at the Makati Shangri-La Hotel last July 25-26, 2007. More than 
a hundred participants including some members of the diplomatic e.g. European Union, 
the Royal Norwegian Embassy as well as media attended the said event. During the 
National Policy Conference, the following government agencies pledged and committed 
to champion the cause of the poor: Asian Development Bank, Dept. of Labor, Mindanao 
State University (MSU), the National Anti-Poverty Commission (NAPC) and the 
National Economic Development Authority (NEDA). These were participated by the 
National Government Agencies and NGOs e.g. NEDA and ESCR-Asia, Phil. National 
Police (PNP) and ESCR-Asia. Presidential Management Staff (PMS) and informal sector 
groups participated in the event. 



After four months of revision, editing to include lay-out of the four thematic papers and 
the integrative paper, the policy resource book was finally published and launched last 
December 10, 2007, as a fitting commemoration of the Human Rights Day. It was 
attended again by both duty-bearers and claimholders of legal empowerment issues 
coming from select government agencies, informal sector subgroups (home-based 
workers, small fisher-folks, farmers, vendors, and small transport). 

The launching was matched with popularization of the human rights concerns of the 
informal sector through conduct of Regional Caravan of the Legal Empowerment of the 
Poor. To continue the nurturing of "champions" among the duty-bearers and the 
claimholders for the legal empowerment of the poor, ESCR-Asia designed and started the 
caravan to the regions. After the launching of the policy resource book in Manila, the 
Cebu City Administration was the first partner in the said caravan. 



D. Institutional/Organizational Issues and Constraints 

ESCR, Asia has, within its mandates and resources effectively managed a rights-based 
policy reform for the legal empowerment of the poor through a massive national and 



64 



local consultation involving not only the major informal groups of the sector but even the 
different sub-sectors with appropriate geographical representations in the different islands 
and regions of the country. 

It encountered major organizational constraint in that of being a relatively small 
organization with few core staff to manage consultations, which have both national and 
local dimensions. Although the organization was able to tap some help from different 
non-government organizations, the entire consultation process involved in the validation 
of the thematic policy papers and the crafting of action plans at various levels proved to 
be a major constraint. 



E. Evidence-Based Application of HRBA in Project Outputs and Outcomes 

As envisioned the human rights orientation of project results is only made possible 
through a deliberate mainstreaming approach that was made possible based on the 
conceptual framework on HRBA. However, the real test of the effectiveness of HRBA is 
based on the human rights content of the policy papers and the draft Magna Carta, which 
is examined thoroughly as follows: 

1. Output Content Analysis of the Four Thematic Policy Papers on Legal 
Empowerment of the Poor. 

Adopting HRBA to legal empowerment of the poor means understanding development 
not only as the economic, social, political and cultural process of achieving the 
realization of human rights and freedoms of the poor, vulnerable and marginalized but 
above all as the empowerment and capacitating of these people to make choices and 
decide what this process of expansion should look like. Such approach was tediously 
applied to this project. Both the content of and the process though which the policy 
framework evolved, were products of massive and substantive consultations. Content 
wise, the four (4) thematic papers were able to adequately produce a rights-based policy 
framework that could effectively serve as basis for subsequent legislative, judicial and 
administrative measures for the legal empowerment of the poor. These thematic papers 
address the legal empowerment agenda of: access to justice and rule of law; property 
rights, informal labor and legal mechanisms to empower informal businesses. Process 
wise, all the thematic papers underwent a tedious combined bottom-up and top-bottom 
approaches, which is typical of the HRBA. Interview and collection of experiences from 
key stakeholders form both government and civil society groups to include vulnerable 
sectors, were undertaken. Organization of panel of advisers representing different 
expertise and interests were made to comment is built into the consultation process. 
Broader consultations, from the local, regional and national levels, were likewise, 
considered, involving wider coverage of stakeholders especially the Philippine Informal 
Sector. 

This section of the case study highlights only some features that demonstrate the use of 
the HRBA. 



65 



17 

a) . Access to Justice and Rule of Law 

On the thematic policy agenda entitled "Reducing Poverty and Ensuring Access to 
Justice through legal Empowerment of the Poor" the policy paper offered an alternative 
development paradigm, which defined "Poverty, aside from making people unable to 
meet basic food and non-food items, also results in the deprivation of rights, in 
vulnerability and marginalization, where the poor is unable to claim and assert what 
should be their due. " The paper also made more definitive qualification of the poor as 
those who do not have or are deprived of means by which they can secure livelihood to 
meet their daily basic needs and realize their basic human rights. 

Also the paper introduced rights-based definitions of three (3) critical concepts such as 
legal empowerment, access to justice and rule of law (including rule of law orthodoxy). 
The use of the concept of legal empowerment is defined as the process of acquiring 
critical awareness about rights and law, the ability to assert rights, and the capacity to 
mobilize for change. As indicated in the paper, the six (6) key uses of the term 
empowerment as espoused by Oakley (2001) was considered as follows: empowerment 
as participation, empowerment as democratization, empowerment as capacity building, 
empowerment through economic improvement and empowerment and the individual. 
These five uses of the term empowerment in the thematic paper is very much compliant 
with the way empowerment as a human rights principle is defined, as that which views 
the development process as empowering in itself that implies building the necessary 
capacities in stakeholders, power to act for and on their behalf to claim their rights and to 
bring about necessary changes toward the full realization of all human rights 

The second concept of rule of law has been characterized in many ways: i.e. the rule of 
law prevails where the government itself is bound by the law; every person in society is 
treated equally under the law; the human dignity of each individual is recognized and 
protected by law and; justice is accessible to all. Under a rights-based framework, the 
human rights principles of legislative capacity and rule of law requires that the capacity 
of the legislature to enact laws that aim to uphold the inherent dignity of every person is 
important to the exercise and enjoyment and realization of all human rights. In which 
case, all persons are equal before the law, and are entitled to equal protection. Without a 
sound legal framework, the same as without an independent and honest judiciary, 
economic and social development collapse. Given this premise, the paper seeks to 
focus on interventions and initiatives that aim to improve rule of law in a particular 
context, as has been described as the "rule of law orthodoxy", i.e., a set of ideas, activities 
and strategies geared toward bringing about the rule of law, often as a means towards 

77 

ends such as economic growth, good governance and poverty alleviation. 

The third concept on Access to Justice by the poor has been incorporated in the rule of 
law orthodoxy, where the former is considered a critical component of the latter. Thus 
the paper, posits that legal empowerment aims to create an environment that will enable 
the poor to overcome the constraints that prevent them from accessing the legal system, 
allow them to gain more control over their lives through laws that understand their 



66 



context, ensure their rights and address their needs, and place them in a position to push 
for the law's enforcement. 

On the basis of these rights-based definitions of the three concepts, the paper ventured 
into an analysis as to "How access to justice and rule of law respond to legal exclusion, 
marginalization and vulnerabilities of the poor so that legal empowerment of the poor 
may be achieved to reduce poverty?" 

On the matter of presenting the barriers of legal empowerment of the poor in the 
Philippines, the paper deliberately or non- deliberately achieved a rights-based analysis 
befitting of a HRBA from the perspective of the capacities of both the duty-bearers 
referring to government and claimholders referring to the poor. In the context of the 
capacities of the judiciary as the duty-bearer, the issues of access to justice and rule of 
law have always been "institution-oriented." Thus, its approach is basically "institutional 
reforms" that addresses the typical menu of problems in the Philippine Legal System. 
Identified under the Action Program for Judicial Reforms (APJR) are the perennial 
problems of: case congestion and delay, budget deficiencies; politicized system of 
judicial appointments; lack of judicial autonomy; need for re-engineering the human 
resources development system to support continuing capacity improvement in the 
provision of legal and judicial services; dysfunctional administrative structure and 
operating systems accompanied by deficient court technologies and facilities; and the 
need to improve public information and collaboration with civil society. The APJR 
touched on access to justice but the issues identified are again institutional in features. 
These are: delays in judicial proceedings; erroneous decisions rendered by lower courts; 
prohibitive cost of litigation; and inadequacy or lack of information about the judicial 
system. 

On the other hand, the capacities of the poor, vulnerable and marginalized are viewed 
differently under the purview of legal empowerment, which is taken in the context of 
their economic and social status in the Philippine society. Under poverty condition, these 
groups referred to as the claimholders in human rights parlance, are in no position to 
bargain or assert for their rights, thus the issue of equity in the context of access to 
justice. These claimholders continue to perceive the law as mainly for the rich and have 
likewise, expressed general distrust for the justice system. Hence the genuine perspective 
of the poor with respect to access to justice and rule of law include divergent concerns 
such as: lack of access to legal education by the poor and marginalized; lack of 
information on the part of the judges and other administrators of the justice system about 
the issues concerning the poor and marginalized and the specialized laws governing 
them; lack of adequate representation before the courts and the tribunals due to the lack 
of lawyers that handle their cases; lack of support mechanisms for the poor and members 
of the marginalized groups who are involved in cases; issuance and implementation of 
anti-poor policies and decisions; general discrimination against the poor and marginalized 
groups within the judiciary and justice system; structural and systemic problem within the 
judiciary and justice system that impede access to justice by the poor; gender insensitivity 
and bias of the courts and other government offices involved in the administration of 
justice; and inadequacies in structure and processes of the barangay justice system 



67 



particularly the needed sensitivity and understanding of women's context and gender. In 
this respect, the paper also surfaced the vulnerable identities of women, indigenous 
peoples. 

The HRBA puts the poor, marginalized, vulnerable groups at the core of policy and the 
focus of capacity development strategies through a process that addresses human rights 
problems to the roots. This was achieved in terms of how the paper treated the issue of 
the Philippine informal Sector. The paper analyzes the current legal and regulatory 
framework of the informal sector to include: laws affecting the vulnerabilities in the 
informal sector particularly, women, children and indigenous peoples; laws governing 
sub-groups of the informal sector such as farmers and fisher-folks, small businesses and 
vendors, small transport; and other laws such as the labor code, social development and 
protection available to the informal sector. 

Using the HRBA framework the paper has effectively built a case for the Philippine 
informal sector as the primary target for legal empowerment in the country. Using the 
rights perspective, development can only be truly empowering if the human person is the 

79 

central subject, active participant, owner director and beneficiary of development. In 
this regard the paper finally posited its general observation that poverty denies the poor 
the status or personality before the law particularly in the case of the informal sector. 
The grant of legal personality to the poor is dependent on the recognition of the law of 
their existence and contribution as subject and objects of development. 

Finally, the paper considers some rights-based strategies under the legal empowerment 
framework. To legally empower the poor, a legislation framework has been considered 
to bring about real change in the lives of the Philippine Informal Sector. The legislation 
is expected to define the informal sector in context, causes of disempowerment and the 
rights of the informal sector with appropriate redress mechanisms. Its principles carry the 
fundamental principles of human rights. As described by the paper the legislation must 
spell out a holistic, integrated, comprehensive, non-discriminatory, and participatory and 
bottom up approach to addressing poverty in the context of the informal sector. It should 
surface the issues of inequity, inequality and unjust distribution of wealth and resources, 
as well as the factors that discriminate and emasculate the poor. As further proposed 
for the road map, it is guided by the legal empowerment approach, which fundamentally 
carries the elements of the HRBA like the bottom up approach, the duty-bearer and 
claimholder analysis involving both government institutions and civil society 
organizations and consideration of national and international cooperation, which is a 
parameter towards achieving the right to development. These elements are embedded 
into the strategic steps proposed by the paper to include: role enhancement of other actors 
of development; listening to the voices of the poor, especially women; expanding the 
justice sector; public and civil society partnership; and adoption of indigenous and 
culturally based and appropriate interventions. 



68 



Q1 

c) . Property Rights 

Under this thematic paper, the strengthening of the property right of the poor was given 
focus. The treatment of property right under this section was taken in the context of the 
situation of vulnerable and marginal groups, which is very much in keeping with one of 
the human rights principle of Attention to Vulnerable Groups. These groups are those 
who experience obstacles in the realization of human rights. They were mentioned as the 
special targets for strengthening property rights. 

Property rights were elucidated in the light of the status of its enjoyment by vulnerable 
and disadvantaged groups like the peasantry, indigenous peoples, urban poor, fisher- 
folks, poor women and informal workers. As established under the legal nature of rights, 
properties are things over which a person or group of persons (or some juridical entity) 
has exclusive right. The paper expanded this statement using the human rights 
perspective as "someone who has property rights is referred to as a right holder - an 
element in the application of the HRBA. In the context of legal empowerment of the 
poor, the agenda of property rights point to the capacities of these vulnerable groups to 
claim and exercise their rights fully and responsibly. The paper cited the importance of 
those vulnerable groups knowing of such property rights, who are often unaware of the 
rights that protect them, and therefore vulnerable to abuses and exploitation. As may be 
deducted from the paper, the capacity of these vulnerable groups to assert property rights 
is dependent on their capacities to articulate their claims on these property rights. 
However due to social exclusion, these poor vulnerable groups are often at a 
disadvantage with respect to collective action that could help them capacitate themselves. 
As posited by the paper, there were legal measures adopted for the past twenty years like 
the Comprehensive Agrarian Reform Law of 1988, indigenous peoples Rights Act of 
1997, and community mortgage program in 1987, among others, but these were proven 
insufficient to ensure the property rights of the poor. As claimed by the paper, much is 
yet to be desired in terms of the effective implementation of these measures to include the 
resolution of existing conflicts of laws like the case of the IPRA and Mining Act. 

Thus, the role of the state in instituting policy reforms and enforcement of such laws and 
reforms that will strengthen the property rights of the poor was emphasized in equal 
importance with self-help efforts or a combination of the two. More defined duties and 
obligations of the state as the duty-bearer, also an element of the practice of HRBA, were 
identified in terms of policy reforms and effective program implementation. Policy 
reforms include: resolution of the conflict of, enactment of additional or remedial 
legislation, transformation of inferior or junior policy such as executive orders into full- 
blooded laws and the complete translation of national policy and laws into implementing 
rules and regulations, administrative orders and the adoption of appropriate ordinances at 
the local government levels from the village level, up to the province and autonomous 
regions. Effective program implementation calls for assured funding for crucial 
programs, simplification of registration and titling processes and harmonization of multi- 
agency programs and procedures. 



69 



d) . Informal Sector 

This thematic paper ventured into an in-depth analysis and assessment of the conditions 
of the informal sector from a rights perspective. Consistent with the human rights 
standards postulated under Article 7 on the right of everyone to the enjoyment of just and 
favorable conditions of work, as well as, the related provisions of Article 9 on social 
security to include social insurance, the paper presented the prevailing concerns of the 
informal sector that were drawn from different levels of consultation. The human rights 
principle of providing attention to vulnerable sectors was applied to the informal sector in 
view of these concerns of the sector: absence of government recognition, limited and 
voluntary social protection, uncertain tenurial status and uncertain safety in the 
workplace. The paper offered a very detailed and comprehensive understanding of the 
informal sector in terms of their labors rights and social protection, which differed among 
the sub-classifications as follows: geography, premises, gender, vulnerability, industry, 
and occupation, nature of employment and nature of means. However, across these sub- 
classifications, core issues directly affecting the informal sector as a whole were 
identified indicating the level of the sector's vulnerability. These are: 

• Institutional inconsistency in recognizing the existence and rights of the informal 
sector workers being mainly outside of the purview of the country's legal 
framework, jurisprudence on the informal sector has remained sparse and 
inadequate in recognizing the inherent labor rights of the informal sector workers; 

• Inadequacy of the prevailing working understanding of the phenomena of the 
informal labor, being labeled as informal somehow means being outside of the 
mainstream economic activities, even if such activities are not outside the bounds 
of the law; and 

• Inadequacy of some poverty alleviation strategies, requiring the need for 
strategies to shift its focus from merely alleviating the pain and despair of poverty 
to actually searching easy and means to reduce incidence of poverty by providing 
opportunities for poor families to escape the clutches of poverty. 

A rights-based view was also used to assess the level of application of labor rights, labor 
standards and social protection to the informal sector. Specifically, the provisions of the 
Philippine Labor Code do not apply equally to Filipino workers. The application of the 
law varies from full application, limited application or to none at all as follows: 



• 



• 



Subsistence employees can enjoy only a limited application of the labor code 
because while theoretically they can avail of rights guaranteed under the code, 
they cannot effectively claim and assert their rights owing to their depressed, 
limited, temporary situation and the nature of their jobs; 

Own Account/Self employed informal sector can also enjoy limited application of 
training for overseas employment, health and safety laws, right to unions and 
strike. The rest of the other labor standards are not applicable to them. 



70 



The paper has made reference to Litong et all (2002), for its rights-based view that 
"having ratified all pertinent international instruments relating to the right to work and 
the rights at work, the Philippines has the obligation to enhance domestic legislation, 
which would not only respect, promote and protect but also facilitate and fulfill these 
rights, both in favor of formal and informal labor." 

As a result of the assessment made on the conditions of the informal sector and as a result 
of the highly participatory consultations conducted, rights-based direction and 
intervention were formulated as follows: 



• 



Enhance the rights of labor of wage informal employee through vigorous and 
creative enforcement of existing labor rights and social protection and creating the 
conditions for compliance; and 

Enhance the rights of labor of the Own Account/Self Employed Informal 
Employee through vigorous and creative enforcement of rights and creation of 
conditions for compliance as well as providing greater and expanded labor rights 
and social protection, to include labor relations, self organization, participation in 
policy making bodies and security of tenure. 



Finally, the paper calls for the bridging of the gap between formal and informal labor, not 
necessarily under the Philippine Labor Code that poses legal barriers to the informal 
sector. Social justice and human rights are the more apt approach to effectively 
strengthen the rights of the informal sector to labor and social protection. Overall, the 
paper proposed a multi-level process of consultation process involving government, 
private sector and civil society to address the policy issues and program implementation 
concerns of the informal sector for the crafting of various legislative, administrative and 
other related measures to include a road mapping for the comprehensive approach to 
strengthening the rights of informal sector and enhancing their technical and 
entrepreneurial capacities. On the other hand institution capacity building, micro finance 
services and funding support system at various hierarchical levels of government from 
the local to the national level should be pursued. 

Legal mechanisms to empower informal businesses ' were also examined. Through 
consultations at the national and local levels, the policy paper opened for public discourse 
the policies, programs and services of the government, which it refers to as the duty- 
holder . Rights-based objectives were formulated in line with the empowering of this 
informal sector to that of: ensuring higher and equitable individual income and social 
protection for informal economic workers; and improving and sustaining informal 
businesses' productive and employment generation capabilities. 

These objectives are in keeping with Article 6 par. 2 of the ICESCR, which postulates 
that the steps to be taken by a State Party to the present Covenant to achieve the full 
realization of the right to work shall include technical and vocational guidance and 



71 



training programmes, policies and techniques to achieve steady economic, social and 
cultural development and full and productive employment under conditions safeguarding 
fundamental political and economic freedoms to the individual. Also, these objectives 
operationalized the intent of the United Nations Declaration on the Right to Development 
which stipulates that development is a comprehensive economic, social, cultural and 
political process, which aims at the constant improvement of the well-being of the entire 
population and of all individuals on the basis of their active, free and meaningful 
participation in development and in the fair distribution of benefits resulting there from, 

The paper points to significant policies, programs and services for informal business 
especially relating to microfinance as a development tool for the poor, to include both the 
regulated/licensed and unregulated/unlicensed. However as one of the issue raised, the 
impact of all the policies, programs and services seems to have been fairly limited to 
growth oriented informal businesses, which demands more response from the 
government, as duty holder. As Article 2, par. 1 of Part II of the ICESCR stipulates 
"Each State Party to the present Covenant undertakes to take steps, individually and 
through international assistance and co-operation, especially economic and technical, to 
the maximum of its available resources, with a view to achieving progressively the full 
realization of the rights recognized in the present Covenant by all appropriate means, 
including particularly the adoption of legislative measures. " Challenges were identified 
in the areas of: expanding the business of livelihood and small growth informal 
enterprises; expanding and deepening the role of LGUs; recognizing the need for greater 
informal business participation; and sustaining the growth of the microfinance sector. 

All these challenges point to improving the access of informal business to productive 
assets and resources towards helping informal sector attain sustainable livelihood. 
Resulting from research and consultations, there are legal mechanisms to protect informal 
businesses but there is a need to effect good governance for the entrepreneurial poor to 
effectively access mainstream resources and services. Thus, to effect good governance, 
the government most especially the local government units (LGUs), as duty-holders must 
seriously address the specific needs and requirements of informal businesses and 
integrate them into the local project planning, implementation, monitoring and 
evaluation. When properly integrated, the entrepreneurial poor would contribute 
significantly to poverty alleviation and advancement of the quality of life of the informal 
sector. As observed the paper has successfully generated public discourses that were 
focused on the entrepreneurial poor, as the claimholder. 



2. Outcome Level - Content Analysis of the Magna Carta 

As an offshoot of the project output, the proponent ventured into the formulation of the 
Magna Carta for Informal Sector, which was not originally identified as a deliverable of 
the project. The proposed Magna Carta, which emanated from the results and outcomes 
of the project, is essentially rights-based described. 



72 



The Declaration of Policy of the proposed law bears the fundamental principles of a 
Human Rights-Based Approach as follows: universality, non-discrimination, equality, 
indivisibility, interdependence, accountability and participation, rule of law and 
progressive realization. Taken from the draft, the proposed law has the following 
declaration of policy, which substantively highlight the principles of a Human Rights- 
Based Approach (in bold and italicized phrases): 

a) To promote and improve the total well-being of the poorest-of-the-poor 
and the marginalized low level income earners who engage in economic 
activities under the informal sector; 

b) To nurture and protect the interests of the informal sector by providing 
them with adequate and timely social, economic and legal services, as 
well as mechanisms that shall protect their rights and promote benefits that 
ensure their dignified existence and economic advancement; 

c) To recognize, promote, protect and fulfill the rights of every worker in the 
informal sector including the right to self-organization, the right to decent 
work, just and humane working conditions, access to social protection, the 
right to represent their organizations in a continuing process of 
consultation and dialogue towards maximizing the provision of a 
comprehensive package of reforms, interventions, and services in 
accordance with their articulated needs and interests; 

d) To recognize the roles and contributions of workers in the informal sector 
and make them visible in the national and local statistics; 

e) To develop and enhance their entrepreneurial skills and capabilities so that 
they can become more productive and self-reliant citizens thereby 
ensuring participation in mainstream economic activities; 

f) To promote gender equality and protect women workers in the informal 
sector against gender-based discrimination, exploitation and abuse; 

g) To advance the women workers' social, political and reproductive rights 
and provide access to social protection and participation in decision- 
making bodies; 

h) To protect vulnerable groups in the informal sector such as children, 

elderly, differently- abled persons and indigenous people from 
discrimination, exploitation, abuse and harassment; 

i) To progressively eliminate child labor in the informal sector through the 

creation of more quality jobs for adults, effective enforcement of laws 
against child labor, improved access to universal education and 
elimination of cultural factors that tolerate child labor. 



73 



The Framework and Principles bears statement and commitments on the following steps 
to be undertaken by the country as a state party to its obligations under the International 
Covenant on Economic, social and Cultural Rights. More pronounced under this item of 
the proposed law is the requirement under the Declaration on the Right to Development, 
which provides that States should take steps to eliminate obstacles to development 
resulting from failure to observe civil and political rights, as well as economic, social and 
cultural rights; and that States have the right and the duty to formulate appropriate 
national development policies that aim at the constant improvement of the well-being of 
the entire population and of all individuals, on the basis of their active, free and 
meaningful participation in development and in the fair distribution of the benefits 
resulting therefrom. If passed the proposed legislation will be able to fulfill the 
operationalization of this state obligation as exemplified in the following enumeration: 
(those in bold and italicized fonts reflect the desired intervention of the state): 

a) Putting in place policies and programs that will bring marginalized 
workers and economic units into economic and social mainstream. 

b) Pursuing structural reforms in all relevant levels of government by 
creating committees, special offices for development and protection of 
workers in the informal sector and supporting their representational rights 
through their organizations. 

c) Extending coverage of accessible and affordable social security and 
health care benefits to workers in the informal sector. 

d) Implementing minimum and simplified regulation to encourage the 
development of ingenuity and entrepreneurial spirit among workers in the 
informal sector. 

e) Encouraging the organization, establishment, strengthening and expansion 
of the various business activities or enterprises under the informal sector 
in the barangay level preferably unified under a municipality, provincial, 
regional and national federation/association. 

The Coverage of the proposed law highlights preference over the vulnerable group, 
which is a basic principle of a Human Rights-Based Approach. Using the approach, 
ESCR Asia successfully identified the most vulnerable among the informal sector. The 
coverage is inclusive of all the sub-sectors and groups under the informal sector who 
experience major obstacles, which is a criterion for achieving effectiveness of any 
development program. These vulnerable groups include the following: 

Micro-entrepreneurs : (i) vendors, whether with stalls or without including ambulant 
vendors, street vendors or those plying their goods and trades in streets and those 
engaged in sari-sari stores which conform with the total asset value requirements as 
mentioned in Section 4 (f) of this Act; (ii) marginalized farmers; (iii) marginalized fisher 



74 



folks; (iv) home-based workers who are independent producers of goods or services and 
whose total asset value conforms with that mentioned in Section 4 (f) of this Act; (v) 
small transport such as but not limited to non-corporate operators of small marine boat or 
vessel for transport, tricycle, pedicab, habal-habal, calesa, kuliglig or "trolley" whose 
total asset value conform with the requirement as mentioned in Section 4 (f) of this Act. 

Contracted/Self-Employed : (i) on call domestic workers; (ii) barbers, manicurists or 
pedicurists; (iii) drivers of tricycle, pedicab, habal-habal, kalesa, kuliglig, "trolley" or 
small marine vessel/boat; (iv) "barkers", fare collectors, dispatchers and other workers 
who share in the income of the non-corporate operators; (v) welders and mechanics; (vi) 
non-corporate constructions workers such as but not limited to carpenters, plumbers, 
electrician, mason or house painters; (vii) television, radio and air-condition technicians. 

The section of the proposed law on Special Allocations for Development Initiatives is an 
indication of the progressive realization of economic, social and cultural rights of the 
informal sector. The annual allocation of funds for development initiatives for the 
informal sector will ensure continual progress of the realization of the rights and 
freedoms of the informal sector. 

As proposed, the national government shall allocate at least ten (10%) percent of its 
annual national budget to be appropriated proportionately in accordance with the 
corresponding internal revenue allocation (IRA) of respective local government units 
(LGUs). Such allocation shall be annually added to the current IRA of LGUs. For this 
purpose, the Commission on Audit (COA) shall establish an Informal Sector 
Development Fund in every municipality and city for their supervision and management 
subject to accounting and auditing procedures. 

The Creation of an Informal Sector Development Council under the proposed law will 
provide the sustainability of the development initiatives for the informal sector. This will 
serve as the implementing mechanism through which policies, programs to improve the 
conditions of the informal sector could be maintained as well as the monitoring and 
evaluation thereof. 

The foundation for the integration of the informal sector and its mainstreaming into the 
national life will be guaranteed by the establishment and development of a centralized 
and sex-disaggregated database system to effectively guide policy formulation relative to 
the Informal Sector workers. This will guarantee the observance of the principles of a 
rights-based approach such as equity, non-discrimination, participation and 
empowerment. The databank shall be available for public use and shall include but not 
limited to the following: 

a) .Master list of workers in the informal sector classified according to 

geography (urban or rural based), premises (home based or non home 
based), gender (male, female), vulnerability (children, elderly or person 
with disability), industry (industrial, commercial, services or agricultural), 
occupation (fisher folks, farmers, construction, drivers, vendors, laborers 



75 



or sales personnel), nature of employment (casual, contractual, seasonal, 
permanent/regular or pakyaw/commission basis/boundary system) and 
roles/functions (own-account/self-employed or subsistence/marginal 
employment); 

b) List of government and non-governmental organizations which provide 
educational, socio-economic and legal services to the Informal Sector; 

c) Sex-disaggregated statistical profile of various Informal Sector workers 
based on age, location, type of work, average monthly income, number of 
hours worked, and other statistical information; 

d) Statistical data on informal enterprises, including capitalization and 
sources of capital, number and status of workers, average income; 

e) Database of the needs and problems of women and children in the 
Informal Sector nationwide; and 

f) Compilation of existing laws and programs affecting the interest and 
welfare of the Informal Sector. 



F. HRBA Indicators Generated from the Project 

Again, through the operationalization of the HRBA Conceptual framework, the case was 
able to draw out very specific indicators, which came about as a result of the approach. 

1. The degree to which human rights principles and standards have been 
applied in the content of the outputs particularly in defining the rights that the legal poor 
must be able to secure through the Magna Carta and through the four (4) thematic policy 
papers. 

2. The degree to which the claimholders were involved in the project 
especially in expressing their views, opinions and contributions to the decision making on 
the contents of the policy outputs; demonstrating the exercise of an empowering 
participation in the process; and 

3. The degree to which the relevant State Obligations contained in the 
pertinent international treaty and domestic laws are expressly incorporated into the policy 
outputs on the informal sector. 



G. User Satisfaction on the HRBA 

The proponent found the application of the HRBA easy because, first, it is intrinsic or an 
inherent mandate of a human rights organization like ESCR-Asia. Second, the 



76 



understanding of what HRBA is a lot easier to an HR entity than to an NGO or any entity 
not having the rights mandate. 

As expressed by the proponent, the HRBA is also an 'expensive' approach. Employing 
the "bottom-up" approach, ensuring participation, gender balance, non-discrimination, 
etc. does not only require skill, time but also resources. An example, one component of 
LEP Phase 2 was also the drafting of a rights-inspired Magna Carta for members of the 
informal sector. ESCR-Asia has to do an island-hopping consultation to ensure that the 
cultural nuances in drafting the proposed bill will be considered. Realities and needs of 
informal sector members coming from Luzon are different to those from Mindanao and 
the Visayas. Authentic HRBA requires 'fidelity' to the understanding that one cannot 
"shortcut" a process to be able to get the desired result. As the proponent claimed "no 
NGO, even if its mandate is rights-motivated cannot claim monopoly to the correctness of 
the application of HRBA. " The desired outputs and results of the plan are best indicators 
if the HRBA has been faithfully implemented. 

As noted by the proponent, the added-value is in ensuring that the planning is validated 
from the ground; that the plan garnered the affirmation of the field partners; that it took 
into great consideration to the real needs of the constituencies, thus creating confidence in 
the work implementation. LEP Phase 2 was a continuation of Phase One and merited the 
consultation of various informal sector groups. LEP Phase 3 project components were 
presented to the partners including getting their critique. It is easy to plan themes but 
emanating it from the partners/constituents is difficult. HRBA also builds mutual 
goodwill among the funder-donor, the implementor and the field partners. On hindsight, 
the HRBA also unleashes a principle in the Right to Development Declaration that: "That 
the human person is the subject, participant and beneficiary of development. " 



Based on the experience of the proponent, the following can be considered in ensuring 
effective use of HRBA: process documentation; faithful employment of at least the 
following principles: participation, gender balance, non-discrimination, budget allocation 
for validation, at least two-island consultation if project is nationwide; translation to 
Filipino or the equivalent language any English-driven/dominated project; and an 
orientation of what HRBA mean specially to the team implementing a project 



H. Lessons Learned from the Application of the HRBA 

While the mainstreaming process was highly predictable in terms of being able to 
generate human rights oriented process, outputs and outcomes in the project, HRBA 
proved to be very useful. The different stakeholders both duty-bearers and claimholders 
found ease in applying human rights standards as enunciated in the ICESCR. Under 
traditional process of purely invoking the relevant human rights treaties simply did not 
work as such process only proved to be an imposition. The HRBA was a more creative 
and innovative way of raising the level of awareness of both the duty-bearers and 
claimholders in the process. 



77 



1 . HRB A to legal empowerment of the poor is an inclusive and expansive 
process. 

Since the informal sector is continuously sprouting and growing as a consequence of 
economic disparities in the Philippine society, the proponent found it extremely 
challenging to reach out to the larger cross-section of the sector. As the HRBA typifies, 
the approach should allow for a bottom up and top bottom process that would allow 
interaction between the duty-bearers and claimholders. In addition, the lateral interaction 
across sectors proved to be equally challenging as attempts to cover the greatest number 
of the sub-sectors of the informal group through local and group representations proved 
to be inclusive. But much is yet to be desired, as time and resources proved to be scarce 
to cover as much areas where the informal sectors are. 

2. Creative use of Information and Education Materials 

Communicating the rights of the informal sector is by itself a great challenge. 
Considering the divergence of the informal sector, the proponent had to be extra creative 
in their approach to consultation. Simplified literature in the form of popular information 
materials had to be produced despite constraints in resources in order to effectively 
communicate the rights and concerns of the informal sector in a language and form that 
would be understandable to them. 

3. Social and Policy Dialogues for both duty-bearers and claimholders 

Mobilizing the support of both claimholders and duty-bearers to the cause of the informal 
sector through the thematic policy papers and the Magna Carta proved to be a greater 
challenge. The cooperative effort of various government and non-government 
organizations, as well as, the academe worked together in the mobilizing particularly of 
the representative claimholders among the informal sector. 

4. HRBA Method and Tool 

The application of HRBA in this case was less structured. What makes it HRBA are the 
basic orientation and processes of the proponent, which is basically a human rights 
organization. The framework, designs, processes, materials and tools they used have 
basic HRBA orientation, which made it easy for them to effectuate the approach in this 
policy reform for the legal empowerment of the informal sector. The application of the 
HRBA came about naturally, as every step taken by the proponent deliberately involved 
human rights champions and advocates. However, while the outputs produced by this 
project case are heavily rights-based, there is much yet to be done to institutionalize the 
HRBA process of the ESCR, Asia not only for its use but also for the benefit of those 
who wish to learn from their experience. In order to improve the practice of HRBA by 
the ESCR, Asia, there is a need to enhance the documentation of their processes and 
tools. Definitely, with proper documentation, the project's application is highly 
replicable. This will contribute much to the practice of national legislation or local policy 
making where both the duty-bearers and claimholders would be heavily engaged in the 



78 



substantive issues and concerns that affect the concerned sector using human rights 
perspective, process and tools. This experience of the ESCR is tremendously engaging, 
which has shown high commitment and passion for the advancement of the human rights 
of the informal sector. 

Overall, the process of mainstreaming human rights as enunciated in the conceptual 
framework and operational definition of HRBA effectively worked in this case. 
International human rights framework was mainstreamed into the national initiative for 
legal empowerment of the poor. This was made possible through the use of informative 
materials and other key mainstreaming interventions like dialogues, consultations and 
training. The results of the mainstreaming process look promising with the rights-based 
Magna Carta for the Informal Sector, which is now being pushed by different 
stakeholders, both duty-bearers and claimholders. 



79 



CHAPTER 4 

CASE 2 - DEVELOPING SAN FERNANDO CITY AS A 
RESOURCE CITY FOR BEST PRACTICE IN RIGHTS-BASED 

LOCALIZATION 
OF THE MILLENNIUM DEVELOPMENT GOALS (MDGS) 

Using a single design for case analysis, the case involved examination of the practice of 
HRBA in MDG localization at the city level including its barangay constituents. The 
same HRBA parameters were used to unleash the value added of the approach in local 
planning and local governance through the mainstreaming of human rights principles and 
standards corresponding to each MDG. Mostly covered under this case are rights 
guaranteed under ICESCR. 

A. Overview of the Project Case 

In September 2007, the NEDA approved a project of the CHRP linking HRBA and MDG 
localization. The project is a sequel to the Human Rights-Based Approach Localization 
Project of the Commission on Human Rights of the Philippines, which was initially 
implemented in the 15 Regional Offices of the Commission in 2005 under the 
Governance Portfolio of the United Nations Development Programme that was 
administered by the University of the Philippines-National College on Public 
Administration and Governance, as implementing partner of the UNDP. The 
Commission's Regional Office 1 submitted a follow through project on the HRBA 
Localization under the UNDP's Empowerment of the Poor Portfolio, with the end-in 
view of piloting the approach to MDG localization in a pilot city, this time under the 
National Economic Development Authority (NEDA), as the implementing partner of the 
UNDP. The project ran from September 2007 - June 2008 

The project envisioned the transformation of San Fernando City in La Union, Region 1 as 
a resource city that links human rights to MDGs and to demonstrate it as a best practice 

oo 

for the mainstreaming of human rights in MDG localization. The mission of the project 
is to adopt the human rights framework in the MDG localization from the barangay up to 
the city level by engaging in the process both the local government units and relevant 
government agencies as duty-bearers and the various sectors and local communities as 
claimholders. 



1 . Purpose of the Study 

The case study examined and analyzed the project process and project outcomes as well 
as the fundamental structures and mechanisms that were put in place, which made 
possible the application of the Human Rights-Based Approach (HRBA) to MDG 
localization in Sn. Fernando City. 

The case study seeks to achieve the following objectives: 



80 



a. To identify specific interventions undertaken by CHRP- Region 1 by 
which the HRBA was applied in MDG localization in Sn. Fernando City; 

b. To identify and analyze the indicators that will point to the success of the 
HRBA as applied in the project; 

c. To document the experiences and challenges encountered by the project in 
applying the HRBA to the MDG localization in Sn. Fernando City; 

d. To determine the specific contributions of the HRBA to MDG localization 
in San. Fernando City; and 

e. To establish both the organizational and operational conditions that made 
possible the application of the HRBA to the project as well as the 
continued use of the approach in sustaining MDG localization in Sn. 
Fernando city. 

2. Project Design 

Overall, the project targets the transformation of Sn. Fernando City as a Resource City 
for Human Rights-Based MDG Localization. By transforming the city into a resource 
city, it means that the MDG plans being prepared from the barangay to the city level 
would be mainstreaming human rights principles, norms and standards through the 
cooperative interaction and participation of both the local duty-bearers and claimholders 
towards the full integration of the approach to local MDG planning, programming and 
budgeting in Sn. Fernando City. 89 

The framework of the project 90 describes the process through which the HRBA would be 
implemented in Sn. Fernando City. The HRBA to MDG Localization in Sn. Fernando 
City would go through a series of systematic steps from the conduct of preparatory 
activities (Phase 1) that would orient both the duty-bearers and claimholder of MDG 
Localization in the City to capacity building (Phase 2), piloting in selected barangays 
(Phase 3) ,planning of HRBA-MDG localization (Phase 4) , to manualize (Phase 5) and 
evaluation (Phase 6). The outcome of such as process as described in the framework 
would bring about some best practices in mainstreaming human rights principles, norms 
and standards in city governance, increased social accountability among the local duty- 
bearers, empowered local claimholders and peaceful and progressive city, among others. 

3. Summary of Project Gains 91 

The project was able to demonstrate thoroughly the practice of HRBA in local action 
planning through the policy and institutional support of the city and barangay government 
units. This is one case that clearly illustrated the step by step actualization of HRBA in 
terms of mainstreaming human rights principles and standards as well as the obligations 
and entitlements of the government and civil society domains of local governance. The 



81 



HRBA process for MDG localization was instituted. However, the implementation 
remains to be seen. 

4. Summary of Lessons Learned 

Advocacy for the use of the HRBA for development and governance at the local level has 
long been initiated by the CHRP. Such advocacy was strengthened with the support of 
the Regional Development Council of Region 1 specifically in the aspect of MDG 
localization. Issuances and resolutions enjoining LGUs to support the initiative was not 
enough. A deliberate process of engaging the local government units as experienced by 
the SFDO was critical. Considering the autonomous character of the LGUs, local official 
could always decide in favor of any project by virtue of their mandates. The LGUs have 
their own power dynamics, which the project proponents, in this case the CHRP and the 
NEDA had successfully tapped. As experienced by the SFDO, application of the HRBA 
for MDG localization would require policy support in order to ascertain the successful 
cascading of the approach and the project from the city to the barangay level and vise 
versa. 

While the project had successfully capacitated the CHRSC and had likewise, oriented the 
59 barangays on the HRBA on how to mainstream the approach to the formulation of the 
MDG Localization Plans both at the city and barangay levels, much efforts to 
institutionalize the approach would be desired. These stakeholders were successfully 
introduced to the general HRBA framework and tools and how to use them in the 
different stages of the MDG planning, programming, budgeting and implementation. 
However, much is yet to be desired to progressively apply the principles, norms and 
standards of human rights in the MDGs. Such progressive application would require 
continuous coaching on the part of those knowledgeable on human rights. Thus 
considering the limited number of human rights workers as compared to the number of 
barangays and LGUs that need coaching in this aspect, the CHRP and the NEDA as 
project proponents might need to revisit various techniques and tools for intervention that 
would likely multiply coverage of their use. 



B. Overview of the Project Proponent 

1 . Mission and key functions/services 

a) Implementing Partner - NEDA SDS 93 

For this project, the National Economic Development Authority (NEDA)-Social 
Development Staff serves as the implementing partner of the UNDP under the GOP- 
UNDP Empowerment of the Poor Portfolio. 



82 



b) Responsible Party - NEDA Region 1 

NED A Regional Office I (NRO I) was established on 10 February 1975 as one of the 
regional arms of the NEDA Central Office. As such, it serves as the technical and 
administrative arm of the Regional Development Council of Region I (RDC-I), a regional 
counterpart of the NEDA Board. The NRO I office is presently housed at the 
RDC/NEDA Building, Guerrero Road, City of San Fernando, La Union. 

As Secretariat of RDC-I, NRO I coordinates the formulation of regional development 
plans, policies, programs and projects along the major functions of RDC-I. These are 
development planning, investment programming, project development, regional 
budgeting, and program/ project monitoring and evaluation. It also provides technical 
assistance to RDC-member agencies in mainstreaming innovative development concepts 
and processes. This is intended to ensure the effective delivery and implementation of 
critical programs and important policies, and the production of the required outputs. 



NRO I produces major outputs such as the Medium - Term Regional 

Development Plan, Medium-Term Public Investment Program, 

Annual Regional Development Report, Quarterly Regional Economic Situationer, and 
Quarterly Regional Project Monitoring and Evaluation System Report. For a more 
effective delivery of services, NRO I conducts interactive sessions with its clientele 
groups through meetings, conferences, seminars, workshops, and trainings; undertakes 
field monitoring of critical projects; and provides technical assistance services. 



c) Co-Partner Institution: CHRP Region 1 

The Commission on Human Rights of the Philippines (CHRP) is an independent national 
human rights institution mandated to protect and promote human rights of all; engage in 
sustained efforts with organizational integrity and competency in seeking justice, 
reorienting agents of state along human rights norms, advocate and monitor government's 
compliance with its international treaty obligations on human rights and energize and 
engage civil society participation. 

Its constitutional mandates are: Investigate, on its owner on complaint by any party all 
forms of human rights violations involving civil and political rights; Adopt its 
operational guidelines and rules of procedure, and cite for contempt for violations thereof 
in accordance with the rules of Court; Provide appropriate legal measures for the 
protection of human rights of all persons within the Philippines, as well as Filipinos 
residing abroad and provide for preventive measures and legal aid services to the under- 
privileged whose human rights have been violated or need protection; Exercise visitorial 
powers over jails, prisons, or detention facilities; Establish a continuing program of 
research, education and information to enhance respect for the primacy of human rights; 
Recommend to the Congress effective measures to promote human rights and to provide 
for compensation to victim of violations of human rights, or their families; Monitor the 
Philippine Government's compliance with international treaty obligations on human 



83 



rights; and Grant immunity form prosecution to any person whose testimony or whose 
possession of documents or other evidence is necessary or convenient to determine the 
truth in any investigation conducted by it or under its authority; and Request the 
assistance of any department, bureau, office or agency in the performance of its 
functions. The CHRP operates in all regions of the country. 

2. Project Mandate, Structure and Processes 

As provided in the project terms of reference and the accompanying Memorandum of 
Agreement among project partners, the implementation and management of all phases of 
the project are made possible through the following organization and staffing: 

Council of Partners 

a) City of Fernando: City Mayor Pablo C. Ortega; 

b) CHRP Region 1 : Regional Director Anita M. Chauhan; 

c) NED A Region 1 : Regional Director Leonardo Quitos; 

d) DILG Region 1: Regional Director Manuel Biazon;and 

e) NSCB Region 1 : Regional Director Irene Ubungen 

MDG-HRBA Technical Working Group 

a) Focal persons from Sn. Fernando City: Atty. Verse Limos and City Legal 
Officer; 

b) Focal person from CHRP Region 1: Danilo Balino, Division manaer for 
Promotion and Linkages; 

c) CHRP Region 1 Project Staff: Mrs. Celia Quedado, Mrs. Lorna Balino, 
Ms. Rosario Aromin, Mr. Jiesmar Coillado, Mr. Don Carlo Pena 

City Human Rights Steering Committee (CHRSC) 

a) Chair : Hon. Mayor Pablo C. Ortega 

b) Vice Chair : Hon. Vice Mayor Pancracio Q. Nisce 
c) Members : All heads of the Executive Offices 

All members, Sn. Fernando Sangguniang Panlunsod 
Representative NGOs/Local City Councils/Rights 
Claimholder/Faith-Based Sectors 



C. Evidence-Based Application of HRBA in Project Implementation 



The project was triggered with the issuance of a City Sanggunian Resolution providing 
for the creation of a City Human Rights Steering Committee (CHRSC) composed of the 
following: The City mayor as Chair, Vice Mayor as the Vice Chair, the City legal 



84 



Officer as the Focal Person and the city development planning officer, city local 
government officer, city agriculturist, CENRO, city health officer, city councilors, NGO 
members of the City Local Development Council and all Barangay Captains as members. 

The Committee authorized the conduct of a capacity building phase of the project. 
Training for Trainors (TOT) was conducted for two days on February 19-20, 2008 at the 
Sangguniang Panlunsod Session Hall & People's Hall at Sn. Fernando, La Union. The 
different offices of San Fernando City including the CHR Education partners and the 
academe participated the training The inputs given to the participants include the 
following modules: Module 1 - MDGs and Targets; Module 2 - Linking Human Rights 
to MDGS; Module 3 - HRBA and Application to MDG Localization; and Module 4 - 
Competencies for Effective Trainors and Facilitators. The trained trainors showed much 
appreciation for the knowledge they gained out of the lectures and activities during the 
training. Those who participated admitted their inadequate exposure to human rights, 
HRBA and MDGs but they expressed their willingness to learn. 

The project at this stage was ably led by the CHRSC. They assumed the responsibility to 
undertake massive human rights learning and planning activities in all barangays covered 
by the city. They organized themselves, planned the barangay activities and run all 
activities with the guidance of CHRP-Region 1 . The lack of knowledge and exposure on 
the part of the participants from different sectors of the city did not serve as a deterrent to 
the project. Instead, they were all open to learn more about human rights and their 
learning could be applied to the planning of MDG localization for the City of San 
Fernando. 

Three (3) teams were formed from among the members of the CHRSC, academe, the 
entire local government sector and civil society organizations to include faith-based 
organizations. These three teams were tasked to manage the Barangay HRBA learning 
and planning sessions for MDG localization. As offshoot of the trainings;, three (3) Pilot 
Barangay Rights-Based MDG Localization Plans in pilot barangays produced, namely: 
Bgy. Masicong, Bacsil and Catbangen. Compared to the learning sessions given to 59 
barangays, the piloting in these three (3) barangays was more intensive. The capacity 
building intervention extended to these barangays include a two-day workshop per 
barangay, which was participated in by multi-sectoral groups composed of barangay 
officials and CSO representatives. The trained trainors administered the training with the 
assistance of the project staff. Each of the barangays produced a Rights-based MDG 
Localization Plan and targeted on-going projects in 2008 as the plan's jumpstart. 

Also as part of the commitment of those who underwent training, they were tasked to 
cover the capacity building for 59 barangays on HRBA and MDG localization process. 
The 59 barangays of San Fernando City were clustered into three groups. Each cluster 
was given one day training on HRBA learning and planning for Rights-Based MDG 
Localization. The team of trainers that underwent the Trainers administered the three 
clusters of training at the barangay level. HRBA tools used during the training are: 
HRBA Situation Mapping, people's Rights Entitlements mapping of Duty-bearers and 
Claimholders and Rights-Based Planning. 94 Part of the learning sessions done at the 



85 



barangay level was the conduct of situation analysis, which entailed learning exercises in 
the areas of: identifying issues and problems, linking these to specific human rights, state 
obligations of duty bearers and entitlements of claimholders; and planning process to 
overcome these issues and problems through crafting of barangay plans and adoption of 
barangay-based indicators for a HRBA-based MDG localization Plan. 



Thereafter, the barangay council to include those three pilot barangays passed their 
respective resolutions requesting the Sn. Fernando Development Office City Local 
Development Council to approve the Barangay-Rights-Based MDG Localization Plans. 
These resolutions with accompanying plan documents were presented to the ABC 
Barangay Captains in a special meeting held on April 30, 2008 attended by the CHRSC 
and the City Local Development Council. Under the chairmanship of the City Mayor, the 
Council approved the requests of the barangays on the approval of their respective plans. 
Some donors were also present during the meeting who initially made pledges to support 
selected activities in any of the barangays. While the activity covered all the 59 
barangays only about 40 barangays produced Rights-Based MDG localization Plans. The 
human rights learning and planning activities had limited coverage in terms of content. It 
only touched on the basics of human rights and HRBA. Despite limitations on the human 
rights learning, the participants were still able to capture the basic orientation and guide 
for the Rights-based MDG localization planning through the use of the HRBA tools on 
Situation Analysis and Planning for MDG Localization. Human rights indicators setting 
was also introduced corresponding to each MDG and certain adaptations in the human 
rights indicators proposed at the regional level were done to suit city and barangay level 
human rights indicators per MDG 95 . 

The manualization 96 of the rights-based MDG planning followed to document the SFDO 
experience. The members of the CHRSC, selected City personnel, CHRE partners and 
project staff underwent a Manual Writing Workshop on March 25-26, 2008. A manual 
on Rights-Based MDG Localization was produced with the help of the project staff. This 
phase served as the documentation stage of the project. Though the city government 
underwent the writing workshop on the SFDO experience, the city government was not 
able to write the manual. It only gave inputs to the manual but the writing of the manual 
was undertaken by the CHRP-Region 1 project staff with the help of selected members of 
the academe. 

During the documentation phase, the federation of 59 Barangay Human Rights Action 
Officers in SFDO was also capacitated on the project and was urged to submit a two-year 
plan, identifying among others, its monitoring responsibilities in the implementation of 
the Rights-Based MDG Localization Plans in Sn. Fernando City. 

As part of the final stage of the project, partners met to review the accomplishments of 
the project as well as the various Barangay Rights-Based MDG Localization Plans that 
were submitted to the SFDO Local Development Council. The City local Development 
Council convened for a special meeting. The City Mayor accepted all the Barangay 
Rights-Based MDG Localization Plans for consideration of the council in the ensuing 



86 



planning and budgeting period of the city. A certificate of appreciation was each 
awarded to the Barangay Captains for their involvement and participation in the project. 
Donors were also present who expressed support to the Council. The process of finally 
integrating these plans into the city plan and budget is one critical phase not covered by 
the project. Whether or not these plans would finally land into the plan and budget of the 
SFDO is another matter, which remains to be seen. However, it is expected to be realized 
soon with the commitment extended by the City Mayor and the local officials and other 
members of the CHRSC who was responsible for shepherding the project process. 

Finally on July 7, 2008, the project partners met and evaluated and closed the project. As 
a result of the evaluation, the Memorandum of Agreement governing the project was 
extended to provide further assistance to monitoring and the integration of the Barangay 
Rights-Based MDG Localization Plan, monitoring of the plans at the barangay levels by 
the Barangay Human Rights Action Officers (BHRAO) and the continuing institution 
building of the CHRSC. 

D. Institutional Performance and Constraints 97 

As gathered from the various project documents, the project did encounter some issues, 
challenges, constraints and even risks. While the city ordinance, executive order and 
barangay resolutions proved to be useful, the personal commitment of local officials 
greatly mattered in the entire process of the project. The presence and the active 
involvement of local officials and the orientation into the HRBA made the mainstreaming 
of the approach to MDG Localization planning possible. It was very unfortunate that this 
was not achieved in Candon City. One big challenge encountered therefore, is how to 
sustain advocacy on HRBA as linked to MDGs to the LGUs and how to get their 
commitment to its operationalization like the SFDO experience. In the case of San 
Fernando City, both the legislative and executive offices were considered. The big 
challenge is how to get the approval of both parties: legitimacy from the legislative and 
commitment for implementation from the chief executive. The conduct of project 
orientation, trainors training and series of learning sessions on HRBA as applied to MDG 
localization would not be sufficient. HRBA demands continuous coaching of both duty- 
bearers and claimholders specifically on the application of human rights principles and 
standards both in situation analysis and planning for MDG localization. 

Participation in the practice of HRBA is a prerequisite both from the perspectives of the 
duty-bearers and claimholders. Power relations between these two parties must be 
present in the operationalization of the approach. HRBA helps in establishing a 

no 

collaborative partnership of the two parties rather than a confrontational one. How to 
achieve this collaborative partnership between the two parties in the context and 
perspective of rights obligations and entitlements of the respective parties is a big 
challenge in the HRBA. 

Initially there are two (2) target cities for the project: San Fernando City and Candon 
City. Project orientation and organization meeting were conducted for both cities. In the 
middle of the preparatory phase, Candon City was temporarily dropped. Candon City 



87 



could not make timely decision on the project partnership due to some political 
roadblocks. CHRP Region 1 pursued Sn. Fernando City, which was more receptive to 
undertaking the project. The project was deliberated and negotiated initially with the 
former Mayor of Sn Fernando, Hon. Mary Jane Ortega. The project was not approved 
during her term but during the term of Mayor Pablo Ortega, a relative of the former 
mayor. The new mayor was receptive to undertaking the project and a memorandum of 
agreement was finally forged and approved by the City Sanggunian of Sn. Fernando City. 
The project was institutionalized in the city through the creation of the CHRSC. 

The non-inclusion of Candon City was quite a disappointment for the project. Candon 
City is perceived to be open to innovative approaches to governance considering the 
many projects it had undertaken with multi-donor support. The city government was 
divided as to adopting the project. Some members of the city government of Candon 
viewed the project as posing threat and burden as the project could bring additional 
responsibilities that may disrupt the currently perceived smooth operations of the city. 
Thus, to avoid further delays in the project implementation the CHRP- Region 1 Project 
Director pursued project partnership with San Fernando City. 

In the case of San Fernando, the previous negotiations done on the project under the 
former mayor proved to be very helpful aside from the fact that then new mayor is a 
relative of the former mayor. A memorandum of agreement and terms of reference were 
already approved with the City of San Fernando as early as 2006 as an offshot of phase 1 
of HRBA Localization project of the CHRP under the Governance Portfolio. 

The project was a success in San Fernando City but not in Candon City. The power 
structure in the latter was not unanimous in its position on the project. As reported those 
one representing the traditional power structure did not welcome much the project 
compared to those coming from the less powerful sector who favored the project but their 
support did not cause much change in the position taken by the city government. On the 
other hand the project was quite a success in San Fernando City because of a number of 
factors. One major factor is that the city is the center of all regional line agencies to 
which CHRP-Region 1 has over a long period of time been effective collaborative 
partners in development and human rights activities. Another is because the entire city 
government underwent both the project orientation and trainors training and was made 
part of the CHRSC. 



E. Evidence-Based Application of HRBA in Project Outputs and Outcomes 

The following discussions analyze the human rights content of the project outputs and 
outcomes. 

1. Content Analysis of the Project Framework: Linking Human Rights and 

MDGs in Poverty Alleviation 



88 



One unique feature of this project is the presence of a framework on HRBA specifically 
designed for the project. The framework suggests that the project is a precedent initiative 
that links development and human rights situated in local governance of San Fernando 
City. As envisioned under the project, the city was able to integrate HRBA in the city 
framework of governance and development, using MDG localization as the entry point. 
As stated in the project's objective, it is designed "to establish a strong human rights city 
constituency that will serve as a model among political subdivisions in the region for 
possible replication by other cities in the country especially in Rights-based MDG 
Localization.' 



,99 



The figure below explains the framework of the project, which was successfully 
operationalized in San Fernando City and its barangays having produced at total of 40 
Rights-Based MDG Localization Plans out of the total 59 barangays of the city. 



FIGURE 3: PROJECT FRAMEWORK 



100 



VISION : A Rights Based MDG Localization Planning 



Capacitate the duty holders (City Government, Civil Society, and Private 
Sector) in formulating a Rights-Based MDG Localization Plan for the 
barangays and San Fernando City 



Development and Governance Framework: Human Rights Based 
Approach (HRBA) to Development and Governance 



PROJECT KEY 
ACTIVITIES 

1. Project Orientation 



T 



2. Organizing of 
HRBA-MDG Steering 

Committee 



Key Actors 

CHR-1 Project Staff 



T 



Office of the City Mayor and 
CHR-1 Project Staff 



Deliverables 

Report on Proceedings 
Agreements on Implementation of 
Project Activities 
Elected Leadership of the City 
Steering Committee 



3. MOA Signing 

4.Executive-Legislative 
Issuances for Rights 
Based MDG 
Localization 



5. Validation of Rights 
Based Indicators for 



Office of the City Mayor and 
CHR Chairperson 
Office of the City Mayor and 
Sangguniang Panglunsod 



CHR-1 Staff and CHRE 
Partners 



Signed MOA 

Executive Order creating the 
HRBA-MDG City Steering 
Committee and counterpart 
ordinance or resolution on Approval 
of a Rights Based MDG 
Localization for SFDO City 
City Stakeholder validation of 
Rights Based indicators for MDG 



89 



MDG Localization 



Localization 



6. Capacity Building of 
Key Duty Holders on 
HRBA Applications in 
MDG Localization 
7.Rights Based MDG 
Localization Planning 
Sessions 

8.Manualization of 
experiences and lessons 
gained 



CHR-1 Staff and City Steering 
Committee 



CHR-1 Staff, City Steering 
Committee and Corp of 
Trainors 

CHR-1 Staff, City Steering 
Committee and Writers 



Capacitated Duty Holders for 
Mainstreaming human rights in 
MDG Localization Planning 

Rights Base4d MDG Localization 

Plans integrating the validated rights 

based indicators (barangay and city 

levels) 

Manual for Planning a Rights Based 

MDG Localization for SFDO City 



2. Content Analysis of the MDG Local Plans 

A Rights-Based MDG Localization was instituted citywide. The core elements of the 
HRBA worked in the city. These are: identifying needs from human rights perspective, 
the claimholders and duty-bearers, the rights entitlements and the state obligation, as well 
as, the human rights principles that were applied in the process of operationalizing the 
approach. Most prevalent issues and problems under each MDG were linked to specific 
rights entitlements with appropriate identification of the concerned duty-bearers and 
claimholders. The tools that were used are Participative situation Mapping, People's 
Rights Entitlements Mapping, HRBA mapping of duty-bearers and Rights-Based 
Planning. Proofs of gains along this aspect are shown in Annex A & B, the highlights 
of which are as follows: 

MDG1 - Eradicate Extreme Poverty and Hunger 

Three interrelated human rights issues and problems were identified contributing to the 
vicious cycle of poverty in San Fernando City. These are low education, unemployment 
and low quality of life. 

For low education , claimholders 101 represented by four (4) vulnerable sectors were 
identified, namely: the farmers, fisher folks, informal sector and squatters. The 
identification of these vulnerable groups are in keeping with the human rights principle 
"Attention to Vulnerable Groups ", which is an inherent principle to the content of good 
and democratic governance. Corresponding state obligation was also pinpointed as the 

1 07 1 (T^ 

provision of free education for both elementary and high school. Duty-bearers were 
also identified such as the Local Government Unit (LGU), Department of Education 
(DepED) who represented those with responsibilities in the realization of rights in the 
traditional or legal approach to human rights. 104 Local legislation and program constituted 
the rights-based measures to make education affordable and available to all and to 



90 



ensure acceptability of teaching methods. These standards would be expected in the 
implementation of project initiatives such as balik-paaralan and scholarship for the poor. 

For unemployment , the local populace from both the urban and rural communities of the 
city was recognized to have been affected by this condition. The right to work was 
matched with this specific problem. The duty-bearers include the LGU, Department of 
Labor and Employment (DOLE) and other government lending institution. Specific state 
obligation identified is to make available appropriate financing assistance for livelihood 

1 07 

projects. As cited in the city plan, local legislation and program would be instituted 
bearing the following standards: right of everyone to the opportunity to gain his living, 
fair wages, equal opportunity for promotion and other working conditions. Also, as a 
step towards improving the livelihood of low-income families, micro -financing projects 
would be organized. 

For low quality of life , the right to adequate standard of living, which includes the 
right to adequate food, adequate housing and adequate water as provided in Article 11 (1) 
was identified. The claimholders for this human rights issue are the local populace of 
both the urban and rural communities of the city. The duty-bearers are the LGU, 
Department of Agriculture (DA), City health Unit, Department of Social Welfare and 
Development (DSWD). Other non-state duty-bearer was also identified like the Gawad 
Kalinga. Essentially the provision of health care and financial assistance was the primary 
state obligations recognized to respond to this human rights issue on low quality of life. 
As a major project initiative to improve low quality of life in the city, a housing program 
is envisioned that would ensure availability of services, materials, facilities and 
infrastructure, as well as security of tenure. 

MDG 2 - Achieve Universal Primary Education 

Under this goal, the city perceived the lack of quality education in terms of insufficient 
teachers and school facilities and two other compounding problems relating to school 
dropouts and out of school youth. Children of school age are the most affected 
claimholders by these interrelated problems on education. The LGUs, DepED, City 
Schools, City Social Welfare and Development Office (CSWD) and the local police were 
identified as the primary duty -bearers to fulfill the city populace's right to primary and 
secondary education. The right of every child to have sufficient functional educational 
institutions was identified as human rights standard to be applied to relevant local 
legislation and program to be formulated. 109 Initially, the city targeted the following 
education programs befitting of the education standards under Article 13 (2) 110 of the 
ICESCR. These are the issuance of an ordinance providing for educational assistance, 
establishment of counterpart funds from LGU to finance salaries and other benefits of 
educators and the setting up of livelihood program in every school, provision of 
livelihood opportunities to parents, engagement of local non-government organizations to 
adopt a school program and the establishment of a data base on the education sector at the 
city level. 

MDG 3 - Promote Gender Equality and Empower Women 



91 



The local issues on women constitute an array of concerns from violence against women, 
to inadequate health care and to lack of employment. The rights entitlements that were 
linked to these issues include non-discrimination of women 111 , right to health, right to 
care/services, right to equality, development and protection and right to equal 
opportunities to work 112 and education 113 , which are in keeping with the interrelatedness 
and indivisibility principles of human rights. Specific state obligations identified include 
making available appropriate counseling services, provision of income for the abused, 
provision of health care to women and mothers and ensuring equal opportunities between 
men and women. Local legislations are identified to give effect to women's right to 
equality and right to enjoy and exercise all human rights without distinction of any kind, 
exclusion or preference. A package of project initiatives was identified to improve the 
status and well being of women in the city. These are livelihood project and small-scale 
business, augmentation of income of the abused, information dissemination of family 
planning, health care, nutrition, education and public information programs. The duty- 
bearers for these initiatives are the GAD, CSWD, LSB and the Commission on Human 
Rights of the Philippines (CHRP). 

MDG 4 - Reduce Child Mortality 

Three major issues were identified under this goal such as inadequate information on 
importance and availability of pre-natal care service, misconceptions on breastfeeding 
and irregular availability of antigens during scheduled immunizations. These issues were 
effectively linked to right to life 115 , right to health 116 , and right to observance of the best 

117 

interest of the child , which are reflective of the principles of interrelated and 
indivisibility of rights. Corresponding to the identified rights entitlements, the 
claimholders were likewise identified to include pregnant women, unborn child/infant, 
and lactating mother. Duty-bearers who are accountable were also identified such as the 
Department of Health (DOH), City Health Office, Barangay Health Center, Lying-in 
Clinics, BHW/BNS/BSPO/ SP Committee on women and Child/KIP Committee on 
women and the CHRP. Other stakeholders were also recognized to contribute to the 
resolution of the issues such as Tango, LUWI, Rotaries, Lions, Religious Sectors and the 
Academe. In solving the prevalent issues, rights-based initiatives were also prioritized 
reflecting the role of the LGU in performing the corresponding state obligations. These 

i i o 

include local legislations specifically the adoption of resolution to encourage DepED 
and CHED to include IEC on the importance of pre-natal services and breastfeeding 
focusing on fertility awareness. Steps to meet the entitlements of the identified 
claimholders were also considered by the city government to include the continuous 
implementation of the pre-natal counseling, responsible parenthood, and mother's class. 

MDG 5 - Improve Maternal Health 

Under this goal, very basic issues and problems were raised affecting the wellbeing of 
women. These are low access to sexual and reproductive health services, low family 
planning and post and pre natal care services and maternal mortality. The entitlements 
raised related to these issues are the right to health and right to medical treatment 



92 



services 119 right to information 120 , as well as their interrelatedness to the right to special 

191 

working privileges pertinent to maternal mortality. Mostly affected by these issues are 
low income-working women. Principally, the city government was identified as the duty- 
bearer but other stakeholders were also, recognize for their contributions such as the 
DOH, Population Commission (POPCOM, RPM, Family Planning Office/DSWD, 
Church, business sector and HEI. In full recognition of the state obligation to fulfill 
provision of reproductive health services, the city government considered adopting local 
legislation and program in the form of a Regular Appropriation Ordinance for health 
services and expanded program on immunization. 122 

MDG 6 - Combat HIV/AIDS, Malaria and Other Diseases 

The prioritized issues under this concern are pneumonia, PTB and COPD. Specific rights 
entitlements were identified relative to right to prevention, treatment and control of 
diseases and non-discrimination. As noted, pneumonia is the leading cause of mortality 
in the city. Out of 146 cases, 77 involve women and 69 men. With respect to PTB, of 
those 32 affected, 17 are women and 15 are men, including smokers. On COPD, 18 men 
are affected and 2 women. These concerns are of serious concern that the city 
government is considering the passage or enactment of a City Health Code covering 
provisions on the prevention, treatment and control of such diseases, and such other 

1 9^ 

support services such as immunization, Information and Education Campaign ' and 
procurement of medicines and facilities. 

MDG 7 - Ensure Environmental Sustainability 

The various issues raised under this goal are more complex. These include: 
unseggregated solid waste, air pollution due to smoke belching and ground water 
contamination affecting sanitation in the urban area; illegal fishing and unseggregated 
solid waste in the coastal areas; deforestation in the upland areas. Three rights were 
linked to these issues such as the right to quality of life, right to clean and healthy 
environment and right to a balanced ecology. The affected sectors concerning these 
issues are the households, commuters, all inhabitants, informal settlers/dwellers, 
fishermen and consumers. Identified duty -holder are the City government, City 
CENRO, DOTC, LTO, DENR, City Health Office, City Agriculture, CAO and TFSK. 
Other stakeholders were also identified such as the barangays, NGOs, GAS SWAPP, and 
Provincial Government, transport group, vendors association and farmers. Both 
legislative and program measures were prioritized by the city government. For local 
legislation, the passage of the Environment Ordinance or code was prioritized to respond 
to solid waste management in the city. The support administrative and program measures 
include the clustering of barangays, provision of facilities, livelihood, and subsidy to the 
barangay for gasoline and maintenance, collection system and continued operation of the 
City SWM Board and Barangay ESWM Committee and the institutionalization of 
Multipartite Monitoring Team. A related Environment Ordinance or code will also cover 
concern on air pollution and such other measures as micro financing of livelihood 
assistance, program for conversion of two strokes to four strokes and the regular updating 
of data records on ambient air quality monitoring. Also, a Sanitation Code will be 



93 



prioritized for the legislative action to improve sanitation in the city, and the continuance 
of mother's class, food handlers' seminars and system for issuance of certificates to 
applicants of permits. Similarly regular ocular inspections will be instituted and issuance 
of application denials to business projects. 

MDG 8- Develop a Global partnership for Development 

Remarkable issues and problems were noted under this goal as they affect the city. These 
issues are: lack of functional program that addresses the needs/welfare of the Out of 
School Youth (OSY), development servicing problem and inadequate knowledge, 
information and access to affordable medicines. The comprehensive rights to 
development and selfdetermination were linked to these issues. Generally, the less 
privileged and most vulnerable sectors of the city were considered affected by these 
issues with particular mention to the taxpayers and out of school youth. As the rights 
entitlements suggest interrelatedness and indivisibility of the human rights issues, a web 
of duty-bearers was also recognized consisting of the following: City and barangay 
governments, DSWD, academe, private sector. Additional stakeholders include other 
line agencies, NGOs and POs and other advocates. In order to implement the standards 
on the right to development, the City government envisioned the passage of a legislation 
institutionalizing non-formal education for the OSY, active people's participation and the 
conduct information dissemination to the city and barangay levels. Other administrative 
and program measures cover the conduct of participatory research on the OSY and other 
information dissemination media in print and broadcast both at the city and barangay 
levels. 

3. Process Analysis of the Institutionalization of the Rights-Based MDG Plans 

Resulting from the HRBA Learning and Planning for Rights-Based MDG, the barangay 
councils of 49 barangays including those of the three (3) pilot barangays passed barangay 
resolutions endorsing their respective Barangay Rights-Based MDG Plan, recommending 
its approval and endorsement to the City Local Development Council through the City 
Mayor. These were presented through the ABC Barangay Captain, which was jointly 
attended by the CHRSC and the City Local Development Council. All the barangay 
plans were adopted during such meeting conducted on April 30, 2008. There were some 
donors who expressed support to some selected activities. The tools that were used are 
Participative situation Mapping, People's Rights entitlement Mapping, HRBA mapping 
of Duty-Bearers and Rights-Based Planning. 



94 



TABLE 5 - BARANGAY RESOLUTIONS ON RIGHTS-BASED 
LOCALIZATION OF MDGS 



Barangay/s 


Resolution No. 




Date/s 


1. Sn. Vicente 


Res. No. 11, Series of 2008 


April 


26, 2008 


2. Tanqui 


Res. No. 28, Series of 2008 


March 29, 2008 


3. Sevilla 


Res. No. 4, Series of 2008 


April 


13,2008 


4. Santiago Norte 


Res. No. 8, Series of 2008 


April 


17, 2008 


Barangay II, City of San 


Res. No. 10, Series of 2008 


April 


8, 2008 


Fernando 








6. Puspus 


Res. No. 07, Series of 2008 


April 


15,2008 


7. Santiago Sur 


Res. No. 11, Series of 2008 


April 


28, 2008 


8. Catbangen 


Res. No. 6, Series of 2008 


April 


12, 2008 


9. Barangay 1, City of San 


Res. No. 25, Series of 2008 


April 


13,2008 


Fernando 








. 10. Barangay III, City of San 


Res. No. 08, Series of 2008 


April 


25, 2008 


Fernando 








.11. Camansi 


Res. No. 03, Series of 2008 


April 


6, 2008 


12. Bangbagolan 


Res. No. 06, Series of 2008 


April 


12, 2008 


13. Madayegdeg 


Res. No. 19, Series of 2008 


April 


16,2008 


.14. Pao Norte 


Res. No. 07, Series of 2008 


April 


19, 2008 


15. Cabarsican 


Res. No. 5, Series of 2008 


April 


27, 2008 


16. Bacsil 


Res. No. 12, Series of 2008 


April 


6, 2008 


17. Apaleng 


Res. No. 8, 2008 


April 


25, 2008 


18. Mameltac 


Res. No. 9, Series of 2008 


April 


28, 2008 


19. Nagyubuyuban 


Res. No. 09, Series of 2008 


April 


6, 2008 


20. Baraoas 


Res. No. 12, series of 2008 


April 


27, 2008 


21. Pao Sur 


Res. No. 12, Series of 2008 


April 


20, 2008 


22. Pacpaco 


Res. No. 12, Series of 2008 


April 


28, 2008 


23. Poro 


Res. No. 20, Series of 2008 


April 


12,2008 


24. Parian 


Res. No. 007, Series of 2008 


April 


13,2008 


25. Sacay 


Res. No. , Series of 2008 


April 


23, 2008 


26. Bida 


Res. No. 11, Series of 2008 


April 


21,2008 


27. Sn. Francisco 


Res. No. 13, Series of 2008 


April 


26, 2008 


28. Namtutan 


Res. No. 12, Series of 2008 


April 


12, 2008 


29. Bato 


Res. No. 09, Series of 2008 


April 


13,2008 


30. Bungro 


Res. No. 11, Series of 2008 


April 


20, 2008 


31. Bangcusay 


Res. No. 05, Series of 2008 


April 


27, 2008 


32. Langcuas 


Res. No. 10, Series of 2008 


April 


20, 2008 


33.Sibuan-Otong 


Res. No. 10, Series of 2008 


April 


23, 2008 


34. Tanguican 


Res. No. 08, Series of 2008 


April 


27, 2008 


35. Pias 


Res. No. 11, Series of 2008 


April 


20, 2008 


36. Abut 


Res. No. 17, Series of 2008 


April 


27, 2008 


37. Narra Este 


Res. No. 02, Series of 2008 


April 


20, 2008 


38.Ballangayan Este 


Res. No. 7, Series of 2008 


April 


26, 2008 



95 



Barangay/s Resolution No. Date/s 

39. Birunget Res. No. , Series of 2008 April 8, 2008 

40. Cabaroan Res. No. 19, Series of 2008 April 20, 2008 



All the 40 barangays produced their respective Rights-Based MDG Plans covering all the 
eight (8) goals for year 2009. However for manageability of the scope of this case study, 
only 30% of these barangays equivalent to 12 sample plans for at least one (1) MDG are 
herein presented: 



• Barangay Cabarsican 

For MDG 1, the lack of agricultural facilities is identified as most pressing issue that 
the barangay to right to work. Affected by this condition are the farmers and their 
families as the claimholder. The barangay identified the city Government, Barangay 
Council as the duty-bearers. The barangay officials estimated cost at P250, 000 for 
the purchase of agricultural facilities. Some of the rights-based performance 
indicators the following: Barangay resolution requesting for approval of project and 
budget allotment and formulation of Barangay Ordinance on mechanism for 
entitlement to the availment of the agricultural facilities by identified farmer 
beneficiaries. 

• Barangay San Vincent 

On MDG 1, this barangay identified the lack of water sealed toilets, which is affecting 
indigent families. This issue was analyzed as a composite of the right to health. The 
barangay identified the barangay officials, the City Health Office and the Sanngunian 
Bayan as the duty-bearers for the different initiatives that it prioritized to include the 
involvement and training of the out of school youth. To meet the quarterly targets set by 
the barangay, P100,000.00 was budgeted. 

• Barangay Tanqui 

For MDG 8, this barangay prioritized unemployment as its most pressing human rights 
issue, which it linked to entitlements of the right to work and right to development. The 
barangay earmarked P 250,000.00 for its employment generation project with quarterly 
targets. The barangay officials were identified as the duty-bearer. The barangay 
residents were identified as claimholders. 



• Barangay Sevilla 

For MDG 2, the barangay considered illiteracy as its primary issue. This was linked by 
the barangay to both the right to education and the right to development. Targeted on 



96 



quarterly basis will be the involvement of indigent families as the claimholders at a 
budget level of P50,000. The duty-bearers identified are the Barangay Council, City 
School Division, City CSWD, TESDA, NNC-RLA, DOLE-RLA. The barangay set as 
rights-based performance indicator the proportion of indigent families participating in 
functional literacy activities 

• Barangay Ilocanos Norte 

For MDG 1, this barangay prioritized illegal gambling as its most pressing human rights 
issue, which it linked with the right to adequate standard of living. Affected by this issue 
are children and family members. The project identified to respond to this issue is the 
provision of parental guidance, provision of livelihood training. The activities were 
targeted on quarterly basis with a total cost of P 10,000. 

• Barangay Santiago Norte 

For MDG 1, low income was identified by this barangay as its most pressing issue, which 
it linked to right to work. The claimholders identified were the barangay residents, while 
the City government and barangay officials were recognized as the duty-bearers. Rights- 
based livelihood project was the identified project targeting at least 25% of the 
unemployed barangay residents provided a comprehensive package of employment 
assistance. 

• Barangay II 

For MDG 5, the lack of health services was identified as most pressing issue that was 
linked to both right to life and right to health. It proposed for the establishment of a 
Botika sa Barangay (Free access of over the counter medicine) to service both low 
income earners and indigent families as claimholders. As performance indicator, the 
barangay identified the list of serviced indigent families based from the 2008 survey. 
The duty-bearers identified are the Barangay Council and its Committee on Health. 
P15,000 was budgeted for the initial set up of the Botika sa Barangay,. 

Barangay PuspusFor MDG 8, the poor condition of barangay roads was identified as a 
pressing problem. This problem was linked by the barangay residents to right to 
development and right to basic amenities of life. Concreting of barangay road is the 
identified project, which is expected to be done through the participation of the residents 
and through the help of concerned Congressman, Provincial Governor, City Government 
and Barangay Council. 

• Barangay Saoay 

For MDG 7, poor solid waste management is the identified issue, which the barangay 
linked to the right to clean environment and right to health. For this issue, the duty- 
bearers identified are the Barangay Council, City Environment Office, Provincial 
Governor and Office of the Congressman. Solid waste management is the identified 



97 



project. To facilitate implementation of the project, a Barangay resolution for the 
adoption of solid waste management is being considered, training of households and 
construction of MRF Facility. Seventy five percent (75%) of the household is being 
targeted to participate in the project. 

• Barangay Biday 

For MDG 2, the selling of liquor, which is affecting out of school youth is identified as 
most pressing issue. This issue is closely linked to right to life, right to peace and right to 
education, representing the interrelated concerns that affect the quality of life of the out 
of school youth and the community as a whole. As a response, the passage of an 
Ordinance was passed limiting safe and drinking of liquor outside the school vicinity. 
The SanggunianPambarangay and Sangguniang Panlunsod are the identified duty- 
bearers. 

• Barangay San Francisco 

For MDG 4, the need for Day Care Center is identified as most pressing human rights 
concern for children below school age, as its claimholder. This is classified under the 
Child right to development. Recognized as duty-bearers for the construction of the Day 
Care Center are the Barangay Council, City Government, Provincial Governor, 
Concerned Congressman. 

• Barangay Cabaroan 

For MDG 2, the issue is flooding, which affects the barangay residents of all barangay 
zones. This issue is linked to right to development. In order to respond to this issue the 
318 out of school youth will be mobilized. P 500,000 is budgeted to cover the cost of this 
project 



Gauging from these sample plans for some selected MDGs, the barangays had effectively 
identified the stakeholders of the issues and projects using the human rights perspective 
of claimholders and duty-bearers. The barangays had also understood the issues and 
problems that are prevalent in their respective barangays as these are linked to specific 
rights. The principle of participation was observed in the planning itself of the 
barangays. Involving the residents in the implementation of project initiatives is 
following the same principle. To some extent, a handful barangays were able to identify 
rights-based indicators, at the level of local legislation, administrative and program 
initiatives. 

3. Content Analysis of the Value added of the HRBA. 

One other unique feature of the project is its concept of initiating San Fernando City as a 
city where mainstreaming of human rights has become fully integrated in the planning, 
programming and budgeting process of MDG localization, with its actual and full 



98 



implementation done by both state (government) and non-sate (civil society) actors. As 
claimed by the project its added values are shown below: 



FIGURE 4 - VALUE ADDED FEATURES OF THE HRBA PROJECT 



127 



On the project 

Addressed to the city leadership 

Main beneficiaries are the local 
populace and communities, the city 
officials and the future generation of 
Filipinos. 

The local populace and 
communities are the actors of the project 

Power relations between local 
officials and local populace more defined 
in an objective manner based on 
accountabilities and responsibilities] 

Project defines quality of life of the 
local populace in terms of human rights 
standards for realization of MDGs 



HR PRINCIPLES MAINSTREAMED 
IN THE PROCESS 

Accountability 

Empowerment 

Participation 

Transparency 

Non-Discrimination 

Attention to Vulnerable Groups 

Universality 

Equality 

Indivisibility 

Interrelatedness 

Interdependence 



HR STANDARDS APPLIED 
Standards applicable to: 

Right to basic amenities of life 

Right to work 

Right to health 

Right to healthy Environment 

Right to participation 

Right to good governance 

Right to development 

Right to water 

Right to food 

Right to Education 



HR PRACTICES HIGHLIGHTED 

HR Change management from top 
and below 

HRBA tools in situation analysis 
and programming 
Partnership and alliance building 
Constituency building 
Participatory planning 
HR Capacity Building 
Rights-based legislation 



F. HRBA Indicators Generated from the Project 

As experienced in the project, HRBA could very well enhance the quality of local 
governance and local development with respect to using the approach towards being 
more responsive to community conditions, as may be measured by the following 
indicators: 



99 



1. HRB A in Local Governance 

a) The degree to which accountability of local officials and agencies is expressly 
identified and matched with specific needs and problems of the local 
residents; 

b) The degree to which the application of HRBA is legitimized in terms of 
issuance of local ordinances, provision of budgetary support and led by local 
officials; and 

c) The magnitude of consultation instituted at the community level using the 
HRBA as framework and process using the available standard tools. 

2. HRBA in Local Development 

a) The degree to which human rights awareness and consciousness of the local 
residents is raised; 

b) The degree to which applicable and relevant human rights normative content 
or standards are applied in each of the eight (8) MDGs; and 

c) The degree to which HRBA could be applied in annual local planning and 
budgeting as a means to ensure progressive improvement of the quality of life 
of local residents 

G. User Satisfaction on HRBA 

The proponent shared that the application of HRBA in the Localization of the MDGs was 
the fruit of the consistent lobbying of the CHRP Regional Office in Sn. Fernando City. 
Through the exposures of local agencies and LGUs in various seminars and trainings 
conducted by the CHRP at the Regional level, all LGUs in Region 1 got strongly 
convinced of the application of the approach in their planning, programming and policy 
making. The local agencies concerned with the implementation of relevant International 
Human Rights Treaties, guided the LGUs in applying the approach and in the process 
implemented the appropriate provisions of the treaties on particular issues being 
addressed by the LGUs 

However, the proponent recognized that the approach was difficult to sell in the 
beginning. The Regional Office had to contend with the dearth of information and 
education materials on HRBA. The Regional Office had to be self-reliant in developing 
and reproducing education materials on HRBA. At the onset, there was resistance to the 
use of the approach because of some misimpressions that the approach is a new 
prescription. The relentless effort of the Regional Office to continuously engage the 
Regional Agencies in studies, fora and conferences made them realize the added value of 
the approach to the traditional way of doing their local planning. 



100 



The proponent is strongly convinced that the HRBA introduced a human rights focus for 
local legislations. The LGUs are starting to learn to refer to the applicable human rights 
standards contained in the international treaties in the formulation and passage of 
ordinances. The human rights standards were also to some extent applied to the local 
MDG targets. The MDG targets have been given more definitive planning approach 
through an effective identification and involvement of concerned duty-bearers and 
claimholders to fulfill and realize the implementation of the city plan, which was done in 
all barangays and legitimized through the passing of Barangay Ordinances for the 
purpose. 



The proponent recommended that the legislation on HRBA should be given priority both 
at the national and regional levels. Appropriate agencies should lobby with Congress the 
integration of the HRBA as an approach to regional planning and programming. 

Simultaneous efforts must be done at the Regional Development Councils. Lobbying and 
advocacy for the issuance of appropriate resolutions by the RDC could help facilitate the 
application of the approach by the member agencies of the Council as well as, the LGUs. 

H. Lessons Learned on the Application of HRBA 128 

The lessons learned from HRBA practice in SFDO are very rich in so far as their 
contribution to local development and governance. SFDO was equipped with criteria and 
guide in terms of defining local development needs and problems and in enabling the 
different participating governance stakeholders on how to address them through matching 
of their respective mandates. 

1 . Positive Role of the Local Government Units 

The SFDO experience demonstrated the positive intervention of government that can help 
bring about rapid changes in living condition of the people of SFDO. If and when the 
city government adopts appropriates budgets for the various Barangay Rights-Based 
MDG Localization Plans, chances are the provision of opportunities to improve the 
delivery of the MDG targets along livelihood opportunities, education, health care and 
other social and economic entitlements as identified by all the barangays would be 
achieved. Proofs to this positive role of the local government of SFDO are the various 
city ordinance, executive order and barangay resolutions that institutionalized the process 
of the HRBA in MDG planning at the local level. The process that the SFDO underwent 
under the project reflects the type of governance in the city. It indicates the increasing 
role of the state and the local government's recognition of its obligations under the 
various International Human Rights Treaties in dealing with poverty to help the poor and 
the marginalized sectors of the city. Thus, it would be expected that despite economic 
growth at the national level, the SFDO could expect improvement of the quality of life in 
its constituent barangays through its concerted programs and projects on the MDGs. 
Such experience of the city could prove later that improvement of quality of life of the 



101 



poor especially in developing country like the Philippines could be achieved through 
government intervention despite overall sluggish economic growth in the country. 

The SFDO from the city to the barangay level had adopted a reorientation of their 
perception of the issues and problems confronting their constituencies in the context of 
rights. During the Rights-Based MDG Localization Planning, the barangay communities 
were allowed to freely go through the process of identifying the rights affected involved 

i in 

corresponding to each of the issues and problems they raised 

Support to the project was mobilized through the able leadership of both the CHRSC 
under the City Mayor and other local officials and the collaboration and technical 
assistance provided by the regional offices of the CHRP, NEDA and DILG. Specifically 
noted is that each and every act to mobilize the people in the city is legitimated by the 
issuance of city/barangay resolutions. 

Worth mentioning is the impressive acceptance of the project by the City government and 
the barangay councils. Mobilization for this project could not have been possible if not 
for the long years of human rights advocacy undertaken by the CHRP-Regionl and its 
sustained collaborative relationships with both the government and civil society sectors 
of the city up to the regional level. 

2. Human Rights Content of the Outputs 

The city/barangay MDG plans are very much rights-based in terms of content. Particular 
rights guaranteed under each of the MDGs were defined based on their core content 
under the relevant International Human Rights Treaties as evident in B.4 Part IV of this 
Case Study. These norms are also reflected in selected human rights indicators adopted 
by the pilot barangays. By merely recognizing the specific rights involved in the MDG 
targets suggests that every one should enjoy this right and that certain standards for the 
enjoyment of these rights should be met and that the government, in this particular case 
the SFDO has the obligation to do its best to ensure their realization in the long run. 

3. Institutionalization of HRB A 

Through the HRBA process adopted in SFDO, the relation between the barangay people 
as claimant of rights and the local government and agencies that have the obligation to 
provide services was established. 

The CHRSC project organization and its composition are indicative of the level of the 
institutionalization of the project in the SFDO. The representations of the different 
members of the Committee show the level of participation and involvement of both the 
power structure at the local level including the local agencies and the civil society 
organizations. This organization is more than enough guarantee to say that the project 
had been institutionalized that is properly supported by city ordinance, executive order 
and barangay resolutions. The Committee's functions are not limited to the formulation 
of barangay plans. Its responsibilities extend further to facilitating the inclusion of the 



102 



various plans to the City Rights-Based MDG Localization Plan and the monitoring of the 
implementation of such plans both at the barangay and city levels. The adoption of the 
city and barangay resolutions was the major policy initiative that was put in place that 
warranted a citywide Rights-Based MDG Localization Planning. These resolutions 
provided the organization and operation support to the citywide capacity building and 
planning activities. 

4. HRBA Methods and Tools 

At the city levels the HRBA Situation Analysis tool was practiced prior to the crafting of 
the MDG localization Plans. Various human rights issues and problems under each of the 
MDGs as experienced by the barangay communities were identified. After which 
relevant rights applicable to the issues were matched and analyzed by pointing to the 
concerned duty-bearers and claimholders of the rights. Similarly, using the HRBA 

Planning Tool for MDG Localization, applicable programming standards that were based 
on the core international human rights treaties were done including an identification of 
rights-based measures, rights-based project initiatives and performance system. This was 
done during the capacity building at the city level. Moreover, the same tool for a Rights- 
Based MDG Localization was used covering 59 barangays. As earlier mentioned these 
resulted to 40 barangay Rights-Based MDG Localization Plans. The manual produced by 
SFDO-CHRP, more or less captures the HRBA methods and tools used in the project, 
which would be worth reviewing for possible standardization. 

5 . Role of CHRP in Institutionalizing HRBA 

The management of the project unfolded through the catalytic role of CHRP-Region 1. It 
served as the city external advisor in the implementation of the project from the time the 
project was institutionalized through issuance of a city ordinance, to the presentation of 
all the Rights-based MDG Localization plans of all barangays to the city government. 
The CHRP- REGION 1 provided the framework and approach to operationalize the 
concept of a Human Rights Resource City. The orientation into the application of the 
perspectives of duty-bearer and rights-holder was widely introduced in the city proper 
and the constituent barangays. The mainstreaming of the human rights principles and 
standards, as well as the practice of the HRBA was institutionalized at the city and 
barangay levels through the diverse capacity building interventions undertaken by the 
CHRP-Region 1 through the CHRSC. The entire sequential steps of operationalizing a 
Rights-based MDG Localization Planning were done through a handholding process of 
the CHRP-Region 1 with the CHRSC. 

In order to manage challenges and problems encountered by the project, social marketing 
of HRBA must be pursued prior to undertaking the project to ensure its acceptance by the 
local government. In which case more direct advocacy to LGU power holders is 
inevitable before an HRBA project can be offered for partnership. Coaching program to 
be designed and conducted by human rights specialists should be part of this type of 
project. As in the case of the SFDO experience, it is not enough that people are made to 



103 



undergo training. Continuous coaching should warrant sustainability of the application of 
the HRBA for MDG localization especially during the implementation of the plans. 

As part of the Philippine commitment to support all Human Rights-Based Approaches in 
the country, the Presidential Human Rights Committee, which is tasked to undertake the 
implementation and monitoring of the country's obligations under the various 
international Human Rights treaties should be able to adopt policy on HRBA for MDG 
Localization engaging both the NEDA and DILG at the forefront especially at the local 
government levels, with the CHRP performing advisory role. 

At the local level, the institutional arrangements done at SFDO would be ideal to bring 
about cooperation between the legislative and executive offices in ensuring massive 
engagement of participation among the constituents to include all sectors and civil 
society, in general. 

As practiced in SFDO, the process is worth following as a model for replication by other 
local governments. Although, it would be best that each local government should be 
encouraged to evolve its own process. As evident in SFDO experience, some 
personalities like the CHRP Region 1 Project Director, the City Mayor, the cooperation 
given primarily by the NEDA, DILG and other line agencies were major elements that 
contributed to the initial success of the project. 

5. Sustainability and Replicability of SFDO Experience 



Sustaining the initiatives both at the city and barangay levels is of great magnitude. 
While the city and barangays had successfully oriented local communities and 
stakeholders on the Rights-Based MDG Localization, much yet are to be desired in terms 
of deepening the capacity of the local leaders in ensuring that human rights standards, 
entitlements and obligations of the identified duty-bearers will be implemented in both 
the content and process of formulating and implementing the various legislative, 
administrative and program measures identified both at the city and barangay levels. 

The Rights-Based MDG Localization Guide could possibly sustain the initiatives but 
more massive information and education campaign would be required. One experience, 
though impressively massive as like what happened, would need nurturing at least at the 
level of local leaders of both the city and barangay government units. 

The repetitive processes experienced at both the city and barangay levels had defined a 
new power relation between the local populace (claimholders) and the local government 
units (duty-bearers). Their awareness as to their obligations and responsibilities 
corresponding to identified local issues and problems had been more defined in terms of 
relevant human rights standards. Thus, it is expected that the city/barangay government 
would be more accountable in performing their responsibilities to respond to these issues 
and problems, while the local populace and selected sectors would be equally responsive 



104 



in exercising their rights and giving their contributions to the solution of the issues and 
problems more consciously and responsibly. 



From the outcome of the pilot project, more deliberate interventions should be jointly 
undertaken by the project partners such as: CHRP, NEDA and City LGU in terms of the 
following: 



Support plans and programs for the institutionalization of the project gains would be 
inevitable. Such support plans and programs should be along the following interventions: 
follow through of the capacity -building seminars/training to city and barangay officials; 
massive information and education campaign on the Rights-Based MDG Localization 
Guide among city and barangay populace; follow through on the various local 
legislations commitment both at the city and barangay levels in terms of issuance of 
ordinances/codes; follow through on the resource requirements of the Rights-Based MDG 
Localization plans at the city and barangay levels in terms of the annual appropriation of 
the required budgets; and strengthening and consolidation of the indicators and tracking 
systems identified for the monitoring and evaluation of the Rights-Based MDG 
Localization Plans both at the city and barangay levels. 



The NEDA under the GOP-UNDP Empowerment of the Poor Programme should 
consider a phase 2 of the capacity building of city and barangay officials. Nurturing of 
the plan would greatly depend on the capacities of local officials to guide both the human 
rights content and process of developing and implementing the various legislative, 
administrative and program measures prioritized by the city and its barangays. 



This initiative should give focus to strengthening the project organization both at the city 
and barangay levels. Regular consultations and dialogues among the stakeholders should 
be able to empower the project organization. A performance score board system would 
have to be instituted to strengthen the accountability especially of the identified duty- 
bearers of the various measures identified under the city and barangay Rights-Based 
MDG Plans. The system should be the key to institutional strengthening focused on the 
established accountabilities under the plan. This should be matched with city and 
barangay assemblies for the public reporting on the progress of implementation of the 
plan, as well as the public rating on the performance of accountable agencies. To be 
incorporated into the system is a technique to gauge the contributions of the local 
populace to the achievement of the Rights-based MDG Plan. 



The fact that the Rights-Based MDG Localization Planning was successfully carried out 
in San Fernando City gives a glimpse of hope that the same could possibly work in other 
local government units. However, replication would not be as easy as one could imagine. 
This pilot project is so massive not only in terms of area coverage but more so, in terms 



105 



of the local commitments that were effectively mustered. Replicability of the approach 
requires almost the same ingredients although context may differ in terms of local 
conditions in other LGUs. Ingredients here refer to the organizational strategy, which 
involves the top agencies and highest local executives of the city and the barangays. In 
addition, a combination of strategies would be much desired for replication. Such mix 
could be designed by concerned LGUs contemplating to replicate the approach for MDG 
localization. In order to come up with this desired combination of strategies concerned 
LGUs would have to do their own assessment of the San Fernando City experience and 
draw their respective implementation design and plans. The common strategies, which 
could be adapted, include the project organization, the capacity building activities, the 
community mobilization from city to barangay level and the actual process of Rights- 
Based MDG Localization Assessment and Planning using the selected HRBA tools. 
Foremost, the partnership and collaboration achieved by the CHRP with the NEDA and 
LGU of San Fernando City would feature in any replication design for this pilot project. 

Gauging from the case, the HRBA conceptual framework, as well as its operational 
definition proved to be effective. The heavy use of HRBA tools at various stages of the 
MDG local planning made possible the mainstreaming of appropriate principles, 
normative content of rights and operationalization of the obligations of local agencies and 
entitlements of the vulnerable groups. This is one project where the CHRP proved to be 
effective as agent of HRBA with the apparent and consistent HRBA advocacy at the city 
and barangay levels. Stakeholders were deliberately put together in planning dialogues, 
as well as, consciously mapped out to fit each and every plan of action to apply human 
rights in each of the eight (8) MDGs. 



106 



CHAPTER 5 
CASE 3 - PILOT PROJECT ON THE RIGHT TO FOOD 



This chapter deals on a case involving one of the most pressing priority rights under the 
ICESCR. In this case, the CHRP demonstrated its attempt to apply HRBA on the Right 
to Food, engaging in the process the various government agencies and non-government 
organizations with related mandates. 



A. Overview of the Project Case 



I st 



During the closing phase of the 1 cycle of the GOP-UNDP Governance Portfolio, the 
Commission on Human Rights of the Philippines (CHRP) implemented the Right to Food 
Project under the Right to Development Programme of the Portfolio. The project is one 
major initiative under the Portfolio, which sought to develop the capacities of 
government agencies in undertaking a Human Rights-Based Approach to development. 
The project was a pioneering project to demonstrate how the approach works in 
operational terms. It was given highest priority by the Commission since it is oriented 
towards addressing the human conditions of the poor and marginalized sectors of the 
Philippine society. 

1 . Purpose of the Study 

This case study seeks to present the process and the outcome of applying the HRBA 
particularly in the most crucial concern of the government - RIGHT TO FOOD. 
Specifically, the study will attempt to show the following: 

a) The framework, process and tools that were adopted by the Commission in 
engaging concerned government and non-government organizations; and 

b) The output or outcome achieved by concerned government and non- 
government organizations in applying the HRBA in the context of their 
functional jurisdiction relative to fulfilling the Philippine State obligation 
under the International Convention on Economic, Social and Cultural 
Rights (ICESCR), specifically on the Right to Food. 

2. Project Design 

Initially, the Commission conducted an inventory analysis of all related government and 
non-government organizations that have mandates and/or stake on the Right to Food, 
which were referred to as the "Food Partners". These include the Department of 
Agriculture (DA), Department of Agrarian Reform (DAR), Department of National 
Defense (DND), Department of Environment and Natural Resources (DENR), 



107 



Department of the Interior and Local Government (DILG), Department of Labor and 
Employment (DOLE), Department of Public Works and Highways (DPWH), Department 
of Science and Technology (DOST), Department of Social Welfare and Development 
(DSWD), Department of Trade and Industry (DTI), National Anti-Poverty Commission 
(NAPC), National Food Authority (NFA), National Economic and Development 
Authority (NEDA), Office on Muslim Affairs (OMA), KA IS AM PAL AD, Food First 
Information Action Network (FFIAN), Philippine Alliance of Human Rights Advocate 
(PAHRA), Philippine Human Rights Information Center (PhilRights) and Task Force 
Detainees of the Philippines (TFDP). Following an orientation on the ICESCR and the 
specific provisions relative to the Right to Food, a series of formal and informal 
dialogues and consultations were conducted involving these government and non- 
government organizations. These consultations focused on a thorough review and 
analysis of all existing food indicators of participating organizations vis-a-vis the human 
rights core content of the Right to Food, as enunciated in the ICESCR. The project 
culminated with the holding of a Validation Workshop. The refinements of the final 
outputs were undertaken by a Technical Working Group (TWG), which was constituted 
from among the participating organizations. 

3. Summary of Project Gains 

Using HRBA, the project produced results, which to a limited extent, met the process on 
how HRBA is promoted and operationalized. Content wise, however, the project results 
did not adequately qualify with the rights-based development indicators that were 
expected from the project. 

Process wise, though, the identification of the organization's respective roles in fulfilling 
state obligations on the Right to Food under the International Convention on Economic, 
Social and Cultural Rights (ICESCR) was achieved but failed to adequately define 
substantial contents of the obligations based on the normative content of the right to food. 

The proposed indicators on the Right to Food (RTF) were drawn from the consensus of 
the participating organizations vis-a-vis the criteria on the right to food but failed to give 
human rights orientation into the development indicators drawn by the participating 
agencies and organizations. The project only made a categorization of the existing 
development indicators according to the RTF criteria such as accessibility, adaptability, 
availability, adequacy, sustainability and safety. 

4. Summary of Lessons learned 

The government still follows development indicators to measure its compliance with the 
state obligations on the Right to Food. Government organizations tasked to develop and 
implement policies and programs have yet to come up with a set of indicators that can 
adequately provide a reliable approximation of the government's performance with 
respect to the right to food. There are numerous government bodies at the national and 
local levels that are responsible for responding to government's obligation on the right to 
food with no single body specifically mandated to monitor report and assess performance 



108 



i -2r\ 

in relation to the core obligations of the state as embodied in the ICESCR. ' Under 
Executive Order 163, which provided for the strengthening of the Presidential Human 
Rights Committee, the National Economic and Development Authority (NEDA) was 
mandated as the lead agency to monitor the government's compliance with the ICESCR. 
However, much is yet to be desired in terms of equipping NEDA to be able to oversee 
how government, through its various concerned agencies, will be able to operationalize 
the normative standards on the Right to Food, in terms of progressive programming, 
target setting and resource allocation. 

The fulfillment of the state obligations on the Right to Food is a big challenge. 
Considering the present state of poverty and hunger in the Philippines, much of the food- 
related programs of the national government are focused more on their implementation as 
they respond to particular needs rather than on the fulfillment of the normative content or 
standards of the Right to Food. 

The categorization of the development indicators along the RTF criteria is just the 
beginning. It is imperative that CHRP in cooperation with the NEDA and other agencies 
with RTF mandates be convened to transform these development indicators to be 
compliant with human rights standards. Having established the indicators will not suffice 
to truly assess the level at which the Philippines is complying. On the basis of the 
indicators, baseline information will have to be established vis-a-vis the normative 
content of the Right to Food as to adequacy, sustainability, availability, accessibility, 
safety, acceptability, and cultural adaptability 



B. Overview of the Project Proponent 

1. Mission and key functions/services 

The Commission on Human Rights of the Philippines is an independent office created by 
the Constitution of the Philippines, with the primary function of investigating all forms of 
human rights violations involving civil and political rights in the Philippines. Under 
Section 18, Article XIII of the Philippine Constitution, the Commission is mandated as 
follows: investigate on its own or upon complaint, all forms of civil and political rights 
violations; issue subpoena and subpoena duces tecum consistent with its own rules and 
operational guidelines; provide appropriate legal measures for the protection of the rights 
of all persons in the Philippines as well as Filipinos living abroad and set up preventive 
measures against human rights violations; provide legal aid to the underprivileged whose 
rights have been violated or need protection; visit jails and detention centers to look into 
the plight of prisoners and detainees; establish a continuing program of research, 
education and information to enhance respect for human rights and recommend to 
Congress effective measures human rights; and monitor the Philippine government 
compliance with its international treaty obligations on human rights. Its organization 
programmes and services are along four main areas: Human Rights Protection; Human 
Rights Promotion and Human Rights Linkages Development and Strategic Planning. 



109 



Structure and Processes 



FIGURE 5 : CHRP ORGANIZATIONAL STRUCTURE 



ORGANIZATIONAL STRUCTURE 



PROTECTION GROUP 



Assistance and 
visito rial Office 



Assistance & 
Visitorial 
Division 



FOfenSK & 

Medical 
Division 



Legal « 

Inuestjgaiioii 

Office 



COMMISSION ON HUMAN RIGHTS 
OF THE P H I LI PP IN ES 



PROMOTION GROUP 
|CQMyE30l^d inoa^ei 



HR Instruments 
Monitoring Office 



investigation a 

Case Monitoring 

Division (a) 



Tresties 
Monitoring 

Division 



Standards & 
special 
Concerns 
Division 



Education & 
Research Office 



Education 
Division 



Fisssatcn 
Division 



CHAIRMAN 



Women's Rights 
Program Center 



Asia Paotic Insftirte of 
Human Fiights 



Information Sysism 
Office 



EXECUTIVE 
DIRECTOR 



Management 
Support Division 



Operations 
support Division 



Information and 
Security Desk (a] 



REGIONAL 
OFFICES 

ltd Hi L II. H C I, 

C I tt G t, C i. tl 



Technical Support 
Unit (a) 



Receiving and 
Docketing Desk (a) 



Protection and 
Monitoring Division 



Promotion, Linkage; and 
Development Division 



COMMISSION 
SECRETARY 



General Record; & 
Archives pMaan 



Technical Secretariat [a] 



GOVERNMENT 
LINKAGES GROUP 

|CQMMS30h*?IN OAW5EI 



Strategic and 

Development 

Planning Office (a] 



Peifomiance s 
Evaluation 
Division (a) 



Planning and 
Programming 
Division (a) 



NGO/CIVIL SOCIETY 
LINKAGES GROUP 

|COWME30NE HCH-A3GE1 



Government 
Cooperation Office 



Government 
Partnership 
Division 



Legislative & 
Programs 
Division 



Administrative and 
Financial Service Divtsior 



rJGO&Ciuil Society 
Cooperation Office 



Media Relator 
Division 



GEN. ADMIN, £ 

FINANCIALSERVICES 

GROUP 

\COMM GSOWES I N CH A! OE | 



General 

Administration 

Office 




Financial 

Management 

Office 






General 
Services 
Division 


Accounting 
Division 




i 


1 


BjdgetSCash 
Administration 
Division (a) 


Personnel 

Administration 

Division 









C. Evidence-Based Application of HRBA in the Project Implementation 

While the subject matter of Right to Food is fundamentally "rights-based", it needed the 
application of an approach that displayed a mainstreaming process of the human rights 
normative content on the Right to Food to the mandates of relevant government agencies 
in the process. However, the application of HRBA in this case is much wanting as it 
failed to really improve on the existing development indicators identified by the 
participating agencies based on the relevant normative content of the right to food to 
which these indicators were matched. It merely solicited the contributions of non- 
government organizations with specific related missions and services to perform certain 
level of \State obligations for the realization of the Right to Food by the poor in the 
country. 

HRBA application was done through staggered sessions and meetings convened by the 
CHRP. As evident in this case, there was a leveling of understanding of the HRBA 
among the participating government agencies focusing on its core elements like the 



110 



normative content of human rights, levels of state obligations, rights entitlements, duty- 
bearers, claimholders, human rights indicators setting and the like. Thereafter, these 
agencies and other participating NGOs conducted a prioritization of the Right to Food 
among a whole range of rights guaranteed under the ICESCR. This was followed by a 
mapping of all government (duty-bearers) and non-government organizations (non-state 
duty-bearers) with relevant mandates and missions for the realization of the Right to 
Food as a self-assessment tool, which enabled institutions concerned to determine their 
specific accountabilities in the realization of the Right to Food. At this point, government 
agencies brought in relevant development indicators on the Right to Food categorized 
along the criteria of adequacy, availability, sustainability, accessibility and safety. This 
mapping of development indicators was done at the input, activity, output and outcome 
levels. 

Based on this application of HRBA, the CHRP proceeded by seeking the commitments 
and plans of both government (duty-bearers) and non-government organizations (non- 
state duty-bearers) corresponding to the three level of Right to Food obligations: Respect, 
Protect and Fulfill. Through this project, all relevant agencies were able to identify under 
which of their mandates, roles, function, programs and services would they be able to 
achieve the Right to Food. In the official comments received from the NEDA, it 
recognized that the agency is part of the "RESPECT" state obligation on the Right to 
Food. Under this obligation, it identified its contributions to the six (6) core contents of 
respect, in terms of policy/plan formulation, program/project evaluation and 
sectoral/program/project monitoring and evaluation. On the part of the Department of 
Trade and Industry through its Bureau of Trade Regulation and Consumer Protection 
(BTRCP), it identified their contributions to the realization of the Right to Food under 
three levels of human rights state obligations. For "RESPECT" obligation, the DTI 
through the BTRCP recognized its role as the prime mover of consumer welfare, to 
protect the interests and welfare of the Filipino consumers, thus, ensure the right to basic 
needs, specifically, a steady and affordable supply of basic and prime necessities. For 
"PROTECT" obligation, the DTI through BTRCP expressed its commitments to protect 
the rights and interests of the consumers from trade malpractices, BTRCP formulates 
programs, sound policies and guidelines to create an environment, which is favorable to 
both business and consumers. For "FULFILL" obligation, the DTI thru BTRCP oversees 
the effective implementation of all trade and industry and other consumer related laws. 
On the other hand, the Department of Agrarian Reform and Department of Agriculture 
and its attached agencies merely provided the bases for classification of their respective 
roles in complying with the state obligations of the Right to Food, but there were no 
specifications as to the levels of obligations as presented by both the NEDA and the DTI. 

D. Institutional Performance and Constraints 

The powers of the CHRP in relation to the ICESCR is limited by jurisprudence 
particularly in the landmark case of Simon vs. CHR, where the Supreme Court of the 
Philippines categorically declared that the Commission on Humans Rights is envisioned 
by the Constitutional Commission to focus its attention and priority to the more severe 
cases of human rights violations such areas as the "(1) protection of rights of political 



111 



detainees, (2) treatment of prisoners and the prevention of tortures, (3) fair and public 
trials, (4) cases of disappearances, (5) salvaging and hamletting, and (6) other crimes 
committed against the religious. However, in keeping with its functions as a national 
human rights institution with an "A" accreditation and consistent with its constitutional 
mandate of monitoring compliance of government with its international human rights 
obligations, the Commission embarked on "investigative monitoring" on all other issues, 
problems and complaints involving violations of the ICESCR. 

This jurisprudence brings us to a bigger concern. Under the international human rights 
system, the CHRP as a national human rights institution is tasked to perform its role in 
the protection of economic, social and cultural rights. Item 1 of General Comment 1 of 
the ICESCR provides that "Article 2, paragraph 1, of the Covenant obligates each State 
party "to take steps ... with a view to achieving progressively the full realization of the 
[Covenant] rights ... by all appropriate means". The Committee notes that one such 
means, through which important steps can be taken, is the work of national institutions 
for the promotion and protection of human rights. In recent years there has been a 
proliferation of these institutions and the trend has been strongly encouraged by the 
General Assembly and the Commission on Human Rights. The Office of the United 
Nations High Commissioner for Human Rights has established a major programme to 
assist and encourage States in relation to national institutions. " 

This is one role of the CHRP, which is largely undermined in terms of budget 
appropriation from government. Its monitoring function in relation to the government's 
compliance with international human rights treaties is not adequately supported. Apart 
from monitoring the implementation of these treaties is the role of national human rights 
institutions like the CHRP is to assist and advise the government on the implementation 
of the treaties. Specific to the ICESCR, General Comment 5 (3c-g) of the ICESCR states 
the following roles for the national human rights institution: providing technical advice, 
or undertaking surveys in relation to economic, social and cultural rights, including at the 
request of the public authorities or other appropriate agencies; identifying national-level 
benchmarks against which the realization of Covenant obligations can be measured; 
Conducting research and inquiries designed to ascertain the extent to which particular 
economic, social and cultural rights are being realized, either within the State as a whole 
or in areas or in relation to communities of particular vulnerability; monitoring 
compliance with specific rights recognized under the Covenant and providing reports 
thereon to the public authorities and civil society; and examining complaints alleging 
infringements of applicable economic, social and cultural rights standards within the 
State. Further item 4 of said General Comment 5 provides that the Committee, referring 
to the treaty body of the ICESCR, calls upon States parties "to ensure that the mandates 
accorded to all national human rights institutions include appropriate attention to 
economic, social and cultural rights and requests States parties to include details of both 
the mandates and the principal relevant activities of such institutions in their reports 
submitted to the Committee. " 



112 



Despite these limitations in relation to the above mentioned Philippine jurisprudence, as 
well as, the inadequate funding support to the CHRP's related functions to the monitoring 
of compliance by the Philippine government with international human rights treaties, the 
CHRP embarked in a precedent setting pilot project that engaged relevant agencies of 
government and other non-government organizations in a pioneering study related to its 
role as provided under the above stated provisions of ICESCR General Comment 5 (3c- 
g). With very meager funding support from the Right to Development Program under the 
GOP-UNDP Governance Portfolio as earlier discussed in the introduction of this case 
study, the CHRP was able to engage relevant stakeholders on indicators setting on the 
Right to Food, which is one major right guaranteed under the ICESCR. 



E. Evidenced-Based Application of HRBA in Project Outputs and 
Outcomes 

The presentation of government's state obligations on the Right to Food through a 
"mapping" methodology allows human rights advocates to draw out from among the 
duty-bearers their roles in the respect, protection and fulfillment of the Right to Food. 
The project oriented the mandates and purposes of agencies and NGOs along the 
standards and obligations of the Right to Food. 



The process of mapping itself gave government agencies the opportunity to view their 
mandates from the human rights perspective and analyze them vis-a-vis the normative 
content of the right. However, the mapping method proved to be insufficient. While 
agencies acknowledged their respective level of obligations with respect to the right to 
food, the obligations identified were rather superficial needing more in-depth study and 
rigorous process. 



1 . Content Analysis of the Right to Food Mapping 

The Department of Labor and Employment (DOLE) was able to see that employment is a 
step towards ensuring "accessibility". Based on its mandate, the DOLE recognizes its 
role in relation to the right to food in terms of ensuring that workers are capacitated to 
buy/purchase the food they need. Thus, the agency is responsible for ensuring that 
jobseekers have access to employment opportunities, either in wage or self-employment 
(livelihood assistance); equipping workers with demand-driven skills and technical 
education; preventing job losses due to labor disputes; and ensuring fair and just terms 
and conditions of employment, both for local and overseas workers. 



The Department of Trade and Industry through its Bureau of Trade Regulation and 
Consumer Protection (BTRCP) relates the state obligations of respect, protect and fulfill 
to the following functions of the BTRCP: ensure the right to basic needs, specifically, a 
steady and affordable supply of basic and prime necessities; formulate programs, sound 
policies and guidelines to create an environment that is favorable to both business and 



113 



consumers; and oversee the effective implementation of all trade and industry and other 
consumer laws. 



The Department of Agrarian Reform (DAR) cites Sec. 2, Paragraph 5 of R.A. No. 6657 
or the Comprehensive Agrarian Reform Law as a direct response to the State obligations 
on the right to food. Specifically, it provides that "The State x x x shall provide support to 
agriculture through appropriate technology and research and adequate financial, 
production, marketing and other support services." Further, it mentions Paragraph 9 of 
the same section, which states that "The State shall protect the rights of subsistence 
fishermen, especially of local communities, to the preferential use of communal marine 
and fishing resources, both inland and offshore. It shall provide support to such 
fishermen through appropriate technology and research, adequate financial, production 
and marketing assistance and other services." 



There are two staff bureaus at the DAR that deliver on the State obligations on the right 
to food. One is the Bureau of Land Acquisition and Distribution, which ensures security 
of tenure to farmers through land acquisition and distribution and leasehold system. The 
other is the Bureau of Agrarian Reform Beneficiaries Development, which is responsible 
for the development of viable agrarian communities in the countryside conducive to 
greater productivity and higher farm income. The National Commission on the 
Indigenous People is an attached agency, which is responsible for protecting the rights of 
the indigenous peoples in the indigenous cultural communities by ensuring their 
economic, social and cultural well being. 



The Department of Agriculture (DA) has several operating units that respond to the State 
obligation to respect, to protect and to fulfill the right to food. Some of them are 
responsible for more than one obligation as in the case of the Fertilizer and Pesticide 
Authority which responds to protect and fulfill; and the National Food Authority and the 
National Agricultural and Fishery Council which both respond to all the three 
obligations: respect, protect and fulfill. 



One of the mandates of the Fertilizer and Pesticide Authority is to assure the agriculture 
sector of adequate supplies of fertilizer and pesticide at reasonable prices, rationalize the 
manufacture and marketing of fertilizer, protect the public from the risks inherent in the 
use of pesticides, and educate the agriculture sector in the use of these inputs. Along this 
line it has formulated the following programs: quality and safety management program; 
accreditation and licensing handlers; and registration of fertilizer and pesticide products. 



The National Food Authority classifies itself under the obligations to respect and protect 
on account of its Rice Distribution Program and under the obligation to fulfill-facilitate 
and fulfill-provide as it ensures food security in times and places of natural or man-made 
calamity/emergency. It basically responds to the core contents of the right to food 



114 



including dietary needs as it is one of the agencies tasked to implement RA 8976, which 
provides for the iron fortification of rice to address the micro nutrient malnutrition in the 
country. 



The National Agricultural and Fishery Council's responsibility on the fulfillment of the 
right to food are embodied in the following mandates: act as advisory body to the DA and 
ensure the success of its activities, and to initiate the development of local agricultural 
and fishery councils and sectoral committees; and to assist the DA in the monitoring and 
coordination of the agriculture and fishery modernization process and to serve as the 
consultative and integrative structure for inter-agency and inter-sectoral collaboration in 
agriculture and fishery modernization. 



The National Economic Development Administration (NED A) as the country's premier 
social and economic development planning and policy coordinating body identifies itself 
along the obligation to respect and views its role in terms of policy/plan formulation, 
program/project evaluation and sectoral/ program/project monitoring and evaluation. In 
particular, it notes its lead role in the formulation of the Medium-Term Philippine 
Development Plan, which spells out priority policies and strategies and the Medium- 
Term Public Investment Program, which contains priority programs, activities and 
projects including those related to health and nutrition, trade and industry, agriculture and 
infrastructure. It also provides technical support and assistance in the formulation of 
sectoral plans such as the Accelerated Hunger Mitigation Plan and Medium-Term 
Philippine Plan of Action for Nutrition. It is likewise responsible for the preparation of 
socio-economic reports which contain the assessment of the attainment of the plan targets 
particularly along nutrition, food availability and accessibility; and evaluation and 
monitoring of investment programs/projects that may have impact on the food supply and 
distribution system. Further, it advocates for the integration of food and nutrition in the 
development agenda toward the achievement of the Millennium Development Goals on 
poverty and hunger. 



The Islamic Da'wah of the Philippines, Inc., "a non-governmental organization that 
extends voluntary services to the Filipino people, especially to Muslim communities" has 
the following functions: conduct seminars, orient manufacturers on halal food and issue 
halal certifications to qualified products and manufacturers. (G.R. No. 153888, July 9, 
2003). 

2. Content Analysis of the Right Food Indicators' Mapping 



As evidenced by the results of consultations and dialogues, existing performance 
indicators were analyzed and corresponding accountabilities of these government 
agencies were matched against the normative content with identification of the applicable 
human rights performance indicators at various levels: outcome, output, activity and 
input levels. The results reveal that while accountabilities were established 
corresponding to each performance indicators, the indicators have not been developed to 



115 



incorporate the human rights normative content that was applicable to each indicator. 
The indicators still represent purely development indicators that require more 
enhancement and improvement using the normative content on the Right to Food. 



a) Adequacy 

As defined under Article 1 1 of the ICESCR, adequacy includes whether particular foods 
or diets that are accessible can be considered the most appropriate. As interpreted under 
the pilot study, the following performance indicators and accountable agencies are as 
follows: 



Performance Indicators 


Type of 
Indicator 


Responsible 
Agencies 


Per capita food supply per year, per 


Outcome 


DA-BAS, DOST, 


day 




NEDA 


Production data for selected 


Outcome 


DA-BAS 


commodities by major food groups 







It is also considered by the Committee on ICESCR that the core content of the right to 
adequate food implies the availability of food in quantity and quality sufficient to satisfy 
the dietary needs of individuals, free from adverse substances and acceptable within a 
given culture. 



a.l "Adequacy" is to a large extent determined by prevailing social, 
economic, cultural, climatic, ecologically and other conditions 



Performance Indicators 

Domestic utilization of food by 
major group (food basket) 



Type of Indicator 

Outcome 



Responsible 

DA-BAS, DOST 



a.2 Dietary needs implies that the diet as a whole contains a mix of 
nutrients for physical and mental growth, development and 
maintenance and physical activity that is in compliance with human 
physiological needs at all stages throughout the life cycle and 
according to gender and occupation. 



Performance Indicators 

Percentage of individuals 
practicing healthy diet (low salt, 
low fat, low sugar, high fiber) 
Percentage of individuals eating 
junk food 



Type of Indicator Responsible 

Outcome DA-NNC, DOST, DOH 



Outcome 



DA-NNC, DOH, DTI, 

Private sector 



116 



Percentage of individuals eating Outcome 

in fast foods 

Percentage of individuals eating Outcome 

green, leafy and yellow vegetable 

and fruits 

Percentage of individuals Outcome 

consuming food rich in protein, 

Vit. B, iron, iodine 



DA-NNC, DOH, DTI, 

Private sector 
DA-NNC 



DA-NNC, DOH 



b. Sustainability 

Notion of sustainability is intrinsically linked to the notion of adequate food or food 
security implying food being accessible for both present and future generation. 



Performance Indicators 

Inventory and Status of existing 
coastal and marine ecosystem 



Type of Indicator 

Activity 



Responsible 

DA-BFAR, DENR 



b.l Sustainability Security - implies the absence of vulnerability from hunger, 
i.e. low risk of falling victim to hunger through changes in personal or 
external circumstances. 



Performance Indicators 

Extent of coverage protection of 
coastal and marine ecosystem 
(Outcome level) 

Percentile decrease in the case of 
illegal fishing methods like muro-ami, 
cyanide fishing, use of fine mesh nets, 
poaching, commercial fishing in 
municipal waters (Output Level) 
Percentile decrease in the use of 
chemical inputs in agriculture (Output 
level) 

Percentile decrease in soil degradation 
caused by soil erosion (Output level) 
Percentile decrease in the production 
and productivity of marine 
(mangroves, coral reefs) and 
freshwater resources (swamplands, 
rivers, lakes) [Outcome Level] 



Type of 
Indicator 

Outcome 



Output 



Output 



Output 



Outcome 



Responsible 

DA-BFAR, DENR, 
LGUs 

DA-BFAR, LGUs 



DA-FPA 



DA-BSWM, DENR 



DA-BFAR-DENR 



117 



C. Availability 

This refers to either the possibility of feeding oneself directly from productive land or 
other natural resources or to the existence of a well functioning distribution. 



Performance Indicators 

Volume of rice, corn grain & sugar 

distributed for food security and price 

stabilization 

Daily per capita food supply 

Initiatives undertaken and resources 

allocated to promote technology 

development and transfers for 

improved production (Activity/Input 

level) 

Post harvest & market related 

infrastructure constructed/facilitated 

Value of gross investments in 

agriculture (Input Level) 

Value of gross investments in 

agriculture (Outcome level) 

Percentile sufficiency in selected 

commodities (Outcome level) 

Percentile increase in the volume of 

production of selected commodities 

(Outcome level) 

Percentile increase in yield per hectare 

(Outcome Level) 



Type of 
Indicator 

Input 



Input 
Activity/Input 



Responsible 

DA-NFA 



DA-NFA 
DA, DOST 



Input 



DA, DTI 



Input 


DA, DTI 


Outcome 


DA 


Outcome 


DA 


Outcome 





d. Accessibility 

Encompasses both economic and physical accessibility 



Performance Indicators 

No. of trainings on plant 
propagation conducted 



Type of Indicator 

Activity 



Responsible 



DA-BPI 



d.l Economic accessibility implies that personal or household financial 
costs associated with the acquisition of food for an adequate diet 
should be at a level such that the attainment and satisfaction of 
other basic needs is not compromised or threatened 



Performance Indicators 

Percentile increase in 



Type of Indicator 

Outcome 



Responsible 



NSO 



118 



income from agriculture 
& related services 
Percent of available 
income used for food 



Outcome 



DA-NNC 



d.2 Physical accessibility implies that adequate food must be accessible to 
everyone, including the vulnerable group individuals, such as infants 
and young children, elderly people, the physically disabled, the 
terminally and persons with persistent medical problems, including 
the mentally ill. 



Performance Indicators 

No. of fingerlings 

distributed/dispersed/ 

produced 

No. of broodstock 

distributed/ produced/ 

maintained 

No. of seaweed nurseries 

established/maintained/ 

rehabilitated 

No. of fisheries and 

livelihood projects 

established 



Type of Indicator Responsible 

Output DA-BFAR 



Output 


DA-BFAR 


Output 


DA-BFAR 


Output 


DA-BFAR 



d.3 Accessibility of food for both present and future generations 

(security); long-term availability and accessibility of food 
(sustainability) 



Performance Indicators 

Extent of displacement of 
local producers due to 
international trade 
agreements 

Local food production vis-a- 
vis food imports 
Percent of land/number of 
hectares used for local food 
production vis-a-vis land 
used for cash crops or high- 
value crops 
Measures taken for 
watershed management, 
control of deforestation, and 



Type of Indicator Responsible 

Outcome DA, DTI 



Output 
Output 



DA, DTI 
DA, DLR 



Output 



DA-BSWM, DENR, 
NWRB 



119 



Performance Indicators 

enhancement of national 

forest cover 

Women farmers' 

ownership/access to land 

(land titles) 

No. of post-harvest & market 

related 

infrastructure/facilities 

established/constructed/ 

maintained 



Type of Indicator 



Output 



Responsible 



Output 



DA, NCRFW 



DA 



e. 



Safety 



Free from adverse substances set requirements for food safety and for a range of 
protective measures by both public and private mean to prevent contamination of food 
stuffs through adulteration and/or bad environmental hygiene or inappropriate handling at 
different stages throughout the food chain; care must also be taken to identify and avoid 
or destroy naturally occurring toxins. 



Performance Indicators 

Food pesticide residue analysis 

Food products contaminated 

with veterinary medicine and 

other chemicals (antibiotic, 

hormones, etc.) 

Red tide monitoring 

Fish health management 

No. of lakes 

assessed/monitored 

No. of communal waters 

stocked 

No. of regulatory documents 

issued (certificates, clearances, 

permits, licenses, etc.) 

classified by type/nature 



Type of Indicator 

Output 



Output 



Responsible 

DA-FPA & BPI 
DA-FPA, BPI, BAI, NMIS 



DA-BFAR 
DA-BFAR 
DA-BFAR 



DA-FPA, BPI, BFAR, 
NMIS, BAI, BAFPS 



f. Acceptability 

Cultural/consumer acceptability need to take into account perceived non nutrient- 
based values attached to food and food consumption and informed consumer 
concerns regarding the nature of accessible food supplies 



120 



F. HRBA Success Indicators in the Project 

This is one project that has demonstrated an "attempt" to apply the human rights 
normative content or standards into the different elements on the Right to Food both at 
the activity, output and outcome levels. However, much is yet to be desired in terms of 
the quality of outputs generated from the application of HRBA in terms of the following 
indicators: 

1. On Government accountability based on State Obligations on the Right to Food: 
Adequacy of the matching of the accountabilities of agencies with the identified 
Right to Food indicators. 

2. On development indicators on the Right to Food: Adequacy of the application of the 

normative content on the Right to Food both at the output and outcome levels. 



G. User Satisfaction on the HRBA 

The HRBA was a welcome undertaking for the proponent as it is a part of the mandate of 
the CHRP to monitor government compliance with human rights obligations. In fact 
through a resolution issued by the CHRP, HRBA was adopted as the approach in 
undertaking the work of the organization. With the support of the United Nations 
Development Program (UNDP) through the Fostering Democratic Governance Portfolio, 
the approach was made functional through this Right to Food (RTF) Project specifically 
in the aspect of setting up human rights indicators. 



However, just like any pioneering endeavor, sustaining the project is one difficulty. 
Sustaining the method proved to be a gargantuan task since maintaining regular meetings 
to assess existing indicators and developing what is called 'human rights indicators' 
entailed a lot more resources and expertise which the Commission could not readily 
obtain from the various participating government partners. Hence, the level at which the 
HRBA was mainstreamed remained at the orientation level. Applying the HRBA at the 
time and asking government to pursue this on their own was another matter. 

HRBA provided method to human rights work. It breaks down the process, provides 
guidelines or steps and elucidates the how in HR work. Many HR advocates just know 
how to go about a human rights critique. However, their audience because of the 
perceptions that the HR critique evokes in non-HR audiences does not understand them. 
Often enough, the audience comprise of government entities, which view HR with 
mystique and dismiss knowing human rights as too technical and crafty. 

The key tack in ensuring effective application of HRBA by government is to convey the 
message that HRBA is a perspective not alien to governance but can be regarded as how 
effective governance can be assessed and measured. On the process of ensuring its 
adoption, key issuances must be disseminated to government structures such as 



121 



administrative and/or executive orders, joint undertakings and the engagement in existing 
human rights mechanisms such as the treaty reporting process to force the issue that 
human rights is at the core of public service and its full enjoyment rests on the efficacy of 
governance. 

H. Lessons Learned 

The CHRP has the adequate mandate and policy to undertake HRBA. However the 
project could have been more effective if there was an operational convergence of human 
rights and development expertise in this project. Setting of indicators is a too technical 
endeavor that must be undertaken jointly with the NEDA and the NSO. 

1. Effectiveness of the Outputs 

The project is not complete based on the preliminary outputs. The HRBA methods and 
tools for mapping obligations and performance indicators did not warrant the application 
of the normative content of human rights. Although, applying the HRBA was useful in 
terms of linking and interrelating the mandates and services of the relevant agencies with 
the whole perspective and demand on the Right to Food. The CHRP should continue the 
initiative. 

The project is short-lived and was not able to follow up on its outputs in terms of being 
able to influence the standardization of indicators and institutionalization of 
accountabilities on the Right to Food among government entities. There is a need to 
revisit and redesign the project to fully maximize the use of the outputs. 

The project was managed singly by the CHRP without definite structural arrangement 
and regular support staff to follow through the project. The project lacked the necessary 
framework on which to base a better planning of activities towards full completion of the 
project. 

2. HRBA as Applied in the Project 



The project is important as far as demonstrating the approach to reviewing development 
indicators to make it compliant with the human rights indicators prescribed under the 
normative content of every right. The CHRP may consider undertaking this type of 
project with both the NEDA and National Statistics Office. 

As signatory to the eight (8) core International Human Rights Treaty, where the 
normative contents of both civil and political rights and economic, social and cultural 
rights are embodied, the CHRP could advise the NEDA to undertake a research project 
that will help improve on the current development indicators set for every set of rights. 

While the project did not specify its future plan whether it will be pushed through, it 
would be best to do a more comprehensive framework for the establishment of human 



122 



rights indicators that would be mainstreamed into the development indicators of the 
NEDA. This would pave the way towards the progressive compliance with the State 
obligations under each Treaty. 

Unless the CHRP adopts a more comprehensive research agenda on human rights, a 
project like this will be in a "vacuum". May be the CHRP can further explore linking this 
project with the ongoing thematic planning of the NEDA on the ICESCR. 

This is very important to cover all food-related government entities. The direction of this 
capacity building should be towards a thorough assessment of the mandates and services 
of all related agencies into a systematic framework that will link their respective roles and 
functions into a total system for an effective delivery of the Right to Food. 



The attempt to review the mandates of the various related agencies on the standards on 
the Right to Food could be properly documented for replication in other areas of rights. 
Likewise, the existing technical and resource capacities of government agencies could be 
assessed vis-a-vis the demands of human rights norms and standards set out under the 
Treaties. 



This is one case wherein not all the core elements of HRBA worked despite the adequacy 
of the process and the tools used. The intervention of the CHRP as HRBA agent was 
very much wanting since human rights standards were not effectively mainstreamed into 
the indicators setting of the participating agencies. 



123 



CHAPTER 6 

CASE 4 - IMPLEMENTING E.O. 366: A PRACTICAL GUIDE 

FOR MANAGING THE CHANGE PROCESSES OF THE 

RATIONALIZATION PROGRAM 

This chapter dealt with the challenge of applying HRBA into the change management 
process of the government under its Rationalization Program. The approach made was to 
engage focal persons from both the DBM and the DAP, who have background orientation 
and training on human rights and HRBA. Thus, using the single case design, the project 
reveals its unique practice of HRBA. 

A. Overview of the Project Case 

The development of the Guidebook entitled 'Implementing E.O. 366: A practical Guide 
for managing the Change Processes of the Rationalization Program is a joint undertaking 
of the Department and Budget management (DBM and the Civil Service Commission 
(CSC). It was conceived to provide a theoretical and practical framework for managing 
change processes of government institutions pursuant to Executive order 366 or the 
Rationalization program. In effect this is a follow of the plan initiated by the defunct 
Presidential Committee on Effective Governance (PCEG), which developed an earlier 
blueprint on how government institutions should undertake their respective 
rationalization program. It was the Committee that was responsible for a piecemeal 
review of the structures, mandates and functions of government organizations, which 
blossomed into a comprehensive and sustainable strategy for a government-wide 
reengineering program. 

This is one initiative under the GOP-UNDP Governance Portfolio in 2006-2007 that was 
appraised to be human rights and gender compliant in keeping with the Portfolio's 
attempt to mainstream the Human Rights-Based Approach (HRBA) in the programs and 
projects funded by the UNDP. The process adopted in the development of the 
Guidebook used was empowering for all stakeholders in government who are both the 
subject and objective of the Guidebook. How this Guidebook evolved into an HRBA 
case material would be the focus of this case study. 

1 Purpose of the Study 

This case study on the Guidebook seeks: 

a) To examine both its content and process and explore its added value to the 

HRBA in crafting a change management framework for government 
institutions undergoing the Rationalization Program; 



124 



b) To establish the applicable human rights principles and standards applied 
in the Guidebook and to establish the HRBA success indicators there 
from; and 

c) To draw basis for establishing the value of human rights principles and 
standards in governance as exemplified in the Guidebook.. 

2. Project Design 

The project essentially covers the formulation and production of the Guidebook, which is 
entitled: "Implementing E.O 366: A Practical Guide to Managing the Change processes 
of the Rationalization Program. The Guidebook was intended to serve as both a 
framework and a tool to enable the Change Management Team (CMTs) handle 
effectively the institution-based Rationalization program. 

The Guidebook is focused on 'hows" of the processes of change. The contents of the 
Guidebook provide checklists, templates, mechanisms and guide questions based on 
change management strategies. Certain principles and standards were taken into 
consideration to ensure human rights and gender mainstreaming in the project. These 
are: to check if actions of a CMT recognize, respect and protect the rights of employees, 
especially the vulnerable groups or those who are performing functions that would be 
found duplicating, overlapping and redundant; and to promote and ensure participation, 
transparency, accountability, equity and non-discrimination in terms of gender and 
culture. 

3. Summary of Project Gains 

The application of HRBA in the project is very simple. The focal persons who had 
background on the approach deliberately apply relevant human rights principles and 
standards in the Guidebook. Thereafter, DBM requested the UNDP -HRBA Consultant 
to conduct a review of the Guidebook as to its compliance with the HRBA, which the 
consultant affirmed. 

The DBM identified the enhancement of capacities of government 
Departments/Agencies/GOCCs in effecting a change process at the institution level that 

ill 

allows higher degree of acceptance and lesser degree of resistance. " The document, 
itself, serves as the living testimony of the experiences and challenges encountered by 
some agencies, which were showcased as examples in the Guidebook. Such 
documentation of the actual participatory processes undertaken by different agencies in 
the actual review, planning and decision making involved in the Rationalization Program 
would enable the use of the Guidebook for effectively and productively with the concrete 
and practical experiences of some agencies to which other 
Departments/Agencies/GOCCs could identify, in terms of working out change 
management processes in their respective situations. 



125 



More significantly, the Rationalization Executive Committee (composed of the DBM 
Secretary and CSC Chairperson) issued a resolution dated June 15, 2006 providing 
guidelines for use of the CMTs in notifying personnel who will be affected by the 

i an 

rationalization effort. This issuance was made in response to the common issue raised 
by the agencies during the FGDs on the process that will be followed in notifying 
concerned personnel. 133 

Hence, the overarching gain cited under the project is the capacitating of the officials and 
members of the CMTs of the different departments/Agencies/GOCCs on human rights 
and gender equality. 

4. Summary of Lessons Learned 

Considering the magnitude of the participatory and consultative process employed in the 
development of the Guidebook, the four months -project duration proved to be 
insufficient. Thus, in pursuing similar efforts in the future, it is important there is 
adequate time within which to maximize the involvement of concerned key stakeholders 
in the project implementation. In addition, a pilot training for the users of the Guidebook 
should have been integrated into the project design for two purposes: to validate the 
Guidebook; and to organize a network of change management practitioners in 
government into a best practice exchange network. 



B. Overview of the Project Proponent 

1 . Mission and key functions/services 

The core business and services of the DBM are defined and operationalized through its 
Major Final Outputs (MFOs) These MFOs flow logically from the three strategic 
objectives of Fiscal Sustainability, Effective Resource Allocation, and Efficient 
Government Operation. 

These MFOs are (a) Budget Policy Services, (b) Budget Release Services, (c) Agency 
Budget and Management Services, and (d) Performance Monitoring and Evaluation 
Services. These four (4) MFOs are the logical starting point for setting operational 
objectives, defining concrete indicators of performance, and formulating strategic courses 
of action to achieve the objectives. 

These MFOs are managed through the department organizational structure as shown 
below: 



126 



FIGURE 6 - ORGANIZATIONAL STRUCTURE OF THE DEPARTMENT OF 

BUDGET AND MANAGEMENT 



Office of the 
Secretary 



Attached Agency 
Krocuramant Same* 



Undersecretary 
Operations 



Management and 

Support Services 



Fiscal Planning 
Burea u 



hVolir Ex p.; n dm : 
Management 
Reforms Unit 



FtnSrrtiat 

Admin;s? mi i>jT" & 




The Bureau that was in charge of the project is the Organization and productivity 
Improvement Bureau (OPIB). The bureau has the following functions: conducts 
continuing studies on the entire government bureaucracy for purposes of instituting long- 
term reforms/ innovations to achieve efficiency and effectiveness in governance; 
conducts continuing studies on the over-all development and installation of improved 
techniques and procedures on public expenditure management; undertakes researches and 
studies on government-wide organizational structuring, work simplification, cost 
reduction and other productivity-related activities; develops agency performance 
measurement framework and guidelines for determining and assessing agency 
performance and for planning the required level and composition of agency resources; 
and provides secretariat services to the Cabinet Cluster "F" 

The OPIB has effectively implemented the project and has institutionalized the use of the 
Guidebook. No less than the top two officials of the DBM and CSC have 
institutionalized the use of the Guidebook. The document carries their leadership and 
support to the use of the principles, approaches and tools provided. While the tools may 
not be explicitly rights-based, the principles and approach prescribed in the use of the 
tools were strongly founded on the two elements of the HRBA, namely, human rights 



127 



principles and normative standards as described in the content case analysis of the 
Guidebook. 

The institutionalization of the Guidebook is reflected in the institutional messages of both 
the DBM and the Civil Service Commission (CSC), as follows: 

a) The DBM Secretary's message in the Guidebook reflects institutional 
advocacy as herein cited: 

This guidebook provides the heads of agencies and the Change 
Management Teams with approaches, practical tools, and techniques 

to aid them in making a successful change journey, from initiating and 
planning the rationalization effort to implementing it in their respective 
agencies. In coming out with this manual, we recognize that the heart of 
change lies with the people in the organization. A good part of managing 
the change process therefore deals with the concerns of agency personnel: 
those who have been tasked to manage the change, as well as those who 
will be affected by the rationalization. " 

b) The CSC Chairperson gave a reinforcing advocacy message, which traced 

process that both the DBM and CSC traversed to institutionalize the 
Rationalization Program. She emphasized the use of the Guidebook in 
terms of shepherding and or nurturing the rationalization change process. 
The CSC Chairperson specifically states that: 

"This guidebook provides a theoretical framework for change management 
as well as insights drawn by the CSC and DBM from shepherding and/or 
handholding the rationalizing agencies. The experience has been rich and 
instructive. Indeed, any change in the bureaucracy is a Herculean 
process. The concerns that were brought to the Change Management 
Teams, the CSC, and DBM cover a whole range of issues, from 
organizational to sectoral, to very personal and individual problems that 
demanded the same amount of attention, time, and energy. " 

C. Evidenced-Based Application of HRBA in the Project Implementation 

In 2005, the CHRP conducted a two-day orientation on HRBA for middle managers of 
the DBM. When this project was approved by the UNDP, the DBM proponent was again 
given informal orientation on HRBA. In addition to the HRBA orientation given to 
project proponent, proposed projects were made to undergo a one-half workshop for 
human rights mainstreaming prior to the implementation of the project. In the case of 
this Guidebook, it went through a development process before it was made to undergo 
review by the human Rights Consultant of the GOP-UNDP Governance Portfolio. 

The project was substantially participatory in nature. With the technical assistance of the 
Development Academy of the Philippines (DAP), two (2) Focus Group Discussions 



128 



(FGDs) were conducted in April 2006. 134 These FGDs provided the CMTs ample 
opportunities to share their respective experiences, issues and challenges in managing 
their respective rationalization efforts. The CMTs that attended came from 13 
Departments, six (6) agencies and six (6) GOCCs, which were at the time, at various 
stages of compliance with EO 366. In May 2006, interviews were further conducted 
involving key informants from at least three (3) agencies, which at the time were already 
implementing their respective rationalization program. 

When the Guidebook was completed, the document underwent two levels of review. The 
DBM and CSC undertook the first level review. The Human Rights Consultant of the 
GOP-UNDP Governance Portfolio conducted the second one. 

With far-reaching multiplier effect is the Guidebook itself, which, as reviewed by the 
GOP-UNDP Governance Human Rights Consultant is human rights-based. The review 
specifically states that: 

"The review found the Manual to be rights-based, as evidenced by (a) the explicit 
use of human rights and gender sensitive language; (b) strong emphasis on human 
rights principles of participation and inclusiveness, transparency and 
empowerment; (c) focus on those most affected by the rationalization program; 
and (d) inclusion of redress mechanisms based on equity, fairness, transparency, 
accountability and other human rights principles and standards. The review also 
found that the toolkit accompanying the Manual is not rights-based. The human 
rights consultant recognizes that this limitation may be due to the dearth of 
available rights-based tools." 

D. Institutional/Organizational Issues and Constraints 



The Guidebook was successfully completed technical assistance of the Development 
Academy of the Philippines (DAP). It passed through the preliminary review of both the 
DBM and CSC. The GOP-UNDP Governance Program Management Office (PMO) 
undertook a secondary level review. Again the project passed specifications of the 
project as contained in its original Terms of Reference and HRBA mainstreaming 
considerations. Copies of the Guidebook were distributed to 21 departments, 31 other 
Executive Offices/Agencies and 62 GOCCs that are covered by the program. 

The project was able to engage the participation and involvement of key stakeholders in 
the development of the Guidebook through the focus group discussions and interviews 
conducted for the purpose. The key agencies and offices that gave crucial contributions 
to the project include: Office of the President, Department of Agriculture, Department of 
Environment and Natural Resources, Department of Health, Department of Foreign 
Affairs, Department of Labor and Employment, Department of the Interior and Local 
Government, Department of Public Works and Highways, Department of Trade and 
Industry, Department of Transportation and Communications, National Economic and 
Development Authority, Housing and Urban Development Coordinating Council, 



129 



Commission on Higher Education, Office of the Press Secretary, Philippine Information 
Agency, Center for International Trade Expositions and Missions, National Council for 
the Welfare of Disabled Persons, National Irrigation Administration, National Printing 
Office, National Statistics Office, Philippine Ports Authority, Sugar Regulatory 
Administration, Technology and Livelihood Resource Center 

The cooperation of the different departments/agencies and GOCCs contributed highly to 
the success of the Guidebook. There were shortcomings but much of these are purely 

1 TC 

administrative. Some of which are: 

a) Difficulty in finding a common schedule for selected CMT heads and 
members of different Departments/Agencies/GOCCs who were supposed 
to attend the FGDs conducted by the DAP; 

b) Difficulty in getting the available schedules of some interviewees for the 
key informants' interviews; 

c) Delays in getting the validation of Departments/Agencies/GOCCs 
concerned on their experiences in plan preparation, which were presented 
and highlighted in the Guidebook; and 

d) Delays in the completion of the Guidebook by the DAP due to lack of 
data, especially good practices by Departments/Agencies/GOCCs. 



E. Evidenced-Based Application of HRBA in Project Outputs and Outcomes 

The project on this Guidebook has, to a large extent, achieved its intended outcomes. As 
envisioned, the Guidebook served two purposes. It served as a documentation of the 
experiences of the concerned agencies on rationalization efforts initiated under EO 366 
and initial efforts to guide the rationalization initiatives undertaken by the PCEG. As 
reported under the Outcome Evaluation of the Fostering Democratic Governance 
Programme (CY 2005-2007) conducted by the UNDP, the project claimed being able to 
institute the use of the Guidebook by the CMTs of the: different departments/agencies 
and GOCCs in the implementation of their respective Rationalization plans. 

1 . Content Analysis of the Guidebook 

The result of this review of the Consultant served as take off point for the content 
analysis of the Guidebook. The evidence of the HRBA elements used in the Guidebook 
is herein presented by relevant section of the document: 

a) On Understanding and Managing Change 

The Guidebook made explicit statements that "change management decisions and actions 
must be anchored on principles that recognize, respect, and protect the rights of persons 



130 



in the organization: participation, transparency, accountability, equity, and non- 
discrimination." 136 In here six (i 
context of change management. 



discrimination." 136 In here six (6) human rights principles will be made operational in the 



As evident in this statement, the Guidebook emphasized two levels of state obligations 
that should be observed in implementing EO 366, those of respect and protect. Although 
these levels of obligations were not differentiated in the Guidebook, they both referred to 
the rights of personnel or employees who will be affected by the Rationalization 
Program. This is very much in keeping with the human rights concept of state 
obligations as guaranteed under the International Human Rights Treaties. On the level of 
respect, State should refrain from violating the rights of its citizens, must not destroy 
people's livelihood and people's personal security. ' On the other hand, on the level of 
protect, the State has the obligation to prohibit and prevent human rights violations under 
the Rationalization Program, which implies that adequate access to legal remedies must 
be ensured in case of violation by third party. 

For purposes under EO 366, participation as used in the Guidebook presupposes that the 
personnel or employees of agencies must be given opportunity to freely participate, 
which further implies that they are adequately provided with adequate information on the 
agencies' rationalization plans to enable them to make informed and well-thought 
decisions, and that the voice of organized groups of personnel or employees would be 
heard. This is related to the human rights principle of transparency, which under the 
Rationalization Program, would demand that concerned agencies must prevent secrecy 
and lack of full disclosure of decisions, policies and rules to build understanding on their 
rationalization plan, as this would tend to undermine accountability of the CMTs and 

1 TQ 

jeopardizes the exercise of human rights of concerned employees. 

b). On Strategies for Managing Change 

The Guidebook made mention that it is founded on the basic respect for the individual 
and his/her right to work, to be provided with complete and accurate information, and to 
participate in decisions that affect his/her situation. This is indicative of the state 
obligation not to discriminate the access to public work on the basis of race, color, ethnic 
origin or gender. Also, under the assessment part of managing change, the Guidebook 
stressed that key stakeholders may be consulted to provide a clear picture of expectations 
and current performance requirements of the agency and that it is important that the 
problems to be resolved by the rationalization are agreed upon within the organization. 140 

c) On Preparing the Rationalization Plan 

The Guidebook prescribed some mitigating measures to cushion the impact of 
rationalization. While the rationalization plan is being prepared, the Guidebook requires 
that alternative livelihood and counseling programs are to be made available to personnel 
who would opt to retire or be separated from government service to include skills 
training, livelihood training, provision of credit, investment service and job facilitation. 
For instance, the DBM organized a Skills/Livelihood and Investment Program (SLIP). 



131 



The CMT of the Department of labor and Employment (DOLE) and the Department of 
Science and Technology conducted SLIP road shows to discuss EO 366, payment of 
financial benefits, skills training, business opportunities and livelihood workshops. The 
SLIP befits Article 6(1) of the International Covenant on Economic, Social and Cultural 
Rights (ICESCR), which provides that the State parties recognize the right to work, 
which includes the right of everyone to the opportunity to gain his living by work which 
he freely chooses or accepts and will take appropriate to safeguard this right. In here, the 
SLIP is in compliance with Article 6(2), which requires State parties to take steps to 
achieve the full realization of this right through provision of technical and vocational 
guidance and training programmes, policies and techniques to achieve steady economic, 
social and cultural development and full and productive employment under conditions 
safeguarding fundamental economic and political freedoms to the individual. 

d) On Implementing the Rationalization Plan 

The Guidebook sets out the appeals mechanism, which in addition to being required 
under EO 366, is a visible strategy for employees to see the openness of management to 
questions and discussions. The CMTs for this matter are placed in a unique position of 
defining the technical content of the rationalization of their respective organizations, at 
the same time hearing appeals related to its implementation. The Guidebook specifically 
provides empowering questions to CMTs in the setting up of their respective appeals 
mechanisms that prescribe as standards the representation of the employees to the 
committee or sub-committee on appeals, with respect to rank, gender and culture. Article 
2 (3) of the ICESCR provides that State parties undertake: (a) to ensure that any person 
whose rights or freedoms as herein recognized are violated shall have an effective 
remedy, notwithstanding that the violation has been committed by persons acting in an 
official capacity; (b) to ensure that any person claiming such a remedy shall have his 
right thereto determined by competent judicial, administrative or legislative authorities, 
or by any other competent authority provided for by the legal system of the State and to 
develop the possibilities of judicial remedy; and (c) to ensure that the competent 
authorities shall enforce such remedies when granted. 



2. Content Analysis of the Reported Outcomes of the Guidebook 

The Guidebook has in effect capacitated the different Departments/Agencies/GOCCs that 
participated the FGDs. It also expects to sustain the capacity building of these 
institutions and others as well, through the use of the Guidebook. The principles and 
approaches prescribed under the Guidebook, which were evaluated to be compliant with 
fundamental human rights principles and normative standards should guarantee a more 
enhanced implementation of the government's Rationalization Program. 

Since its implementation in 2004, the Rationalization Program has covered 82 entities (19 
departments, 27 Other Executive Offices (OEOs), and 36 Government Owned and/or 
Controlled Corporations) or 76 percent of the bureaucracy's organizations. These various 
entities have already submitted their Rationalization Plans to the DBM as of December 



132 



31, 2007. Of the submitted Plans, 27 have already been approved by the DBM. These 
Plans come from 2 department-level offices, 4 attached agencies, 14 OEOs, and 7 
GOCCs. The RP, so far, has yielded P399 million savings on personal services generated 
from the abolition of 1,983 positions involved in the rationalization of the 27 government 
agencies/offices who's Plans have already been approved and implemented. These 
savings were plowed back to the rationalized departments/agencies to beef up funds for 
their maintenance and other operating expenses (MOOE) and capital outlay (CO). 

Those who were affected by the rationalization program benefited from the various 
mitigating measures to cushion the impact of rationalization through SLIP that provided 
alternative opportunities such as: 

a) Two DOLE-Central Office (CO) employees started subcontracting the 
production of abaca lamps for export; Another DOLE-CO employee is in 
the process of putting up a food cart business (i.e., Belgian Waffle); 
Interest in further skills training to be conducted by the Technical 
Education and Skills Development Authority was generated for the 
following: Reflexology - two DOLE-CO employees have already 
undergone said training Sewing machine operation - conducted in 
September 2006, Automotive mechanics, Computer graphics. 

b) CSC retirees formed a cooperative that is providing loans for 
capitalization to current employees. Some retirees have volunteered their 
services for free in the monitoring and implementation of some programs 
and projects of the Commission. Some services are also outsourced to 
them for a fee. 

c) About 50 DOST personnel visited the farms of the DVF Corporation and 
the Talavera Dairy Cooperative Inc. in Talavera, Nueva Ecija on 28 July 
2006. These farms offer investment opportunities to affected personnel 
who would like to acquire dairy animals for milk production and 
propagation. A farmer-member of the cooperative will do care and 
management. The milk will be purchased by DVF Corporation and the 
revenue will be shared as follows: 20%: cooperative; 40%: farmer; and 
20% investor. 

F. Evidence-Based HRBA Success Indicators Generated from the Project 

The project contributed in terms of demonstrating through its outputs, the following 
success indicators: 

1. On Governance Stakeholders 

a) The degree to which affected agencies were made to participate in the 

consultation process and decision making during the formulation and 
design of the Guidebook; and 



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b) The recognition and respect given by the DBM to the rights of the affected 

employees of the different agencies as claimholders of a rights-based 
change management. 

2. On the Guidebook's Compliance with applicable Human Rights Principles and 
standards on the Right to Work: 

a) The observance of and compliance with State Obligations in managing the 
implementation of the Reorganization Plan; 

b) The provision of alternative livelihood scheme and counseling services 
for affected employees of the government; and 

c) The provision of effective grievance mechanism and remedies in case of 

violation of rights in the process of implementing the Reorganization Plan. 

G. User Satisfaction on the HRBA 

As expressed by the proponent, preparing the Guidebook from the perspective of HRBA 
was easy. Change management starts with the premise that what is being managed is the 
human dimension of change — how people respond, adapt to, or adjust to any change that 
happens in an organization. By this definition, people are already seen as paramount, and 
all actions, strategies, approaches to ensuring that change is successful, will have to be 
based on this first premise. Basically, change management and its principles were seen to 
have HRBA as a foundation. Once these were set, the content of the Guidebook was 
relatively easy to decide on and develop. 

The Guidebook distinguishes between the technical dimension of change, citing that this 
would be defined by E.O. 366, and the human dimension — the principles, guidelines and 
approaches that are mentioned in the Guidebook. E.O. 366 is built on the assumption that 
the bureaucracy is needful of rationalization, having been structured in that manner for so 
long, taken over by the rapid changes in performance expectations from the people, and 
with some functions that have become obsolete or greatly in need of improvement. The 
changes that need to happen in order for these concerns to be addressed are defined well 
in the process of E.O. 366. These are referred to as the technical dimension of the change. 
A closer examination of the E.O. will show that change management principles have also 
been applied; these principles are more explicitly stated in the Guidebook, though. 

The guidebook is very sensitive to human rights. Statements like 'an incumbent in a 
position that is affected by rationalization has options: to stay in his/her position, transfer 
to or apply for another position within the same Department or another Department, or 
retire/resign with an incentive' already affirms the rights of the individual. These are: 
one's vested right in his/her position; the right to information (options, positions that are 
open within or outside the Department); the right to participate in discussions concerning 
his/her position/office; and, ultimately, the right to decide for himself/herself. In addition 



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to these would be the right to a decent livelihood/work (related to vested right to position, 
provision of options, incentives, and the livelihood program), to be considered, to speak 
and be listened to (communication, general assemblies, appeals mechanism), among 
others. 

Consistent with what the HRBA espouses, the Guidebook suggests the involvement of 
people every step of the way: in defining the needed changes (setting up a coalition or 
change management team that will advocate for the needed changes, change sponsors, 
change targets, change agents), communicating the change, and addressing resistance, 
among others. It is the process of introducing the change, pursuing and sustaining it that 
is the focus of change management. And this happens through people. People skills are 
essential. The tools mentioned in the Guidebook are those that are useful in managing 
people and their responses to change. 

Applying the Guidebook may be another matter. In an actual rationalization project, one 
will have to interact with people, and they may give different responses of varying 
intensities. They would not have the same degree of understanding of the organizational 
vision, the purposes for rationalization, and how and why they are affected (or not). The 
Change Management Team or the people responsible for pursuing and promoting the 
changes would also differ, and they may have their own responses to ambiguities, 
questions, and resistance. However, the Guidebook, being rights-based, offers a coherent 
set of steps, approaches, as well as the needed skills. One key step would be the creation 
of a policy base for the change. Rationalization parameters, guidelines and strategies as 
applied to a specific organization would be the best starting point and foundation for the 
changes that will be introduced; these would have to include the human aspect. If the 
policy is clearly defined and already espouses the principles of change management, then 
application would be easy. When the process of developing the rationalization plan or of 
implementation gets confusing or unclear, one can always go back to well-defined policy. 



Not much, difficulties were encountered applying the HRBA where the topic was 
concerned. Writing a guidebook for a diverse audience presented a difficulty, since there 
is the notion that not everyone in the bureaucracy may take a discussion on human rights 
well. Care was taken not to explicitly talk about human rights in the material, as it might 
evoke (before any clear understanding of the content and process of rationalization can be 
made) reactions and complaints against people losing their jobs. Human rights is always a 
ticklish issue, and can generate different responses. So what was done in the Guidebook 
(and in the process of rationalization, as presented in E.O. 366) was to weave into the 
material steps, activities and strategies that would ensure the rights of incumbents are 
protected. 

As experienced by the DBM, HRBA provided additional focus. Since change 
management is about the human dimension of change, HRBA was not a stranger to it, but 
affirmed its principles and approaches. As writer, my eyes were more open to the human 
rights aspect of every step, strategy, skill, tool that I considered for inclusion in the 
Guidebook. 



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The DBM recommended that advocacy must be continued on the use of HRBA. 
Specifically, the department suggested that program/project strategies should be 
examined and sees how human rights are addressed there. Human rights may not at all 
times explicitly written but may suggest implicitly how their promotion, protection and 
fulfillment are woven into the processes of programs and projects, in their design and 
actual implementation. In order to do examination of these programs, projects and 
strategies, existing human rights indicators must be properly disseminated. 

H. Lessons Learned on the Application of HRBA 

The initial four-month project on the Guidebook was found to be deemed short 
considering the magnitude of the consultations necessary to ensure the participatory 
nature of the development of the Guidebook. As earlier noted, the sharing and 
documentation of the experiences of the Departments/Agencies/GOCCs were not that 
easy. In its effort to make the Guidebook truly practical, it had to venture into this 
participatory process of consultation with key stakeholders to ensure ownership of the 
initiative and warrant support to a principled and standardized change management 
process for the Rationalization Program. 

The practice adopted by the DBM and CSC in the rationalization efforts that were initiated 
as early as 2005 proved to be effective. They resolved that policies, standards and 
guidelines should be prepared and disseminated prior to the actual implementation of a 

1 A <J 

similar effort in the future. 

Specific to this project on the Guidebook, a complementary lesson is derived. The 
Guidebook would be useful to CMT heads/members in ensuring the successful and 
smooth implementation of their respective Rationalization Plan. This lesson is premised 
on another more important lesson gained under the project that sustainable rationalization 
efforts in government could only be sustained if both the process and the desired output 
of rationalization would be achieved. The Guidebook is an assurance for achieving a 
genuine process that is founded on the HRBA elements such as the human rights 
principles and normative content. 

1 . Methods and techniques to prevent or manage problems 

In order to manage the extent of consultations necessary for the development of the 
Guidebook, the project proponent, with the assistance of the DAP took stride in going 
through the tediousness of holding consultations, diligent gathering of data and 
information to substantiate the Guidebook, seeking approval for the documentation of 
experiences of top officials of Departments/Agencies/GOCCs in their rationalization 
efforts and extended consultations with key informants of agencies in charge of their 
rationalization efforts. 



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It could be noted that the intended outcome of the various consultations and researches 
done for the Guidebook are mainly focused on presenting practical guide to design and 
implement a Rationalization Plan that is participatory, transparent, accountable that are 
founded on the basic principle and state obligation to respect for the individual and 
his/her right to work, which are described in detail in Part IV on the Content Analysis of 
the Guidebook. 

2. Institutional Policy and Support 

having undergone HRBA training under the CHRP, the DBM, CSC and DAP applied 
their stock knowledge in the designing of the Guidebook. They were successful as far as 
the application of the principles and normative contents of human rights are concerned, 
but not much in designing the tools. However, it is safe to assume that while the design 
of the tools is not explicitly rights-based, the use of such tools in the approaches and 
mechanisms described in the Guidebook are human rights-based. 

3. Sustaining the Effectiveness of the Guidebook as a Reform Tool 

The Guidebook is a tool to institute sustainable institutional reforms under the 
Rationalization Program. The idea of having a Pilot Training on the Guidebook is a 
critical strategy for greater sustainability. The training may be focused on the principles, 
standards, approaches, mechanisms and tools prescribed in the Guidebook. A 
reinforcement of HRBA may be integrated into the design of the Pilot Training. 

A feedback system for the Guidebook could also be designed for further enrichment of 
the document. Citation of best practices could be encouraged for integration into the 
revised edition of the Guidebook. 

4. Institutional Strengthening and Capacity Building on HRBA 

As described above on how to sustain the use of the Guidebook, a feedback system could 
be installed. The DBM could devise a tool that would be accomplished by the 
departments/ agencies/GOCCs to report on the effectiveness of the Guidebook. The 
effectiveness of the Guidebook should be reported at both output and outcome levels in 
terms of the concrete changes brought about by the use of the Guidebook as well as, the 
changes in status and conditions of those affected by the rationalization efforts resulting 
from the use of the approaches and mechanisms prescribed in the Guidebook. 



In addition to the Pilot Training, the organization of the CMTs into a change management 
network should be strengthened. The DBM and CSC may issue another Joint Circular 
that would provide for the continuing support system for the CMTs to include continuing 
training and conduct of periodic exchange forum for experiences, issues and challenges, 
as well as, best practices. 



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As mentioned earlier capacities for HRBA and managing change process should be 
undertaken. Each stage of the Rationalization Program of agencies should be considered 
as opportunities to widen the opportunities of the different Departments/agencies/GOCCs 
to build their capacities on human rights especially, the HRBA. 



The Guidebook is one good example that both governance and human rights practitioners 
could replicate. The policy support given to the development of the Guidebook, as well 
as the leadership extended by both the DBM and CSC for its dissemination and use 
government-wide, provide certainty for its institutionalization. It is a simple 

Guidebook but its contents have multiplier effects in reform management under the 
government's Rationalization Program. 



Overall, HRBA mainstreaming could be used a mere framework for the designing of a 
governance tool like the Change management Guidebook. Although, selective, HRBA 
was also mainstreamed to a large extent in terms of certain applicable human rights 
principles and standards in reorganization of the government. No HRBA tool was used 
except the human rights perspective of the framers of the guidebook. 



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CHAPTER 7 

CASE 5 - MEDIA-COMMUNITY ACTION ON 
MAINSTREAMING HRBA AT THE LOCAL LEVEL 

This chapter tackles a most unique application of HRBA in the practice area of public 
journalism. In here is revealed the compatibility of human rights aspirations to the 
mission attached to the work of media people. Like the previous cases presented, this 
case was also examined using the prescribed case design requiring an unfolding of the 
HRBA practice, to the content analysis of the project outputs and outcomes and lessons 
derived there from. 



A. Overview of the Project Case 

For purposes of this case study, the role of the three governance stakeholders is defined 
under the perspective of HRBA. The Government Sector is the duty-bearer of human 
rights obligations to respect, protect and fulfill the economic, social, political and cultural 
entitlements of the people in the context of the international human rights framework 
based on the legal obligations of the Philippines as a state party to international human 
rights treaties. The Private Sector is a non-state actor to the realization of the human 
rights entitlement of the people under the international human rights framework through 
the performance of its corporate responsibility made possible through the effective 
regulation of the Government. The Civil Society comprising of many groups such as the 
individuals, communities and organized groups such as the religious, media, non- 
government organizations and people's organizations of vulnerable and disadvantaged 
sectors of society, performs vigilant roles in promoting good governance, holding 
government accountable for a more improved services delivery and in actively 
participating in empowered actions to address specific issues and concerns that affect 
their level of enjoyment or deprivation of their human rights. 

This case demonstrates various civil-society driven initiatives that use Human Rights- 
Based Approaches in community-based public journalism approach in engaging the 
media into a unique partnership with local communities in addressing their local issues 
and problems. 



In 2002, the Government of the Philippines and the UNDP established a cooperation 
programme consisting of four (4) portfolios one of which is the Governance Portfolio. 
This portfolio is focused on capacity building for good governance. One area of capacity 
building is the Human Rights-Based Approach to Governance, which is viewed as an 
enabling approach to poverty reduction in the country. Among other projects approved 
under the portfolio is a project entitled "Media Community Action on Mainstreaming 
Human Rights-Based Approaches at the Local level." This is one project introduced by 
the Center for Community Journalism and Development (CCJD) as one innovative 



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strategy to engage both the citizens and the media in governance in cooperation with 
local governments and development agencies. 

1 . Purpose of the Case Study 

This case seeks to achieve the following purposes: 

a) To establish the extent to which the elements of the HRBA have been 
applied in the project; 

b) To establish the rights-based outputs and outcomes of the project and 
identify the HRBA success indicators therefrom; and 

c) To draw up lessons on how best the HRBA can contribute to local 
governance and local development. 

2. Project Design 

The project seeks to popularize HRBA and localize MDG-responsive governance 
practices through public journalism approaches that result in published/aired stories and 
multi-sector dialogues. Through the intervention of CCJD, the project would establish 
and strengthen media-citizen councils or action boards as local mechanisms for media- 
citizen dialogues, as well as cascade media reform initiatives to local areas to address 
both community and media issues. 

To realize this, HRBA was mainstreamed into the public journalism process being 
operationalized by CCJD as follows: 

Strategy 1 : Community Immersion 

Reporters spend time in the community to study its geography, demographics, determine 
citizen needs, interests, aspirations, and generally to interact with community members as 
a step towards building trust. 

Strategy 2: Community Conversations 

Conducted during neighborhood gatherings or meetings, in small parks or plazas, 
barangay halls, in front of sari-sari stores or talipapa, and even in people's living rooms, 
community conversations allow journalists to probe for insights without becoming 
intrusive or invasive. 

Strategy 3: Focus Group Discussions 

A more structured form of eliciting data and information, focus group discussions or 
FGDs allows for a more targeted discussion of a particular issue or problem with key 



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community players like leaders of people's organizations, civic groups, barangay 
officials, youth representatives, small business associations, and the local church or 
mosque. The journalist must prepare a set of questions beforehand but must also be 
flexible enough to consider other angles that may develop during the discussion. 

Strategy 4: Citizen Polls 

Surveys or public opinion polling can cover a large segment of the community or 
geographic area and allows the news organization to put together, for example, a 
checklist of citizen concerns and perceived problems that would help it map out the 
story. 

Strategy 5: Community Interaction 

Widening the network of sources and partners, listing down other players in the 
community, establishing contacts with NGOs, people's organizations, community 
associations and even exploring dialogues with local governments and agencies often 
result in stories that examine problems and offer solutions. It also opens opportunities for 
the news organization to play a more catalytic role in the community by providing 
avenues for dialogue through their news pages or programs. 

Strategy 6: Alliances with the Competition 

By pooling resources and talent with other media organizations such as TV, radio and 
print, news outfits can cut down costs while ensuring broader reach and bigger impact 
when doing public journalism. This eschews the traditional mode of media competition 
that often verges on the cutthroat especially in broadcast. 

3. Summary of Project Gains 

The project was able to achieve its expected results both at the output and outcome level. 
The communities that CCJD served were able to establish networks of civil society 
organizations to address specific public issues. CCJD was able to institute a system of 
social and public dialogue that is ably supported by media program for sustained 
advocacy of the issues. In human rights terms, the CCJD was able to create social 
interactions in the communities on issues that directly affect the lives of the people and 
organizations that participated in the dynamics of the project. 



4 . Summary of Lessons Learned 

As could be gleaned from the experiences and gains of the project in selected areas, the 
power relations between the government and local communities through the shepherding 
of civil society groups have significantly improved using the framework of human rights 
obligations on the part of the government and human rights entitlements on the part of the 
local communities. Guided by this framework that was imbibed through series of 



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orientation and forum on HRBA, community actions involving different forms of 
advocacies, dialogues, petitions, public debates, public audit and monitoring and the like, 
have transformed concerned local governments and agencies to include concerned private 
sector to be more accountable in responding to the various issues and concerns of the 
communities. Human rights entitlements proved to be one uncontestable area of 
consensus among local governance stakeholders. Such relationships among the 
stakeholders could only be productively and effectively sustained if they continue to be 
guided by human rights principles and standards to which both the government as the 
duty-bearer and the local communities as the claimholders are duty-bound to operate. 
Continuing dialogue is the key to the viability of such relationship that are human rights- 
bound to respect, protect and fulfill. 



B. Overview of the Project proponent 



The Center for Community Journalism and Development (CCJD) is a non-stock, 
non-profit facility for journalists who work with communities, citizens, and institutions 
for social change. Established in July 2001, CCJD was formed by a group of journalists 
and development workers. The CCJD envisions better communities through better 
journalism, and to do so, supports, encourages and helps sustain efforts of journalists 
working with citizens and institutions for the development of an enabling environment 
that would result to self-determining communities. The Center was formed by a group of 
journalists and development workers in July 2001 and registered with the Securities and 
Exchange Commission on October 11, 2001 as a non-stock, non-profit facility for 
journalists working with communities, citizens, and institutions for social change. For its 
mission, the CCJD is tasked to support, encourage and help sustain efforts of journalists 
working with citizens and institutions for the development of an enabling environment 
that would result to self-determining communities towards attaining its vision of realizing 
better communities through better journalism. 

The CCJD adopted very specific goals for the project. Foremost, the center intended to 
develop a new journalistic paradigm that would enable citizens and communities shape 
the news agenda by enhancing the skills of community journalists and raising the 
professional standards of media, encourage greater citizen participation in governance 
and civic life through public journalism initiatives and increase popular understanding of 
peace, development, and social justice and governance issues through better and involved 
journalism that would contribute to policy reform that would address governance issues 
through better and involved journalism that would contribute to reform. 

C. Evidenced-Based Application of HRBA in the Project Implementation 

The project was implemented at the community level. On October 2004, Bandilo ng 
Palawan (a CCJD partner and a media network) organized such a forum on "Back to the 
Basics: The role of Community Media in Palawan in Promoting Better Governance 
through a Rights-Based Development Agenda". Local Government Units of Palawan, 



142 



local media and CSOs participated this forum in. The forum focused not only on an 
orientation on the effective use of Human Rights-Based Approaches but also on how best 
such approaches can be used to encourage and pressure local officials to adopt such an 
approach in crafting their political agenda. 

Prior to the forum, a research was undertaken on relevant data that would indicate how 
LGUs would measure up in terms of discharging their sectoral obligations on education, 
health and food security, using a rights-based framework. Various CSO stakeholders like 
Bandilo ng Palawan, the Palawan Community Media Council and Palawan NGO 
Network Inc prioritized these three sectors. Forum participants validated the results of 
the research and crafted plans on how to monitor Government responses to unmet needs 
of their constituents using Human Rights-Based Approaches in participatory monitoring 
techniques and public audits, among others. Specifically, letters were sent to LGU 
officials to solicit their responses to the issues raised and suggested the possibility of 
incorporating the Ulat ng Bayan/Ulat sa Bay an activity in their report of their first 100 
days in October 2004. Bandilo ng Palawan has since started publishing the results of the 
research on the three priority sectoral obligations on health, education and food security 
in a series of reports in the public journalism page of its weekly newspaper. Sections of 
inaugural speeches of LGU elected officials are also being published so that they can be 
held accountable for the promises they made specifically those pertaining to the priority 
sectoral obligations on health, education and food security. 



After the series of fora with various community organizations and community press, 
there came about the formation of networks and coalitions who are capacitated on the 
HRBA. These networks were further taught by CCJD on more effective designing and 
programming of campaign advocacy and lobbying activities and performance of 
"watchdog" role in monitoring the performance of duty-bearers, referring to LGUS and 
development agencies. The media, community and civil society have used such tools in 
different ways, targeting various issues to produce various outcomes. For instance, while 
public radio (the Radyo Veritas Legazpi Program or the PBN-DZGB Network in Legazpi 
City) has been used as an effective communication and advocacy tool in Legazpi, 
newspapers have proved to be highly effective in undertaking campaign, advocacy and 
lobbying in the Western Visayas Region or in Palawan Province. 

Similar efforts were done in Legazpi City. The PBN-DZGB Network - a radio network 
in Legazpi City and a CCJD partner - has been used very effectively in enabling the 
community, CSOs and media to work together in bringing about popular awareness on 
the economic and environmental rights of community residents. This was demonstrated 
in a case involving a Taiwanese company that wanted to set up a cement plant in 
Barangay Palong in Legazpi City. Concerned residents joined hands with PBN-DZGB 
reporters (who not only conducted interviews with the residents but also conducted a 
survey/poll through public dialogue with the residents and barangay officials to 
determine the implications and ramifications for the setting up of a cement plant in the 
entire community. 



143 



This public dialogue was followed by another community dialogue amongst the 
community, Concerned CSOs and environmental experts as well as concerned barangays 
and Government officials to tackle the advantages and disadvantages of putting up 
cement plant in terms of their economic benefits to the community and livelihood of the 
community residents as opposed to the threat that the cement plant poses to the health 
issues and concerns of the local populace. In order to protect and defend their rights, 
locale residents opposed to the plant organized themselves into a group, now known as 
the "Alyansa Laban sa Polusdyon at Gutom" (Alliance Against Pollution and Hunger or 
ALPOG). Again, this dialogue was aired live on PBN-DZGB. A third forum was 
organized by the Department of Environment and Natural Resources - Environmental 
Management Bureau (DENR-EMB) in Legazpi City. In order to address the conflicting 
interests of the community stakeholders and the Taiwanese investors, a dialogue took 
place involving the civil society groups, concerned government officials and the 
Taiwanese investors. PBN-DZGB covered the entire process and enabled the conduct of 
a forum that facilitated a dialogue among the stakeholders. 

The dialogue paved the way for a common agreement to put up a monitoring group that 
would work with the DENR-EMB that would track agreements between and among the 
stakeholders, namely: DENR-EMB - to ensure that the company complies with the 
requirements set forth in the Environment Compliance Certificate issued to the 
Taiwanese investors; Community - was assured of the economic benefits of the cement 
plant in terms of employment and cheap supply of cement and protection from health 
hazards arising from the cement plant; and CSOs to remain vigilant in performing the 
watchdog role in the community, duty-bearers (DENR-EMB and LGU) and non-state 
actor (Taiwanese investor). 

Thus through the help again of the PBN-DZGB, continuous dialogue was instituted 
through the airtime that was devoted by the station to community discussions on the issue 
as monitored by ALPOG and other concerned citizens. Despite prior agreement, the 
company operations did not meet environmental standards (residents also started 
complaining of increasing respiratory problems). Residents thus started communicating 
these grievances to the local officials through the radio station as they stated that they 
were assured of faster official action through this channel. A PBNDZGB staff then refers 
these cases to the Department of Health and the Provincial Health Office. 

CCJD and its partners have recognized the value-added of tapping into relevant 
Governmental agencies to produce viable and sustainable outcomes. Under this project, 
CCJD has built alliances with the CHR - the only constitutionally mandated human 
rights focused Government agency in the country. Whether it be activities that entail 
training of CCJD and its partners by CHR on Human Rights-Based Approaches or by 
inviting CHR officials to be a part of meetings, dialogues, debates and discussions on 
issues at the local level that affect the lives of citizens, CCJD has tapped into CHR and 
built up a partnership with the Commission that will ensure that the gains made through 
the project will be sustainable and viable. 



144 



As has been elaborated throughout this paper, duty-bearers - notably the CHR - have 
been very actively involved in collaborating with the claimholders (CCJD and its 
partners) in addressing demands made and in training the claim-holders on how to 
operationalize Human Rights-Based Approaches at the local levels. Such an approach 
has also been very effective in building capacities and developing collaborative 
relationships with the claim-holders to achieve rights-based outcomes. Developing such 
collaborative relationship has further helped CHR to work with CCJD and its partners to 
address demands on claims made in an atmosphere of mutual trust and cooperation. For 
instance, as co-chair of the Regional Sub-Committee for the Welfare of Children, the 
CHR Regional Office pushed for the enactment of rights-based local codes for children in 
all cities and provinces of the Western Vis ay as Region. In another instance, at the 
conclusion of the UNDP Philippines-supported forum on training on Human Rights- 
Based Approaches in Iloilo City, covenants were signed between media and multi- 
sectoral groups (including LGU officials from Albay and Iloilo Provinces) to undertake 
activities to promote the use of Human Rights-Based Approaches (like soliciting people's 
participation) while undertaking developmental activities. Along with CHR, another 
Government agency - the IPC - has been active in working with CCJD in addressing 
demands, especially as they pertain to working with IPs in addressing their claims in 
relation to their right to their ancestral domains. 



Monitoring by CCJD and its partners on the use of the rights-based strategies are 
undertaken in a variety of ways. The media, through the use of public journalism 
techniques, have been quite effective as a monitoring tool. Through such coverage and 
broadcasts, not only are the communities kept abreast of whether the duty-bearers are 
discharging their obligations, but via enabling participatory dialogues and debates (which 
are duly covered by the media), due emphasis is placed on enlisting duty-bearers' 
accountability and transparency. One of the most effective ways of undertaking 
monitoring that has been used by CCJD and its media partners is via the practice of 
partnering with civil society led "watchdog" groups - such "watchdog groups" perform 
ongoing monitoring and public audits on public works/projects that are being undertaken 
by both the public sector and the private sector to ensure that the works/projects are 
undertaken in a transparent and accountable manner and that these undertakings are not 
detrimental to citizens' interests in any way. Such monitoring and audit activities forged 
through media-civil society partnerships have proved highly successful in ensuring 
ongoing accountability and transparency. E-groups have been set up by CCJD to enable 
its partners to dialogue on issues of concern. These groups have been tapped to build 
strategic networks and coalitions on issues of concern - networks and coalition members 
regularly interact and use the e-groups to highlight issues. The use of the Internet has 
proved highly effective in exchanging views and news; soliciting ideas; keeping network 
members abreast on activities undertaken and monitoring progress achieved and hurdles 
encountered in the process. Monitoring is also done via field visits, undertaken by the 
media partners in collaboration with the local partners (the CSOs and the communities). 
Though a traditional form of monitoring, these visits are very helpful in the partners 
getting an "on the ground" view of whether the activities undertaken have produced 



145 



desired outcomes. Finally, CCJD brings its media partners together twice a year; these bi- 
yearly forums - primarily held to dialogue on issues of concern and to exchange ideas and 
keep each other abreast of developments in their respective constituencies - also act as a 
platform for CCJD and its partners to undertake macro-level monitoring and evaluations 
of their programs. 

Through out this project, the CCJD has been citing the contribution of the CHRP in 
operationalizing the HRBA through its partnership with the Center not only in the 
conduct of HRBA trainings, forums and community dialogues involving different local 
stakeholders. In order to sustain the gains of HRBA in selected project areas, the 
concerned Regional Offices of the CHRP should properly document the HRBA process 
and tools that were employed to include the outputs and outcomes realized from the 
project focusing on the content and quality of the outputs and outcomes from a human 
rights perspective. 

Also, taking off from these joint experiences of the CCJD and CHRP, the latter should 
initiate proper documentation of the project gains that should be inputted into sound 
policy guidelines or simple guides for a civil-society-driven application of Human 
Rights-Based Approaches at the ground level from capacity-building interventions to 
actual application of the approaches. 



D. Institutional/Organizational Issues and Constraints in applying HRBA 

The lack of information materials on HRBA posed some constraints in the application of 
the approach. Knowledge on HRBA depends largely on discussions leaving the people 
without information materials to refer to. Given this constraints, CCJD pursued the 
project with the advisory help of the CHRP every step of the way. CCJD saw the 
problem affecting the limited outreach of the project as the project had limited staff and 
volunteers that are trained on HRBA. 



E. Evidenced-Based Application of HRBA in Project Outputs and Outcomes 

In recent years, the Center for Community Journalism and Development (CCJD) has 
been developing and promoting journalistic approaches on how citizens and the media 
can begin to invigorate public life through engagement by situating journalists as 
community stakeholders and catalysts rather than as mere observers and reporters of 
unfolding events. The project added a new dimension into the processes of public 
journalism, which is the Human Rights-Based Approach. 

Under the project, the public journalism process of media and citizen engagement is 
enriched through a more comprehensive and operational understanding and application of 
human rights, its concepts, principles, standards and practices that are weaved into the 
arena of multi-sector action. This project provides the use of human rights perspective 
into the public journalism approaches and strategies that would better equip communities 



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to identify and solve local problems, to increase participation in public life and in 
governance. 

"Public journalism is a philosophy, a framework that encourages and provides a forum 
for public debate over issues that are most important to citizens and how they can 
address these. It also requires that when these public debates do occur, all voices of the 
community be heard. It likewise requires journalists to focus not only on what's wrong 
but also on what's working, not only on problems but also on stories of success and 
hope. " 



Following the conduct of HRBA training and development of rights-based strategies into 
the public journalism standard operating approach, the project has realized outputs and 
far-reaching outcomes and impact especially with reference to the respect, protection, 
promotion and fulfillment of the rights of the locale populace. This was made possible 
through the engagement of communities, civil society groups and media groups into 
effective and productive partnerships as illustrated in many areas covered by the CCJD 
under the project. 

1 . Content Analysis of the Project Outputs 

Rights-based Community Immersion. For instance, members of the Forum of Reporters 
for Equality and Empowerment (FREE) stayed with a local community in Maguindanao 
Province for a week to more clearly understand the community's perception of the 
ongoing peace efforts at the height of fighting between the Government soldiers and the 
Moro Islamic Liberation Front in 2000. As a result, a series of stories on citizens' voices 
about their perception on the peace process and the rights of the locale populace were 
weaved into the work of the media. 

Rights-based Community Conversations. In Kidapawan City, North Cotabato, radio 
reporters started engaging local citizens in conversations on issues that they really care 
about and began developing a daily program called Pulso Ng Bayan (Pulse of the Town) 
based on these insights. 

Rights-based Focus Group discussions. The Visayas Examiner (TVE) in Iloilo City used 
FGDs to a large extent developed stories that eventually led to advocacy and 
campaigning on targeted issues, which helped bring about realization of rights of 
disadvantaged groups in the City. 

Rights-based Citizen's Polling. The PBN Broadcasting Network in Bicol Province - 
polled citizens in one barangay that expressed concerns about a cement plant, which was 
to be set up in that area. Such polls led to a series of discussions that ultimately led to the 
citizens (in participation with the local Government officials) coming up with agreements 
and guidelines under which the plant could operate in that municipality, to include the 



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formation of a monitoring group that was tasked to track compliance of the cement plant 
to the agreements and guidelines. 

Rights-based Community Interaction. Through community interaction, the Bandilo ng 
Palawan gradually raised popular awareness in the communities and likewise, 
encouraged different stakeholders to discuss the creation of the Palawan Heritage Center 
that is now continuously guarding and arresting the slow deterioration and loss of 
environmental artifacts. 

Rights-based Alliance Building in competitive environment. Four radio stations in 
Kalibo, Aklan Province, worked together to undertake a simultaneous broadcast on a 
program that tackles children's rights issues. The program was soon able to attract 
listeners to participate and report cases of child abuse - an issue that was hitherto a taboo 
topic in this town. 

2. Content Analysis of Project Outcomes 

This section however discusses in detail the very visible outcome of the project from one 
region — the Western Visayas Region in southern Philippines - where CCJD has worked 
in partnership with TVE, its local media partner. The partnership yielded to verifiable 
outcomes relative to the realization of various rights by the disadvantaged groups in the 
community. 

TVE is a community newspaper established in 1999 by journalists in Iloilo City in Iloilo 
Province, Western Visayas Region. The newspaper started working through public 
journalism techniques in 2001 for covering issues of concern to the citizens. Activities 
ranged from holding community meetings, helping other media groups organize, to the 
printing of a public journalism page entitled "Examined". TVE's public journalism 
initiatives complemented by a training on Human Rights-Based Approach have resulted 
in greater public impact of the news covered, development of a more critical and 
concerned core of readers and enhanced skills of journalists to cover news and the 
building of partnerships with other CSOs and the communities at large. 

Specifically, such partnerships have employed almost similar HRBA strategies as 
mentioned in different regions and areas covered by the CCJD under this project that led 
to producing outcomes as follows: 

Alliance in the fight against the setting up of a hospital incinerator. In 2001, following 
complaints by local residents in Iloilo City about noxious fumes coming into their homes 
from a nearby hospital incinerator, TVE came up with a series of reports on this issue 
focusing on the right to health of the locality. The TVE staff forged alliances with 
Greenpeace Philippines to spread awareness about the related health hazards at a TVE- 
organized forum in Iloilo City. Attended by multi-stakeholders including Government 
and hospital officials, community members, health workers, priests, journalists and NGO 
groups, the forum was successful in helping make the participants not only understand 
the environmental hazards posed by the incinerator but also in organizing them around 



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this issue. Furthermore, various other groups like the Physician's Association, the 
representatives of the Catholic Church and professional organizations like the Iloilo 
Chamber of Commerce and the Iloilo Medical Society picked up the issue and launched 
an information drive on solid waste management. Concerted advocacy and lobbying 
efforts by forging alliances of these various stakeholders (including the Iloilo CODE 
NGO - a coalition of around 50 NGOs in the city), coupled with reporting on the issue 
and related events by TVE, finally resulted in the hospital incinerator shutting down. 
Although there has been efforts to re-operate it, intense lobbying efforts and the dangers 
of pressures of adverse publicity that would occur as a result of the campaigns that the 
citizens are ready to again undertake have resulted in the incinerator remaining closed till 
date. 

Campaigning against the coal-fired plant in Barangay San Salvador. A Korean Electric 
Power Plant had plans to set up a 100-megawatt plant in Barangay San Salvador, a 
coastal town north of Iloilo City. Citizens' groups joined hands to protest against this 
plant since the continuous burning of coal particles emit harmful toxic chemicals that can 
seep into the ground water and contaminate drinking water. Pregnant women and infants 
are often the most vulnerable. Doctors have also thus joined in the fray because of the 
perceived serious health effects on the residents in the area. TVE covered the issue as a 
long-running series that allowed citizens' voices to be heard, especially in relation to their 
stand on the proposal. Readers were provided citizens' guides that showed schedules and 
venues of public forums, and how they can actively participate in the debate. Such media- 
community engagement - that drew in the readers with the liberal use of statistics, graphs 
and maps as well as reader suggestions, citizens' guides and explanatory sidebars - has 
led to sustained awareness and campaigning on the issue that put pressure on the local 
officials and the Plant and finally led to the Barangay head sponsoring a resolution, 
calling for the scrapping of the project. 

Signing of covenants on good governance. During the training forum on Human Rights- 
Based Approaches held in Iloilo City in August 2004, covenants were signed between 
concerned civil society stakeholders, the media (including TVE) and LGU officials (six 
LGU officials from Puerto Princesa; ten LGU officials from Iloilo Province; and, six 
LGU officials from Albay). By signing these covenants on good governance, the officials 
reiterated their commitments to undertake activities at the local level that would ensure 
that Human Rights-Based Approaches are incorporated while undertaking developmental 
planning and programming (for instance, participatory budgeting, election monitoring, 
and so on). LGU officials can be further held accountable for not meeting obligations 
under such commitments and they agreed to withstand monitoring and scrutiny on these 
commitments by the concerned civil society stakeholders. 

Assertion of Right to Good Governance through Public Audit. Citizens' have started 
monitoring activities after getting organized via efforts of local CSOs and media groups, 
primarily led by members of Ilioilo CODE NGO - all local TVE/CCJD partners. Batad 
town in Iloilo Province was the first area where a public audit, called "Pamangkot Sang 
Banwa", was piloted. The success of bringing LGU officials face-to-face with citizens to 
ensure accountable governance led to its replication elsewhere. The mountain town of 



149 



Bingawan in Iloilo Province has actually passed a resolution mandating that such public 
hearings be institutionalized; thus, such a hearing is held every second Monday of 
February and July each year. In the hearing held on 4 th February 2005, there was a 
dialogue on transparency between the local community and elected LGU officials in 
which the local Mayor also attended. 50 community members demanded responses from 
the officials on commitments made (like budget for repair of school buildings and 
damaged street lights, conversion of farm roads to market roads, honorarium of day-care 
workers and so on). 

This particular "Pamangkot Sang Banwa" was an offshoot of the voters' education drive 
conducted in the town during the May 2004 elections. NGOs sponsoring it took down the 
promises of the officials who signed a covenant agreeing to join the hearing once they are 
elected to office. During the "Pamangkot Sang Banwa", the promises of the elected 
officials were listed down and their attendances to the regular legislative sessions were 
posted as well as their performances in passing and sponsoring ordinances. 

Even the LGU officials felt that an initiative of this kind is imperative in making 
governance transparent in Bingawan. TVE actively covered the news leading up to this 
"Pamangkot Sang Banwa", published views of the citizens relating to the performances 
of the LGU officials, attended the hearing and subsequently gave it front-page coverage 
following the hearing. Currently, TVE is collaborating with Iloilo CODE NGO to help 
popularize such audits through publications and media releases. Such collaborations have 
proved central in promoting participatory, transparent and accountable governance at the 
local levels in quite a few provinces in the Western Visayas Region. 

Enabling indigenous peoples to advocate claims for their rights to ancestral domain. 
TVE worked in collaboration with local CSO groups (in the form of undertaking fact- 
finding missions; holding FGDs; publicizing the findings of such missions and FGDs in 
the media; and, making the general public aware of the plight of IPs) in the provinces of 
Tapaz, Capiz and Garangan in Iloilo. In these provinces, communities that consider 
themselves indigenous have started organizing themselves with support from the local 
CSOs against the construction of dam that is being planned by Aegis France, a 
multinational corporation. The dam, if constructed, will displace these people from their 
lands because the areas upriver would then be used as watershed areas. Thus, none of 
these communities signed the affidavit that would actually give them land in other areas 
if they move away from the land that they are currently occupying. The collaborations 
and advocacy has gained further momentum due to the involvement of the IPC that has 
started working with these groups to address their claims, including listening to their 
demands at the mining operations would threaten their right to their ancestral domains. 

F. HRBA Success Indicators Applied in the Project 

The success of HRBA in this project is demonstrated through the following number of 
indicators generated through the project: 



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1. The degree to which human entitlements are applied into the 
empowerment of community groups; and 

2. The extent to which duties and responsibilities of both duty-bearers and 
claimholders were demonstrated in different forms of agreements and 
reconciliations are achieved between the government actors and 
community actors in responding to economic, social and political 
problems using human rights perspectives and standards 

G. User Satisfaction on the HRBA 

Hereunder is a summary of the assessment given on the use of the HRBA in the project, 
which was based on the results of the User Satisfaction Rating Questionnaire, 
accomplished by the participants of the projects selected by the project proponent: 



The proponent of the project was in agreement that HRBA shaped the content and the 
activities of public journalism implemented in the community press. It was easily used in 
planning for stories and special reports and interventions like community meetings, polls 
and focus group discussion that are part of public journalism initiatives. 

The proponent expressed that the most predominant difficulty lies in the awareness of 
rights, in terms of claiming them at first instance, is generally low among media 
practitioners and the media audience. Therefore, there is a need for those in the know to 
consciously make it understandable and explicitly state that in their stories and 
community activities. 

The project proponent was also in agreement that HRBA is a tool that helped make the 
editorial output comprehensive and relevant because it looks at sectors and identify their 
general and specific needs and rights. It can also be applied to any coverage - disaster, 
election, environment, children and women's stories. 



Likewise, they noted the significance of encouraging its use among media practitioners; 
show examples of excellent stories, media projects; recognize journalists who use the 
approach; provide support/grants to those who will write special reports and community 
projects. 



H. Lessons Learned from HRBA Practice 

The foremost challenge in operationalizing the Human Rights-Based Approach is 
breaking this culture of silence in local communities was the greatest difficulty faced by 
the Center before it was able to organize and mobilize the communities and civil society 
groups to solve and address their day-to-day issues and concerns that affect the assertion 
and exercise of their human rights. 



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Breaking the Culture of Silence in Local Communities 



This challenge was insurmountable especially in some of the remote and inaccessible 
project areas, which are inhabited by indigenous peoples (IPs). It was very difficult 
winning the confidence of these IPs and empowering them to break the "culture of 
silence". These IPs found it strange to challenge the status quo on certain issues that 
affect their individual and community life. They belong to communities, which are often 
cut off from mainstream civilizations. Also, they are illiterate; and, have no knowledge 
of Government policies and programmes that directly influence their lives. Therefore, 
working with people of such economic and social background inevitably poses great 
hindrances to empowering them to voice their sentiments and clamors and claim the 
rights that are due them. 

Following from the above, the practice and use of HRBA were a bit confrontational in 
nature especially in the use of progressive strategies that tend to dig out the root of 
economic and social issues that directly relate to the deprivation of specific human rights 
of local communities and disadvantaged groups. As may be gleaned from the rights- 
based strategies employed like the use of advocacy and lobbying, campaigns and protests 
- often faces resistance from communities as it means challenging the status quo or even 
the power holders and duty-bearers. Many communities thus resist such strategies as 
these involve face-to-face interactions with LGU officials, challenging existing power 
equations and demanding their accountability on public related works. For poor, 
vulnerable and marginalized communities, their struggle for basic survival often precedes 
their engagement in civic action (that can be very time intensive); resistance has thus 
been encountered by CCJD and its partners while building capacities of groups on the use 
of such approaches. 

2. Conflicting Laws based on Human Rights Standards 

An HRBA works best in an environment where there are enabling laws and policies in 
place. However, enabling policy frameworks like the LGC and IPRA have been negated 
to a large extent by disempowering laws like the Mining Act of 1995 - wherein all public 
and private lands can be thrown open for mining operations to foreign companies and 
give them total control over such operations - that has endangered the land rights of 
communities, including indigenous communities. Section 56 of the Mining Act states 
that states that "property rights within the ancestral domains already existing and/or 
vested upon affectivity of this Act, shall be recognized and respected," excludes lands 
that are privately owned, from the scope of ancestral domains. This has the effect of 
practically negating the progressive definition of ancestral domains contained in Section 
3 of the Act. Mining companies have taken this provision to further their interests, 
interpreting "vested rights" as including mining concessions. Thus, under such 
interpretation, mining concessions already existing prior to the affectivity of IPRA are 
excluded from the scope of ancestral domains. NGOs and indigenous communities have 
taken a strong stand against such interpretation. To include mining concessions within the 
purview of vested rights could open the floodgates to exclusion from the scope of 



152 



ancestral domains sizable lands that are now under timber concessions and permits to 
operate commercial tree farms. Also included are the mineral lands of large mining 
companies in the Cordillera and the fertile lands owned by agri-business companies in 
Mindanao. Though there was major judicial activism against this Act, the Supreme Court 
also acted against community interests by ordering only a temporary deferment of the 
implementation of the law. 

3. CHRP's constraints in addressing human rights concerns 

As mentioned elsewhere in this paper, the role of the CHR in capacitating and developing 
skills of diverse stakeholders on Human Rights-Based Approaches has been exemplary. 
But, the Commission faces severe budget constraints - with an annual budget of only 
around 200 million pesos, there are limitations on the level of resources that CHR can 
devote to training and capacity development. As budgetary allocations (or the lack of 
such allocations) to a sector signals the Government's commitment to that particular 
sector, such resource constraints plaguing the CHR actually poses questions on whether 
the Government, at the macro-level, is serious about addressing human rights issues. 
Similar is the case of the IPC - though set up to address and protect the rights of such 
groups, the Commission has been plagued with severe financial crisis that hampers its 
effective operations and reach. 

4. Strengthening Institutions and Program Tie-Up 

Given the success of the project, the Center envisions to cover as many areas and regions 
possible in order to institute a human rights-based awareness, participation and 
empowerment among the local communities with media's relentless commitment to the 
practice of public journalism. 

The Center should be able to formalize its tie-up with the CHRP to ensure more 
systematic and wider outreach of the project. There is a need to revisit the institutional 
arrangement of the GOP and UNDP under the leadership of the CHRP as the 
implementing partner in terms of the participation and involvement of Civil Society 
Organizations for a more massive implementation or mainstreaming of the HRBA in the 
projects and activities of the CSOs especially the media groups. 

5. Building HRBA Capacities 

The CHRP under the GOP-UNDP Governance programme should attempt to revisit the 
spirit and the potentials of the practice of public journalism in bringing about more 
purposive participation and empowerment of local communities. 

The CHRP should look into the possibility of adopting a national training program on 
HRBA among local media groups giving focus on the gain achieved by the CCJD in 
Palawan, Bicol province, Western Visayas, Mindanao areas and other local communities. 



153 



6. HRBA as Applied to Public Journalism 

The HRBA is highly replicable except that at this point, the implementers of the approach 
still lack the political will to effect a more deliberate and systematic documentation and 
developmental monitoring and evaluation of the gains and successes of the HRBA in 
selected projects like that of the CCJD. From the CCJD experience should already be 
crafted a Handbook or Guide for a CSO-Driven Implementation of the HRBA. 

As in the case of the CCJD, its proven success in marrying the HRBA with community- 
based public journalism should merit the development and production of such Handbook 
that will guide local media groups in the mainstreaming of the HRBA into their public 
journalism work that would cause further improvement to local governance. 

Overall, this is one case, which is most encouraging in so far as being able to demonstrate 
the workability of the HRBA conceptual framework and operational definition on the 
ground. HRBA into the public journalism process was compatibly demonstrated yielding 
to results up to outcome level. The mainstreaming of HRBA into public journalism did 
not make use so much of HRBA tools. It employed orientation, training, dialogues and 
use of HRBA resource persons throughout the process. 



154 



CHAPTER 8 

CASE 6 - National Human Rights Action Planning 145 

This chapter provides another unique application of HRBA 146 , which was implemented 
using a combination of conventional and non-conventional methods. This case 
exemplifies, HRBA as a complementing approach to compliance approach. Using the 
same case analysis, the practice of HRBA in this case brings up more comprehensive 
dynamics involved in HRBA. 

A. Overview of the Case Study 

This case entitled "National Human Rights Action Plan (NHRAP)" is an ongoing 
initiative of the Presidential Human Rights Committee (PHRC) under the Office of the 
President. The project originated from the issuance of Administrative Order 163 on 
December 10, 2006. Upon recommendation of the Commission on Human Rights, A.O 
163 prescribed among others the formulation of the National Human Rights Action Plan 
and to adopt a "Human Rights-Based Approach" in the formulation of said plan. This 
case study covered the preliminary phases of the NHRAP demonstrating processes of 
HRBA from the groundwork to the drafting of the plan. This covered the period May 
2008 - July 2009. Not included in this case study are the integration of the thematic 
plans and the Regional Human Rights Action Plan (RHRAP), which was deferred for 
implementation in phase 2 of the NHRAP. 

1 . Purpose of the Case Study 

The case study seeks to attain the following objectives: 

a) To showcase the elements of HRBA in the design and process of national 
action planning; 

b) To illustrate the guidelines and tools for the practical application of HRBA 
both at the national and local levels and to demonstrate the policy support 
necessary to institute the approach at all levels of governance in the 
country; 

c) To demonstrate the use of human rights indicators in national human 
rights action planning in defining the quality of the plan; and 

d) To demonstrate the use and benefit of HRBA in enhancing accountability 
and empowerment among governance stakeholders involving both duty- 
bearers and claimholders. 



155 



2. Project Design 

Under Administrative Order No. 163 dated December 8, 2006, President Gloria 
Macapagal Arroyo strengthened the Presidential Human Rights Committee (PHRC). The 
PHRC was established under Administrative order No. 29 on January 27, 2002. In 
addition to expanding its membership, its functions and duties are further elaborated to 
include among others, a) to formulate the National Human Rights Action Plan in 
accordance with international human rights treaty obligations and to adopt a "Human 
Rights-Based Approach" in the formulation of such plan; and b) to coordinate 
compliance with international human rights obligations to which the Philippines is a state 
party. Basing on this mandate, the national action planning shall be an effective tool to 
continuously and progressively implement the government's human rights obligations in 
collaboration with all other sectors of the Philippine society. 

The NHRAP is a follow through activity of the Universal Periodic Review (UPR) on the 
Philippine Human Rights Situation called by the UN Human Rights Council in April 
2007. The UPR system is an international mechanism to help member-states of the 
United Nations to respond more effectively with their human rights obligations on human 
rights. The mechanism works within the context of recent domestic and global 
developments that point to a changing environment that affect the level of enjoyment of 
both the civil and political rights and economic, social and cultural rights of the people 
especially the poor, marginalized and the disadvantaged. 

In the context of the International Human Rights System, national action planning and 
implementation is a state mechanism that can help, both government and civil society, to 
resolve human rights problems in a continuing process, which involves more than 
identifying alleged wrongdoers and exhorting governments to improve their performance, 
but also, to capacitate them altogether in bringing about genuine improvements in the 
domestic scene, that requires resources and long term effort in the areas of education, 
institutional strengthening and institution-building. 147 The envisioned national action 
planning shall cover the period 2010-2014. This is a sequel to the first Philippine Human 
Rights Plan: 1996-2000. As can be noted, there was no updating of the plan for a period 
of 8 years. 

3. Summary of Project Gains 

As of this final writing of the project case, the NHRAP shall have been launched on 
December 10, 2009. More specific gains point to instituting the management of the 
national action planning process through a rights-based structure composed of multi- 
sectoral thematic clusters organized by human rights treaty. There are (8) eight thematic 
clusters composed of both government and civil society groups. These clusters 
correspond to each of the following International Human Rights Treaties to which the 
Philippines is a signatory: International Covenant on Civil and Political Rights. (ICCPR) 
International Covenant on Economic, Social and Cultural Rights (ICESCR), Convention 
Against Torture (CAT), Convention on the Rights of the Child (CRC), Convention on the 
Elimination of all Forms of Discrimination Against Women (CEDAW), Convention on 



156 



the Rights of Migrant Workers (CMW) and Convention Against Racial Discrimination 
(CERD) and Convention on the Rights of Persons with Disabilities(CRPD). 

The eight (8) rights-based thematic clusters were organized by identifying the different 
agencies and civil society organizations (CSOs) concerned with the specific provisions of 
each of the human rights treaty and which carry mandates relevant to the treaties. Hence 
for purposes of national action planning, these clusters prioritized human rights issues 
and problems raised during the UPR and in various concluding observations of the treaty 
bodies, which was made the basis for the conduct of consultations with concerned 
vulnerable and disadvantaged sectors. 

The eight (8) thematic clusters through consultations with concerned government 
agencies and relevant CSOs developed and produced their respective thematic chapters of 
the NHRAP to include a planning matrix designed for local consultation. 

The issuance of Administrative Order 249 prescribes the further strengthening of 
government policies, plans and programs for the effective promotion and protection of 
human rights on the occasion of the 60th anniversary of the Universal Declaration of 
Human Rights. The Administrative Order basically provides areas of human rights 
compliance by different government agencies initially premised on the priorities set by 
these government agencies in the formulation of the national action plan. 

4. Summary of Lessons Learned 

Essentially it is difficult to apply the HRBA even if the Office of the President has issued 
two enabling directives that prescribed the promotion and protection of human rights. 
The government machinery is not generally oriented to the various International human 
Rights Treaties that it has long ratified and even if there is awareness, the application of 
human rights standards to development plans and programs is another difficult process. 

Institutional and policy framework is vital to laying down the groundwork for application 
of the HRBA to national action planning. Various stakeholders both duty-bearers and 
claimholders 

B. Overview of the Project Proponent 

1 Mission and key functions/services 

The PHRC is composed of the following: The Executive Secretary as the 
Chairperson;The Secretary of Justice as Vice Chairperson; the Secretary of Foreign 
Affairs as Co-Vice Chairperson; The Secretary of Education; the Secretary of Interior and 
Local Government; the Secretary of National Defense; the Secretary of Health; the 
Secretary of Social Welfare and Development; the Secretary of Budget and Management; 
the Press Secretary; the Director-General of the National Economic Development 
Authority; the Chief Presidential Legal Counsel and the Lead Convenor of the National 
Anti-Poverty Commission. 



157 



Section 3 of AO 163 provides for the functions and duties of the PHRC as follows: to 
formulate the National Human Eights Action Plan in accordance with international 
human rights treaty obligations and to adopt a "Human Rights-Based Approach" in the 
formulation of said plan; to undertake the necessary measures that will ensure its 
adoption and implementation; to assist victims of human rights violations and their 
families, especially victims of enforced or involuntary disappearances, in enforcing their 
rights under pertinent Saws including but not limited in The Victim Compensation 
Program (R.A. 7309) and the Witness Protection Program (R.A. No. 6931); to assess and 
monitor ail aspects of the human rights situation in the country and to collate all 
necessary data on human rights violations and abuses; to set up and implement a media 
program to portray an accurate assessment of the human rights situation in the country; to 
ensure compliance with and strict adherence by the government to all its obligations 
under international human rights instruments where the Philippines is a party, including 
the timely submission of treaty implementation reports, replies and comments on cases 
filed with the United Nations; to conduct quarterly dialogues with the President; to 
submit annual dialogues with the President; and to perform such other functions and 
duties as may be directed by the President and/or as may be necessary to meet the 
objectives of the Committee. 

2. Mandate, Structure and Processes 

In order to improve compliance by the Philippines with the International Human Treaties, 
to which it is a signatory, Section 5 of the Administrative Order provided for the 
organization of Working Groups and Lead Agencies to take charge of coordinating 
compliance with the treaties as follows: 

a) The Department of Justice - International Covenant on Civil and Political 
Rights (ICCPR) 

b) The Department of Interior and Local Government - Convention against 
Torture (CAT) 

c) The National Commission on Indigenous People - Convention on the 
Elimination of Racial Discrimination (CERD) 

d) The National Economic and Development Authority - International 
Covenant on Economic, Social and Cultural Rights (ICESCR) 

e) The Department of Labor and Employment - Convention on the Rights of 
Migrant Workers (CMW) 

f) The National Commission on the Role of Filipino Women - Convention 
on the Elimination of Discrimination against Women (CEDAW) 

g) The Department of Social Welfare and Development - Convention on the 
Rights of Child (CRC) 

h) National Commission on Disabilities Affairs (NCDA)- Convention on the 

Right of Persons with Disabilities 



158 



These lead agencies also chair the various working groups for each of the treaties. For 
purposes of the national action planning, the working groups were expanded to include 
CSOs, which now comprise the various eight (8) Thematic Clusters. 



C. Evidence-Based Application of HRBA in Project Implementation 

The NHRAP framework was designed as early as June 2008. The design of the HRBA 
for national action planning was done in very detailed and intricate manner in order to 
orient the entire government machinery and the participating CSOs on human rights and 
the approach itself. HRBA application was initially promoted through the development 

1 A Q 

and dissemination of a National Action Planning Guide. ' The NHRAP Guide was 
developed and disseminated to the eight (8) Thematic Clusters in order to provide them 
with detailed orientation on the NHRAP process applying the HRBA. The guide contains 
the planning vision, mission, human rights agenda, as well as the comprehensive 
structure and contents of the NHRAP. 

The HRBA as operated in the NHRAP was made through a deliberate mainstreaming of 
human rights principles, norms, standards, practices into the development programming 
processes of all governance actors. Therefore, in principle and in practice, the HRBA 
shall engage all sectors of Philippine society in a bottom-top and top-bottom consultative 
governance process of: a) shifting paradigm from needs to rights; b) the use of 
international human rights standards and its harmonization with domestic laws; c) 
operationalization of the human rights principles, accompanying obligations and 
entitlements of the government and the people respectively, in planning and 
programming of development, and d) capacitating both duty-bearers (government) and 
civil society (claimholders) on human rights norms, standards and practices in the course 
of mainstreaming them to both the development and governance processes. 



The NHRAP Handbook was also developed specifically to provide practical steps for 
the application of HRBA in national action planning. It was designed for the use of 
political leaders, government administrators and representatives of CSOs who are 
spearheading the development and implementation of the NHRAP at the national, 
regional, provincial and local levels. Contained in the handbook are roles of both duty- 
bearers and claimholders involved in the NHRAP, the phases of the NHRAP. More 
importantly, the sequential steps on the use of HRBA were also prescribed based on the 
following sequential steps: 

a) To identify specific rights involved in every problem and condition that 
affect the vulnerable and disadvantaged groups; 

b) To determine obligations and accountabilities of government and other 
non-state actors (duty-bearers) and entitlements of vulnerable and 
disadvantaged groups (claimholder), in every human rights issue and 
concern; 



159 



c) To analyze conditions of vulnerable and disadvantaged groups using 
human rights standards corresponding to the dimension of freedoms and 
entitlements to services such as availability, physical, economic and 
information accessibility, non-discrimination, acceptability, cultural 
adequacy, affordability, among others depending on the services involved; 

d) To apply human rights principles in the NHRAP that are inherent to the 
content of human rights (universality, non-discrimination and equality, 
indivisibility, interdependence, inter-relatedness, and accountability; 
inherent to the content of good and democratic governance (attention to 
vulnerable groups, equity, people's participation, independence of the 
judiciary, legislative capacity and rule of law and transparency) and the 
overarching principle (empowerment); 

e) To apply human rights principles and human rights standards in the 
formulation of policies, designing of programs, projects and activities, 
among others; and 

f) To consider the corresponding state obligation and rights entitlements of 
concerned vulnerable sectors in the designing of the features and contents 
of programs, projects and activities." 



The NHRAP Formulation Guide was disseminated to the members of the PHRC and the 
thematic Clusters that were organized for the NHRAP Formulation. Also, an NHRAP 
Guide for Conduct of Baseline Study was designed as a guide to be followed in the 
conduct of baseline studies for the NHRAP. From July - December 2008, the eight (8) 
thematic clusters identified the priority human rights agenda to be addressed by the 
NHRAP followed by the formulation of thematic objectives and setting of indicators 
using human rights standards. Later PHRC prescribed through a guide the following 
contents of the baseline study for each of the agenda set by the thematic clusters. The 
content of the guide point to establishing baseline information on : "What are the existing 
legal framework, as well as, the existing institutions for the protection of human rights 
and the state of human rights awareness and education in relation to the human rights 
agenda or across the agenda?; What are the main areas in which problems have been 
encountered by the government (duty-bearers) in meeting the country's human rights 
obligations pertinent to the human rights agenda?; Describe the situation of vulnerable 
and disadvantaged groups (claimholders) and the picture presented by given social 
indicators (following some criteria with sex disaggregated data), highlighting the major 
human rights issues encountered by the groups relevant to the human rights agenda? 
[Where such social indicators are not available, the NHRAP may consider plans to collect 
the necessary data regularly]" 

Also, as contained in the guide 151 , the priority tasks under the NHRAP were also given 
criteria such as: 

a) Where there are people whose right to life is at risk, who are living in 

pain, fear and insecurity, who are living in misery because their economic, 
social and cultural rights are denied, or who suffer discrimination; 



160 



b) The severity of the problem identified in terms of its human rights impact; 

c) Special attention should be given to the needs of vulnerable groups and a 
particular effort should be made to bring them into the process as 
participants; 

d) Where there is a need to strengthen the legal and institutional framework 
for the protection and promotion of human rights and programmes for 
human rights education; 

e) The cost implications of possible human rights "solutions", taking into 
account the availability of resources and the steps to overcome constraints 
in resources; 

f) The impact of accomplishment of the task on other development plans, 
commitments and objectives (MTPDP, MDGs); and 

g) The extent of public concern over the issue." 



In October 2008, the PHRC further formulated some guidelines for the conduct of 
consultations. The Committee designed system for both sectoral and local consultations. 
At the national level, multi-sectoral consultations were set during the preparation of the 
planning matrices of the various thematic clusters. At the local level, the same design 
was adopted to include a more expanded consultation arrangement with leagues of local 
officials, devolved agencies of government and the membership of the Regional 
Development Councils. Provincial consultations were also identified to involve leagues 
of governors and mayors, human rights action officers, peoples' organizations and non- 
government organizations. 



1 5? 

The key principles adopted by PHRC for the NHRAP consultation process include the 
following: both the process and outcome of the consultation are equally important; it 
must be inclusive representing the broadest representation of the entire country; It must 
be transparent, public and action oriented; must create awareness and commitment to the 
universal standards of human rights and international human rights treaty, to which the 
Philippines is a state party; it must tackle thoroughly the human rights issues of the 
affected vulnerable, disadvantaged and marginalized; reflect the interdependence and 
indivisibility of these issues in the manner by which these people are affected. 

Sometime in November 2008, a two-day Consultation-Workshop cum Orientation was 
conducted with PHRC Lead Agencies. This was undertaken with the focal 
representatives of the eight (8) lead agencies of PHRC for substantiation of the planning 
matrices of the various thematic clusters. Orientation and workshop were conducted 
during the consultation. With the help of human rights specialists from the Commission 
on Human Rights of the Philippines, the lead agencies went through the matrices and 
reviewed their contents as to the specific problems that were linked to priority human 
rights agenda, the applicable human rights standards derived from the international 
human rights instruments, identification of sectors affected, the solution or measures and 
the probable contents of such measures referring to the use human rights standards, the 
parties responsible for undertaking the solutions and measures to include both the duty- 



161 



bearers referring to government and other private entities as well as claimholders 
referring to organizations and networks of vulnerable and disadvantaged sectors who will 
help in implementing the measures. 



After the consultation-workshop, the lead agencies consulted again their respective 
thematic clusters on the revised planning matrices covering the period December 2008 - 
March 2009. This venue was used to educate the member- agencies and organizations of 
the various thematic clusters on the linking and application of human rights normative 
standards to specific problem they jointly identify to address as the NHRAP priority 
problems. 

By end of March 2009, Consultation-Workshop cum Orientation was conducted for 
Regional Directors of the NEDA and DILG and representatives of Local Government 
Oversight Offices from 48 critical provinces. The revised planning matrices were again 
brought to another consultation-workshop. This time, the consultation involved Regional 
Directors of NEDA and DILG, as well as representatives from the LGOOs representing 
48 priority provinces for the NHRAP. Results of the consultation include Regional 
planning matrices with provincial dimensions of each priority problems identified for 
each region. This will be the basis of the RDC in convening series of Council meetings 
and consultations with concerned sectors in the regions, which would culminate in a 
Regional Write-shop of the RDC properly assisted by the NEDA Regional Office. 

Between April - June 2009, the PHRC followed up on the progress of the NHRAP 
through the Issuance of a Tracking Guide on the Application of the HRBA in both the 
Content and Process of the NHRAP (Refer to Appendix N). This guide provides key 
pointers in question form for use of the thematic clusters, lead agencies, RDCs and 
NEDA Regional Offices relative to contents and processes of the NHRAP that are 
compliant with HRBA. Below are sets of tracking questions contained in the Guidebook, 
where human rights principles, standards and practices are embedded into the formulation 
of the NHRAP. 

For the month of July to October, a series of Area Consultations on the NHRAP was 
conducted in strategic regions in Luzon Visayas and Mindanao. The PHRC organized 
Area Consultation Teams composed of representatives from each of the thematic clusters. 
The results of the consultations were incorporated by the lead agencies into their 
respective thematic plans. 

And finally on December 10, 2009, a national multi-sectoral forum was held to launch 
the NHRAP and to encourage more comments and inputs from about 300 participants 
that participated in the activity. At this stage, an Executive order is being drafted for the 
implementation of the plan and the NHRAP documented has been turned over for 
printing. 



162 



D. Institutional/Organizational Issues and Constraints 

At the time this case was documented, the eight (8) thematic clusters were engaged 
continuously with concerned agencies and organizations consulting them individually on 
their accountabilities, planned targets vis-a-vis human rights standards provided in the 
international instruments, specific programs and projects and funding commitments 
corresponding to each performance indicators under each treaty. 

The varying levels of institutional commitments of concerned agencies and organizations 
attributed to lack of common understanding on the government's obligations under each 
of the eight (8) International Human Rights Treaties. The long and tedious process of 
studying and applying the various human rights principles and standards in the 
formulation of objectives, identification of indicators at the structural, outcome and 
process level, applying such principles and standards in the identification of performance 
targets in progressive manner; and operationalizing the same in the identification of 
programs and projects that would serve as enablers for realizing the human rights 
principles and standards being applied. Gauging from the proceedings of the NHRAP 
formulation, the consultative process of establishing accountability in terms of enabling 
particular agencies to commit themselves to each of the performance indicators, making 
them apply certain human rights principles and standards to their performance targets, 
programs and projects; and making them pledge for incorporation of such targets, 
programs and projects into their respective agency budgets. Moreover, the resource- 
intensive process of consulting the concerned agencies, sectors, regions and local 
communities, which encountered tremendous limitations and challenges in terms of 
mobilization of funds both at the national and local levels to which the development 
partners, lead agencies and the NEDA Regional Office provided contributions. 



E. Evidence-Based Application of HRBA in Project Outputs and Outcomes 

This section examines the human rights content of both the project outputs and outcomes 
of the NHRAP formulation. 

1 . Content Analysis of the Thematic Plans by Treaty 

HRBA was used both during the consultation process and actual formulation of the plan. 
As mentioned earlier a Tracking Guide was issued in addition to the NHRAP formulation 
Guide, Consultation Guide and Guide for the Conduct of Baseline Study. Resulting from 
the implementation of the HRBA Consultation Guide, series of consultations were 
conducted by the eight (8) Thematic Clusters. Eight (8) Consultation Matrices 
corresponding to the core International Human Rights Instruments were generated during 
the consultations. The following output is a sample of the consultation output. As shown 
in the following table, the formatted tool provided the guidelines for the application of 
HRBA in some of the issues and concerns involving CEDAW and CAT, in the following 
manner: 



163 



a) Identified needs or problems were linked to particular provisions of 
relevant Treaties for the identification of the entitlement of affected sector 

b) Based on identified needs or problems and the relevant entitlements 
pursuant to the applicable Treaty, the duty-bearer or accountable agency 
or branch of government is established. 

c) Corresponding solutions were identified that captures the measures that 
the accountable agency would need to undertake to respond to the 
entitlements of the affected sectors 

d) Both the duty-bearers and claimholders are identified in Columns 4 & 5 of 
the same table, to illustrate the cooperative arrangements between them in 
performing the state obligation on the part of the duty-bearer and 
contributing to the realization of the entitlements by the claimholders; 

e) Both the claimholder and duty-bearers come into agreement on time 
involved in accomplishing the solution; 

f) Both the duty-bearers and claimholders come into agreement on the 
outputs expected to come about from the identified solution in a given 
target date. It could be noted that the identified outputs qualifies the 
results using rights-based standards picked up from the applicable treaty; 
and 

g) The commitment to expressly incorporate the budgetary requirements of 
the solution/measure in the respective budgets of accountable agencies 



164 



Table No 6 

Sample Output of Accomplished Consultation Matrix 
(CEDAW & CAT) 



HR ISSUE 


THEMATIC 
OBJECTIC 


ACCOUNTABLE 
ENTITY 


SOLUTIONS 


STAKEHOLDERS 


TARGET YEAR 


OUTPUTS 


RESOURCE 
REQUIRMENTS 




DUTY- 


CLAIMHOLDERS 










BEARERS 










Convention on t 


he Elimination 


of Domestic Violence Against Women (CVEDAW) 




The right to 


Need to 


5 Pillars of Justice 


Gender 


DOJ, 


Women and girl 


2009 -2010 


Report on Baseline Information 


To be charged 


life, right not 


enhance the 


System: 


sensitivity 


NCSB 


victims of 




gathered and utilized 


against agency 


to be subjected 


capacity of 


community, 


training 




domestic violence, 






funds; to be 


to cruel, 


the justice 


police, 


seminars for 


PIA 


domestic and 




Situational Analysis on the Access 


incorporated into 


inhuman or 


system to 


prosecution, 


duty bearers 




international 




of Women to Justice 


GAA under the 


degrading 


effectively 


courts /judiciary, 


of the justice 




trafficking, and 






agency's 


treatment, right 


and 


penology 


system (local 


SC- CGRJ 


sexual assault. 




Assessment of Existing Redress 


Program, Project 


to protection 


efficiently 




government 


DSWD 






mechanisms against VAW 


Activities (PPA) 


according to 


implement 


National and local 


officials, law 


NCFRW 


Economically 




Mechanisms 




humanitarian 


existing 


government 


enforcers, 


DILG, 


disadvantaged 








norms, right to 


laws that 


agencies and units 


social 


PNP 


women 




Performance Monitoring Scheme 




liberty and 


protect and 




workers, 


BJMP 






for Justice System personnel 




security of 


uphold the 


CSO groups 


health care 


OPAPP 


Women in conflict 








person, rights 


rights of 




professionals, 


LGUs 


areas, ARMM 




Gender-sensitive behavior and 




to equal 


women 


National, 


prosecutors, 


CSOs 


Women in 




attitude among personnel 




protection 


against 


regional, 


and judges). 




detention 








under the law, 


gender- 


provincial, and 










SC employees, lawyers, 




right to 


based 


municipal IACAT 






Victims of 




researchers, judges and court 




equality in the 


violence. 


& IACVAWC 


Establishment 




disappearances 




personnel trained on gender- 





165 



HR ISSUE 


THEMATIC 
OBJECTIC 


ACCOUNTABLE 
ENTITY 


SOLUTIONS 


STAKEHOLDERS 


TARGET YEAR 


OUTPUTS 


RESOURCE 
REQUIRMENTS 




DUTY- 


CLAIMHOLDERS 










BEARERS 










family, right to 




mechanisms 


of a unified 








responsive handling of cases 




the highest 






VAW 




Women with 








standard 






reporting 




disabilities 




Proceedings of Consultation/ 




attainable in 






system 








Policy Dialogue Meetings 




physical and 


















mental health, 






Advocacy for 








Budget support for establishment 




the right to just 






the 








of additional family courts and 




and favorable 






establishment 








training of personnel 




conditions of 






of additional 












work. 






courts for 








Active and visible local level 




[Arts 1,2,5: 






speedier 








IACAT 




The right to 






dispensation 








VAWCs functional 




non- 






of justice. 












discrimination; 














Functional VAW referral network 




Art. 6: The 






Continuing 












right to be 






dialogue with 












protected from 






accountable 












trafficking and 






agencies and 












prostitution; 






stakeholders. 












Art 11: The 


















right to safe 






Popularization 












working 






and 












conditions; 






dissemination 












Art. 15: The 






of 












right to 






Performance 












equality before 






Standards for 












the law; GR9: 






Delivery of 













166 



HR ISSUE 


THEMATIC 
OBJECTIC 


ACCOUNTABLE 
ENTITY 


SOLUTIONS 


STAKEHOLDERS 


TARGET YEAR 


OUTPUTS 


RESOURCE 
REQUIRMENTS 




DUTY- 


CLAIMHOLDERS 










BEARERS 










Documentation 






Services 












and collection 


















of data on the 






Gender 












status of 






Justice 












women; GR19. 






Awards 












Grave abuses 


















against 


















migrant 


















women: 


















GR26] 


















Convention Against Torture (CAT) 


Right not to be 


Need to 


NGAs; 


Studies/fora/ 


Concerned 


Prisoners, 


3/15/2009 


Published results to support / 


Budget of 


subjected to 


enact 


CSOs/NGAs; 


consultations 


NGAs and 


detainees, women, 




indicate for appropriate 


Concerned 


torture, right 


Torture law 


populace at large 


on 


TC 


children, youth, 




administrative (ExecutiveBr.) and 


NGAs and TC 


for protection 


consistent 


esp. vulnerable 


establishing 


members 


elderly, indigenous 




legislative policies and actions 


members 


claims, 


with CAT 


grps. 


NPMs 




cultural 








remedies, 










communities, 








compensation, 










persons with 








rehabilitation 










disabilities 









167 



Following the conclusion of the series of consultations, the eight (8) Thematic Clusters 
convened further for the formulation of their respective Thematic Plans. As presented 
earlier, each Treaty is assigned a particular chapter. For purposes of this, dissertation, the 
following condensed document would show the content of each chapter per Treaty. 
Thus, ,the eight (8) Thematic Clusters convened again for the formulation of their 
respective Thematic Plans and Chapters following the prescribed HRBA guidelines. 

On the basis of the various needs and problems raised during the planning consultation, 
each Thematic Cluster was made to prioritize these concerns to include those earlier 
identified in the various Concluding Observations and Reports endorsed to the 
Philippines by the pertinent UN Treaty Bodies. The prioritized needs and problems were 
translated into specific Thematic Objectives. These vary from improving the policy 
environment by adopting legislations that are congruent with the implementation of the 
State Obligations specified under the relevant Treaty. 

After which specific indicators were identified corresponding to each Thematic Objective 
at applicable levels: structure (e.g. Revised relevant laws on Anti-Squatting; Process 
(Increased in public awareness); and Outcome (Reduced number of illegal demolition). 



168 



Table 7- Sample Contents of Thematic Plan by Treaty 
(ICESCR & CRC) 





STRATEGIC TREATY 


BASELINE 


THEMATIC 




THEMATIC PROGRAMS, PROJECT & ACTIVITIES 








INDICATORS 




INFORMATION 


PERFORMANCE 
















THEMATIC 
OBJECTIVES 








TARGETS 


















INDICATO 


ACCOUNT 


MEDIUM 


ANNUAL 


PROGRAMS 


AREA 


RESPONSIB 


COMP 


EXPE 


LINKA 


RESOUR 




RS 


ABLE 








, PROJECTS 


S 


LE 


LETI 


CTED 


GE 


CE 






AGENCY/ 








& 


COVE 


AGENCIES/ 


ON 


OUTP 


WITH 


REQUIRE 






BRANCH 








ACTIVATES 


RED 


ORGANIZAT 
IONS 


DATE 


UTS 


OTHER 
PLANS 


MENTS 


International C 


ovenant on Economic, Social and Cultural Rights (ICESCR) 


















To review all 


Revised 


Congress 


Reported demolition 


Law 


2010 


1. Conduct of 


Nation 


Congress/Co 


2010 


Law 


MTPDP 


Incorporat 


existing 


relevant laws 


(Committee 


and eviction cases for 


providing 




consultations 


al& 


mmittee on 




provid 


/MDG 


ion of 


legislation 


to 


on Human 


the period of 2006-2007 


budget for 


1 . Advocacy 


with 


Local 


Human Rights 




ing 


(Goal 7) 


budgetary 


relevant to 


harmonize/en 


Rights) 


(Source: PCUP), 


resettlement 


& 


stakeholders 




LGUs 




funds 


HUDCC 


requireme 


the practice 


hance 




• 153 

viz : 


areas for 


consultations 


both duty- 




ULAP 




for 


Plan 


nts into 


of forced 


implementin 




a) For the year 2006, 


those 




bearers and 




HUDCC 




resettl 


NHA 


the GAA 


evictions to 


g 




monitored a total of 95 


affected by 


2. Local 


claimholders 




NHA 


2010 


ement 


Plan 


under the 


ensure its 


mechanisms 




demolition cases 


eviction 


ordinances 




Nation 


PAHRA 




areas 


LGU 


PPAof 


compatibilit 


and funding 




affecting 4,140 families 




implementin 




al 


NUPSC 






Plans 


concerned 


y with the 


scheme 




a.l) Just and 




gUDHA 






(National 








agencies 


provisions 


i.e. 




Humane - 36 










UHRBAn 




Lobby 






of the 


*UDHA 




demolitions affecting 




3. Local 


2. 




Poor Sectoral 




groups 






ICESCR 






1,688 families 




ordinance 


Organization 




Council) 




organi 






(UPR) 


* Anti- 
Squatting 
Law 




a.2) 
Summary - 59 
demolitions affecting 2, 
452 families. 




allocating 
budget for 
the provision 
of relocation 


of lobby 
groups 




NAPC 
Concerned 
CSO's 
MMDA 




zed 







169 



THEMATIC 
OBJECTIVES 


STRATEGIC TREATY 
INDICATORS 


BASELINE 
INFORMATION 


THEMATIC 

PERFORMANCE 

TARGETS 


THEMATIC PROGRAMS, PROJECT & ACTIVITIES 


INDICATO 
RS 


ACCOUNT 
ABLE 
AGENCY/ 
BRANCH 


MEDIUM 


ANNUAL 


PROGRAMS 
, PROJECTS 
& 
ACTIVITES 


AREA 
S 

COVE 
RED 


RESPONSIB 

LE 

AGENCIES/ 

ORGANIZAT 

IONS 


COMP 
LETI 
ON 
DATE 


EXPE 
CTED 
OUTP 
UTS 


LINKA 

GE 

WITH 

OTHER 

PLANS 


RESOUR 
CE 

REQUIRE 
MENTS 




Reduced 
number of 
incidents of 
illegal 
demolitions 




b) For the year 2007, 
monitored a total of 82 
demolitions affecting 8, 
320 families 

b.l) Just and 
Humane - 29 
demolitions affecting 
5,181 families. 

b.2) 
Summary - 53 
demolitions affecting 
3,139 families. 

c) For the year 2008, 
monitored 27 
demolition/eviction 
cases 

cl) 
Administrative 
demolitions - 19 
affecting 2,370 families 

c.2) Court 




sites 


3. Issuance of 
an Executive 
Order 
reinforcing 
PCUP's 
mandate as 
the sole 
clearing 
house prior to 
the conduct 
of eviction 


Nation 
al 




2010 


Execut 

ive 

Order 

issued 

with 

PCUP' 

s 

manda 

te as 

sole 

clearin 

g 
house 

reinfor 

ced 







170 





STRATEGIC TREATY 


BASELINE 


THEMATIC 




THEMATIC PROGRAMS, PROJECT & ACTIVITIES 








INDICATORS 




INFORMATION 


PERFORMANCE 








THEMATIC 
OBJECTIVES 








TARGETS 










INDICATO 


ACCOUNT 


MEDIUM 


ANNUAL 


PROGRAMS 


AREA 


RESPONSIB 


COMP 


EXPE 


LINKA 


RESOUR 




RS 


ABLE 








, PROJECTS 


S 


LE 


LETI 


CTED 


GE 


CE 






AGENCY/ 








& 


COVE 


AGENCIES/ 


ON 


OUTP 


WITH 


REQUIRE 






BRANCH 








ACTIVrTES 


RED 


ORGANIZAT 
IONS 


DATE 


UTS 


OTHER 
PLANS 


MENTS 








ordered demolitions - 9 






activities 




















affecting 630 families 




















Convention on 


the Rights of the 


Child (CRC) 














To push for 


Child rights 


Congress 


DSWD has initiated 


Bills drafted 


2010- 


1. 




CWCs 




Revise 


Child 21 




continuing 


and child 




and/or supported bills 


and filed at 


Reviewed 


Review/form 




Comm. on 




d draft 


MTPDP 




development 


protection 


Committee 


on items 2,7,8, and 9 


both the 


different 


ulation and 




Family & 




bills 






of domestic 


measures 


on 




Senate and 


bills on the 


development 




Alternative 




formul 






legislation for 


enshrined in 


Children's 


CWC through its 


the HOR 


protection 


of/feedback 




Parental Care 




ated 






further 


legislation 


Welfare/Co 


structures conducted 




of children, 


to anti- 




League of 










protection of 




mmittee on 


activities that will 


Enacted 


prepared 


corporal 




Cities/ 




2. 






the rights of 


Increased 


Youth, 


support the passage of 


legislations 


agency 


punishment 




Municipalities 




Positio 






the child 


public 


Women 


the enumerated 


on the 


position 


bills and 




, NGOs (Save 




n 






under all 


awareness 


and Family 


proposed legislations 


legislative 


papers and 


other bills 




the Children) 




papers 






circumstances. 






Discrimination against 
children born out of 
wedlock exists 
STATISTICS? 

Draft revised Release on 
Recognizance bill done 
byPPA 


concerns (Are 
you targeting 
all these in 
the next 5 
years?) : 

1) child 
pornography 

2) foster care 


designed 

advocacy 

campaign 

2011 

organized 
lobby 
groups and 
advocacy 


affecting 
children (e.g. 
child 

pornography, 
prostitution, 
foster care, 
age of sexual 
consent, RH, 
DRR, etc) 








deliver 
ed 

3. 

Comm 

itment 

s from 

Congr 

ess/Se 







171 





STRATEGIC TREATY 


BASELINE 


THEMATIC 




THEMATIC PROGRAMS, PROJECT & ACTIVITIES 








INDICATORS 


INFORMATION 


PERFORMANCE 










THEMATIC 
OBJECTIVES 






TARGETS 












INDICATO 


ACCOUNT 


MEDIUM 


ANNUAL 


PROGRAMS 


AREA 


RESPONSIB 


COMP 


EXPE 


LINKA 


RESOUR 




RS 


ABLE 








, PROJECTS 


S 


LE 


LETI 


CTED 


GE 


CE 






AGENCY/ 








& 


COVE 


AGENCIES/ 


ON 


OUTP 


WITH 


REQUIRE 






BRANCH 








ACTIVrTES 


RED 


ORGANIZAT 
IONS 


DATE 


UTS 


OTHER 
PLANS 


MENTS 










3) banning 


campaign 


/intra-agency 








nate 












Existing laws do not 


corporal 


full swing; 


discussions 








obtain 












adequately protect 


punishment 


formulation 










ed 












children from all forms 


including 


of local and 


2. Clearly 




















of corporal, humiliating 


humiliation 


national 


articulated 








4. 












and degrading 


and 


legislations 


agency 








Suppo 












punishment especially 


degradation 




position on 








rt 












inside the home. 


of children in 


2012- 


corporal 








groups 












(STATISTICS?) 


all settings 
including the 


Participation 
in 


punishment, 
and other 








create 
d 












Bill on release of 


home 


Committee 


bills affecting 




















recognizance was 


4) increasing 


hearings and 


children and 




















awaiting deliberation by 


the age of 


discussion 


better 




















the Committee on 


statutory rape 


groups 


campaigns to 




















Justice 


5) 
legitimizing 


created at 
agency 


respective 
Congressmen 




















In 2006, the United 


children born 


levels 


/ Senators 




















Nations (UN) adopted 


to underage 
























the Paris Principle on 


parents 




3. 




















Children Associated 


6) amendment 




Participation 




















with Armed Forces or 


to RA 7610, 




in committee 




















Armed Groups. It states 


specifically to 




hearings and 




















that any person below 18 


children as 




TWGs/Legisl 















172 



THEMATIC 
OBJECTIVES 


STRATEGIC TREATY 
INDICATORS 


BASELINE 
INFORMATION 


THEMATIC 

PERFORMANCE 

TARGETS 


THEMATIC PROGRAMS, PROJECT & ACTIVITIES 


INDICATO 
RS 


ACCOUNT 
ABLE 
AGENCY/ 
BRANCH 


MEDIUM 


ANNUAL 


PROGRAMS 
, PROJECTS 
& 
ACTIVITES 


AREA 
S 

COVE 
RED 


RESPONSIB 

LE 

AGENCIES/ 

ORGANIZAT 

IONS 


COMP 
LETI 
ON 
DATE 


EXPE 
CTED 
OUTP 
UTS 


LINKA 

GE 

WITH 

OTHER 

PLANS 


RESOUR 
CE 

REQUIRE 
MENTS 








years of age who is or 
who has been recruited 
or used by an armed 
force or armed group in 
any capacity including 
but not limited to 
children, boys and girls, 
used as fighters, cooks, 
porters, messengers, 
spies or for sexual 
purposes are considered 
'child soldiers.' It does 
not only refer to a child 
who is taking or has 
taken a direct part in 
hostilities. In 2006, the 
United Nations (UN) 
adopted the Paris 
Principle on Children 
Associated with Armed 
Forces or Armed 
Groups. It states that 
any person below 18 


Zones of 
Peace 
7) 

harmonization 
of inter- 
country and 
domestic 
adoption 
8) magna 
carta for day 
care workers 

9) 

reproductive 
health bill 

10) removing 
classification 
of children as 
"legitimate" 
and 

"illegitimate" 
(HB 455) 

11) anti- 
prostitution 




ative 

Consultative 
Meetings at 
National and 
Local levels 

4. Advocacy 
and campaign 
plan for the 
passage of 
laws 

protecting 
children from 
abuse, 
exploitation 
and violence 

a. 
Briefings 
with Senators 
and 
Congressmen 

b. Letter 















173 



THEMATIC 
OBJECTIVES 


STRATEGIC TREATY 
INDICATORS 


BASELINE 
INFORMATION 


THEMATIC 

PERFORMANCE 

TARGETS 


THEMATIC PROGRAMS, PROJECT & ACTIVITIES 


INDICATO 
RS 


ACCOUNT 
ABLE 
AGENCY/ 
BRANCH 


MEDIUM 


ANNUAL 


PROGRAMS 
, PROJECTS 
& 
ACTIVrTES 


AREA 
S 

COVE 
RED 


RESPONSIB 

LE 

AGENCIES/ 

ORGANIZAT 

IONS 


COMP 
LETI 
ON 
DATE 


EXPE 
CTED 
OUTP 
UTS 


LINKA 

GE 

WITH 

OTHER 

PLANS 


RESOUR 
CE 

REQUIRE 
MENTS 








years of age who is or 
who has been recruited 
or used by an armed 
force or armed group in 
any capacity including 
but not limited to 
children, boys and girls, 
used as fighters, cooks, 
porters, messengers, 
spies or for sexual 
purposes are considered 
'child soldiers.' It does 
not only refer to a child 
who is taking or has 
taken a direct part in 
hostilities. 


bill 

12) bill on 
statutory rape 
(anti-child 
abuse bill) 

13) release on 
recognizance 
bill 




brigade 

c. Press 
Releases 

d.Developme 
nt of 
documentarie 

s 









































174 



The project is still ongoing and is not yet in stage of evaluating the outcome. However 
the baseline study that was conducted for each human rights issue under each treaty 
would certainly help in evaluating the outcome of the NHRAP five (5) years hence. 

2. Process Analysis of HRBA Application 

The Thematic Planning under the NHRAP was definitely institutionalized through the 
various directives, activation of the NHRAP Task Force, formation of eight (8) thematic 
Clusters and issuance of the following policies and guidelines: NHRAP Formulation 
Guidelines using HRBA; conduct of Rights-Based Baseline Study; HRBA Tracking 
Guide on both Content & Process of the NHRAP; and HRBA in Legislative and 
Administrative Measures. The eight (8) Thematic Plans are stand alone documents that 
reflect a rights-based formulation of legislative, administrative and program measures 
that are human rights-based. Through the HRBA, the thematic plans have yielded to a 
rights-based identification and prioritization of legislative and administrative measures to 
be pursued by the lead agencies. Among the many measures identified by the different 
thematic clusters of government and civil society groups are: 

ICESCR Thematic Plan. Among the priority rights-based measures crafted are: the 
formulation & Issuance of a Policy Circular on the use of the RBA in Agency /LGU 
Planning; conduct of policy study on justiceability of ESCR/identify laws or provisions 
that can be used in enforcing ESCR; amendment of the Revised Penal Code for the 
inclusion of ESCR violations as felonies/Passage of a law providing penalties & 
sanctions for violations of the ESCR; ratification of the Optional Protocol of the ICESCR 
adopted by the UN General Assembly (proposed by ESCR-Asia); legislation 
Strengthening the CHRP by giving it quasi-judicial powers and increasing its jurisdiction 
to include ICESCR violations; Allocation of adequate financial resources for 
investigation & monitoring functions; formulation of a bill that would increase the 
national budgetary allocation for health or specifically a law amending LGC to make it 
mandatory to allocate 5% of IRA for health {Source: DOH); enactment of law to achieve 
universal heath care through Phil Health by lowering the minimum amount & number of 
contributions for informal labor; enacting measures to give access to health care, in 
particular to sexual and reproductive health services for women ;p passage of a law for 
the amendment of the Labor Code of the Philippines and of the Social Security Act for 
the inclusion in their coverage members of the informal economy; law suspending 
automatic appropriation of government funds for debt servicing and prioritizing social 
services; policy study on the feasibility of bilateral/multi-lateral negotiations or 
agreements and treaty for debt-services swap; government mechanism to enforce & 
sanction violations of labor standards compliant with ICESCR especially implementation 
of accountability monitoring of Wage Boards & regulatory agencies, among others; and 
policy review on the implementation of the Indigenous Peoples Rights Act of 1997 and 
Philippine Mining Act of 1995 (RA 7942) thereby recommending policy measures to 
regulate economic activities connected with the exploration, development and utilization 
of natural resources, particularly mineral resources 



175 



ICCPR Thematic Plan. The major measures prioritized are : policy Studies on Enactment 
of Legislations on/ or related to civil & political rights to ensure that legislations enacted 
are consistent with ICCPR provisions; conduct review of proposed bills as to ICCPR 
compliance; and conduct of policy study through intra-pillar and inter-pillar, dialogues, 
fora & workshops To institute a coordinated performance accountability and monitoring 
system following international standards of fairness, among the five (5) pillars of the 
criminal justice system, among others 

CRPD Thematic Plan. Priority measures under this treaty include: organization of 
technical working group to review, discuss and document propose amendments to BP 
344 and RA 7277 and consolidation of proposals, position papers coming from the 
regions, provinces, cities and other stakeholders; laws adopted by the local government 
units into Ordinance, Resolutions, Executive Orders To mainstream human rights 
standards through the implementation and monitoring of domestic policies, plans, 
programs by government agencies, for the enjoyment all Filipinos with disability; and 
strengthening of existing Self-Help Groups as lobby groups in the regions, provinces, 
cities, municipalities and barangays to assist in the passage of local/ national legislations, 
among others. 

CRC Thematic Plan. Specific policy studies and legislative advocacies to be pushed to 
the passage of legislations that are compliant with the CRC, as follows: Child 
pornography; Foster care; Banning corporal punishment including humiliation and 
degradation of children in all settings including the home; Increasing the age of statutory 
rape; Legitimizing children born to underage parents; Amendment to RA 7610, 
specifically to children as Zones of Peace; Administrative certification of DSWD to 
declare a child legally available for adoption; Harmonization of inter-country and 
domestic adoption; Magna Carta for day care workers; Reproductive health bill; 
Removing classification of children as "legitimate" and "illegitimate" (HB 455); Anti- 
prostitution bill; Bill on statutory rape (anti-child abuse bill); and Release on 
recognizance bill. 



CMW Thematic Plan. The thrusts of the NHRAP under this treaty cover: Negotiations of 
bilateral agreements with other receiving countries specially where incidence of 
discrimination and abuse are more frequent and sustaining advocacy for bilateral 
agreements specially with those countries of destination where discriminatory treatment 
and abuse are more frequent; establishment of additional offices abroad/ expansion of 
existing POLOs, and to have their additional personnel, which should be in proportion to 
the number of migrant workers residing within their respective jurisdictions to provide an 
effective and available recourse for aggrieved migrant workers while in the host country; 
amendment of Migrant Worker's Act (RA No. 8042), specifically adding provisions 
relative to medical assistance to migrant workers and other matters which are consistent 
with CMW; and negotiations of bilateral agreements which provide social security to 
migrant workers To provide social security to migrant workers in their State of 
employment with the same treatment granted to their own nationals, among others. 



176 



CEDAW Thematic Plan. Under the treaty, the priority measures adopted are: adoption of 
a Policy Instrument that directs service providers to apply Rights Based (RB) and Gender 
Sensitive (GS) principles in responding to VAW cases To enhance the capacity of the 
justice system to effectively and efficiently implement existing laws that protect and 
uphold the rights of women against gender-based violence; development of a national 
VAW case/ complaint tracking system that will monitor and assess application of the 
Anti-VAW Laws; programs, Projects and Activities that capacitate claim-holders and 
duty bearers to support the Bills proposed under the Women's Priority Legislative 
Agenda; and increased Reference to CEDAW in policy formulation, program & project 
development, court decisions, and other public documents, among others 

CAT Thematic Plan. The major measures prioritized are: appropriate legislation is 
enacted consistent with CAT/ OPCAT; and preventive and protective mechanisms in 
accordance with CAT/ OPCAT and heightened awareness of and respect for HR by state 
agents, among others. 



F. Evidence-Based HRBA Indicators Generated from the project 

In the process of using HRBA in the NHRAP, the following success indicators have 
shaped up: 

1 . The extent to which identified needs are translated or matched with specific 
human rights; 

2. The extent to which duty-bearers commit to certain human rights targets and 
performance indicators, programs and projects and corresponding resource 
requirements; 

3 . The level of agreement and reconciliation of duty-bearers and claimholders on 

their perspectives of certain human rights issues and how to resolve them; 

4. The extent and degree of participatory consultation with vulnerable groups 
especially on human rights issues that affect them; and 

5. The various legislative, administrative and program measures that were 
identified to correspond to each identified priority rights to be addressed. 

G. User Satisfaction on the HRBA 

The eight (8) lead agencies (represented by the focal persons) that are currently 
shepherding the use of HRBA in the national thematic planning and multi-sectoral 
consultations expressed in the User Satisfaction Rating Questionnaire the following 
feedback and assessment of the HRBA as they have applied it, as of this stage: 



177 



The agencies expressed that the HRBA gave them a specific pattern to follow as to where 
to start and where to go in concretizing the issues that affect the vulnerable sectors with 
great straight forwardness in terms of rights and the conditions of these rights of the 
affected sectors. This was made possible through the various guidelines and guidebooks 
issued by the PHRC on the HRBA, the orientation as well as the training given on the 
preliminary use of the approach for thematic planning. 

However, what facilitated most in the use of the HRBA is the advantage of having 
familiarity with the various human rights treaties. Since the approach exacts the 
fulfillment of both the obligations of the government and the entitlements of the 
vulnerable sectors, the HRBA proved to be very demanding, difficult and tedious. The 
areas of difficulty expressed by PHRC agencies is the hurdle involved in getting the 
commitment of the government of agencies that were identified by civil society 
organizations that should be responsible for responding to specific human rights issue or 
concern. Since the HRBA is rooted from the ground, the process involves a long process 
of consultation with the affected vulnerable sectors; Therefore, the processes needed 
considerable amount of time and effort for the lead agencies to reach out to the 
vulnerable sectors. In addition, HRBA is very exacting in providing the information and 
statistics corresponding to the application of human rights standards as provided under 
each treaty and in applying the perspective of right in planning, which made the agencies 
experienced a tug of war between rights and needs during the consultative thematic 
planning. 

Institutional support and commitment would make the implementation of the HRBA 
easier. HRBA mainstreaming in the agency planning can be easily done without running 
counter with existing policies and practices of agencies, to include matters involving the 
use of resources, both human and material resources. This would also facilitate the 
openness of the consultation process, which exposes government agencies to the 
militancy of some non-government organizations and the management of the protracted 
process of consultation involved in the development of the plan in order to comply with 
the comprehensiveness and interrelatedness of human rights issues and concerns. 



The eight (8) lead agencies were in agreement in stating that the HRBA guides them in 
the implementation of the various International Human Rights Treaties specifically in the 
following areas: providing focus on the human entitlement of the vulnerable sectors when 
doing the planning activity; identifying programs, projects and activities not in terms of 
needs but in terms of the rights of the vulnerable groups; defining the entire plan through 
a systematic method of applying human rights obligations of the government and human 
rights entitlements of the vulnerable groups; reorienting the different plans, programs and 
projects of the government agencies and offices; and applying a deliberate and 
unconditional focus on human rights in planning and assigning resources. 



While the eight (8) lead agencies expressed very positive feedback on the use of the 
HRBA, they recognize that some considerations will help improve its effective use as 



178 



follows: specialized training for all agencies in the application of HRBA in planning; 
development and issuance of more information materials on the application of the 
approach in government programs; popularization and operationalization of HRBA down 
to the smallest LGUs; application of HRBA in all government policies and programs; 
training of both duty-bearers and claimholders on human rights obligations and human 
entitlements; tightening of agency responsibility over specific human rights instrument to 
ensure accountability; including HRBA as Key Result Area especially of the law 
enforcement agencies; sustaining and strengthening the coordinative function of the 
PHRC with the highest possible leadership's support; and incorporating the use of HRBA 
is an important approach to budget planning to ensure fiscal support to the application of 
human rights standards in the various programs, projects and activities of the agencies. 



H. Lessons Learned from HRBA Practice 

As earlier mentioned, the combined conventional and non-conventional interventions on 
HRBA proved to a large extent, the effectiveness of HRBA. This case showcases HRBA 
as a complementing and not a supplanting approach to facilitate compliance with treaty 
implementation in the country. 

1. HRBA Application in the Project 

While the application of the HRBA in the National Action Planning of the PHRC was 
instituted through a directive, that itself did not guarantee compliance. The PHRC being 
the proponent of the project undertaking had to institute a system of orientation and 
coaching to ensure the application of the HRBA in both the process and content of the 
different Thematic Plans under the responsibility of lead agencies. 

Learning about the eight (8) treaties did not happen overnight. Members of the Thematic 
Cluster, both the GOs and NGOs, needed sometime to internalize the provisions of each 
treaty. 

The HRBA is not that easy to learn. It took the thematic clusters about two to four 
rounds of consultations for them to adequately identify the human rights standards that 
apply to specific human rights issues, the formulation of objectives, the determination of 
strategic human rights indicators at the level of structure, outcome and process, 
identification of core accountabilities of concerned government branches/agencies and 
the process of commitment building with concerned government branches and agencies 
with respect to their respective performance targets both in the medium (2010 -2014) and 
annual term. Coupled with this, the process of identifying the appropriate programs, 
projects and activities that would contribute to the attainment of the performance targets 
that are linked to the various human rights indicators per treaty was a long process too. 

The PHRC wanted to pursue as much consultation as possible reaching out to as many 
organizations representing the different vulnerable sectors. However due to funding 
constraints, the consultations were limited to a series of thematic cluster meetings and 



179 



one multi-sectoral consultation. This was further augmented with networking through the 
email for possible critic and feedback from various organizations comprising the sectors. 

The lead agencies represented by their designated focal persons were responsible for 
ensuring that the HRBA is applied in the plan formulation. However, due to the different 
degrees of internalization and exposures of the focal persons in HRBA practice, the 
application of the HRBA also varied in levels of adequacy and appropriateness. The 
coaching system on the HRBA application was not sufficient to guarantee effective 
implementation of the HRBA in the NHRAP. 

Hence due to the bureaucratic nature of government organizations, the whole consultation 
process applied in the NHRAP formulation did not suffice to ensure that internalization 
of the HRBA was achieved at the institutional level. The focal persons of the lead 
agencies in this case internalized HRBA application more. It will take awhile before the 
focal persons will be able to perform an institution-wide echoing of the HRBA process. 

In order to manage the limitations of the PHRC and the lead agencies, the Committee 
engaged the assistance of the Commission on Human Rights of the Philippines (CHRP) 
to assist the lead agencies and the NEDA Regional Offices in the conduct of continuing 
orientation and coaching on HRBA in the course of the NHRAP plan formulation. 



The formation of the NHRAP Task Force and the Thematic Clusters facilitated the wider 
application of the HRBA in the plan formulation. However, this was possible only at the 
technical level. It only assumed that the Heads of Agencies are indeed knowledgeable on 
HRBA. The issuance of guidelines and Guide Books at different stages of the plan 
formulation helped in improving the quality of the NHRAP thematic Plans. 

This is as far as the planning stage is concerned. The PHRC has to implement a strong 
capacity building program for both the duty-bearers and claimholders in order to ensure 
success of the NHRAP especially the application of the HRBA in designing specific 
NHRAP programs, projects and activities. 

Ideally, the HRBA should be directly implemented in drawing up agency plans, meaning 
it should be mainstreamed into the country's development planning process so that there 
will be no need to draw up a separate NHRAP. It will take time for government to be 
truly committed to using the HRBA as an approach to its development planning 

Under the Thematic Plan of the ICESCR Thematic Cluster, it identified the issuance of 
an Executive Order and implementing guidelines that will mainstream the use of HRBA 
into the development planning of the country. This is the only way to make this 
sustainable. In the meantime, PHRC has the burden and responsibility of seeing to it that 
HRBA is applied by the government agencies as mandated under Administrative Order 
163. 



180 



At the time of the writing of this case study, the draft NHRAP Thematic Plans 
corresponding to the eight (8) International Human Rights Treaties are undergoing 
validation at the regional level through the involvement of the NEDA Regional Offices 
and the regional counterparts of the PHRC's Lead Agencies. The validated plan will 
undergo multi-sectoral consultations at the area level (composed of five (5) Clusters of 
Regions) for the much-needed local dimensions on the prevailing human rights situations 
preferably at the provincial level. LGUs will be invited to such consultation to include 
the 14 basic sectors, human rights NGOs and other interest groups. 

As mentioned earlier, the NEDA has committed itself to instituting the HRBA under its 
Thematic Plan for ICESCR. While the PHRC can very well institute policies and 
systems to make HRBA practice sustainable, the lack of continuous advocacy, 
information materials and documentation of HRBA practices in the country contribute to 
such limitations of HRBA practice in both the government and non-government sectors. 

Of crucial importance to the NHRAP will be the development of appropriate tools for the 
desired rights-based design and implementation of the various programs, projects and 
activities identified under medium and annual targets of the eight thematic plans for 
2009-2014. 

In the immediate the PHRC is in the process of coordinating the finalization and 
integration of the NHRAP, and also, preparing for the area consultations. This will be 
followed by a multi-sectoral consultation upon the completion of the area consultations 
into the NHRAP Thematic Chapters under the charge of the lead agencies. 

2. Institutional Strengthening 

The only way to strengthen institutional arrangements on HRBA is to incorporate its 
continuous advocacy and training support in the budgets of the government agencies. As 
deduced from the case certain strategies would work in the replication and sustainability 
of HRBA. These strategies may urge the NEDA consider mainstreaming the HRBA into 
the country's development planning process under the charge of its operating unit 
coordinating the process formulation of the Medium Term Philippine Development Plan 
(MTPDP). In addition, the NEDA to assist the Department of Budget and Management 
(DBM) in incorporating and or mainstreaming of the HRBA into the processes and 
requirements of the Annual Budget Call. 

Given the experience of the eight (8) lead agencies on HRBA in the NHRP, they could be 
encourage to apply the same approach to their respective agency planning and likewise, 
the CHRP could form a bureau that will advise government on HRBA as part of its 
advisory role. The CHRP should also engage in developing HRBA advocacy, training 
and case materials as reference for its continued application by both the government and 
non-government sectors. 



181 



3. Building HRB A Capacities 

Building capacities on HRBA in the case of this project will entail a lot of resources, 
which would require the assistance of development partners. The lead agencies will have 
to go through specialized trainings and technical assistance on the application of the 
normative content especially in planning, budgeting, services delivery and budgeting that 
will help agencies achieve the progressive application of human rights standards. 

4. Replicability of HRBA practice 



HRBA in the NHRAP formulation is highly replicable at the regional level through the 
Regional Development Councils (RDCs). However, the delays in the issuance of a 
presidential directive to the RDCs on the formulation of the RHRAP impeded the 
expected replication. 

The replication of the HRBA process should be thoroughly planned. It could be done 
either through mainstreaming the HRBA in country's development planning in totality or 
in the formulation of the successor NHRAP in 2015 -2019. 

An inter- agency working group composed of the NEDA (as the central planning agency); 
DBM and the eight lead agencies of the PHRC could be formed to formulate guidelines 
for the mainstreaming of HRBA in the country's development planning. The CHRP may 
be invited, from time to time, in the deliberation of the committee on advisory capacity. 



This case best exemplifies the HRBA conceptual framework and operational definition. 
As practiced in this case, all the core elements of HRBA were operationalized through 
the use of HRBA resource persons, tools, orientation, training and continuous dialogue 
both at the policy and program levels. 



182 



CHAPTER 9 

SUMMARY, CONCLUSIONS, FUTURE DIRECTIONS, 
RECOMMENDATIONS AND IMPLICATIONS 

This chapter integrates the results of the study focused on its contributions to the efficacy 
of the use of the approach and to the discipline of public administration and governance. 
Conclusions are inferred with respect to the validity of the conceptual and operational 
frameworks that would warrant its application for the institutionalization, sustainability 
and replicability of the approach. 

A. Summary of Case Analysis 

This section presents a summative analysis of the empirical findings of the study through 
a cross-case analysis. However, this portion of the analysis does not seek to undermine 
the value of each of the case studies conducted.. Across all the cases, the following set 
of observations was drawn from the sample cases. Based on empirical findings, this 
study observes and postulates that HRBA: 



• 



Adds the practice of fundamental human rights principles in development and 
governance interventions; 

Adds force to the implementation of human rights standards through 
implementation of state obligations and human entitlements that serve to 
strengthen accountability and empowerment; 

Adds value as method and tool that enhance existing processes of development or 
governance projects or initiatives; 

Adds to evidence-based generation of HRBA success Indicators through the 
actual outputs and outcomes 



Table 8 below shows the empirical evidence under each of the four observations, 
which are referred to, as the parameters for successful mainstreaming of HRBA into 
development and governance initiatives. 



• 



• 



183 



TABLE 8 - COMPARATIVE ANALYSIS OF CASES 
BY EMPIRICAL EVIDENCE GATHERED 



Criteria 


Case 1 


Case 2 


Case 3 


Case 4 


Case 5 


Case 6 


Adds the 


• Attention to 


• Accountabi- 


• Accounta- 


• Empowerm 


• People's 


• Accountabilit 


practice of 


Vulnerable 


lity 


bility 


ent 


participatio 


y 


fundamental 


Groups 


• Empowerm- 


• Universa- 


• Participatio 


n 


• Empowerm- 


human 


• Accountabil 


ent 


lity 


n 


• Empowerm 


ent 


rights 


ity 


• Participation 


• Transparen 


• Universalit 


ent 


• Participation 


principles in 


• People's 


• Transpa- 


cy 


y 


• Accountabi 


• Transparency 


development 


Participatio 


rency 




• Interrelated 


lity 


• Non-Discrim- 


and 


n 


• Non-Disc 




ness 


• Transparen 


ination 


governance 


• Empower- 


rim- 






cy 


• Attention to 


intervention 


mint 


inaction 






• Non- 


Vulnerable 


s 


• Equity 


• Attention to 






discredit- 


Groups 




• Universality 


Vulnerable 
Groups 

• Universality 

• Equality 

• Indivisibility 

• Interrelated- 
ness 

• Interdepende 
nee 






nation 


• Universality 

• Equality 

• Indivisibility 

• Interrelated- 
ness 

• Interdepende 
nee 


Adds force 


• Current 


• HR standards 


• Applied 3 


• Applied 3 


• Applied 


• Applied 3 


in the 


labor laws 


applied to 


levels of 


levels of 


respect and 


levels of 


implementat 


reviewed 


MDGs 


HR 


HR 


protect 


obligations 


ion of state 


vis-a-vis 


• Community- 


Obligation 


obligations 


levels of 


in NHRAP 


obligations 


internationa 


level planning 


s: respect, 


in the 


HR 


plan through 


and human 


1HR& 


of activities to 


protect & 


design of 


obligations 


policies, 


entitlements 


Labor 


implement 


fulfill 


the Change 


in 


programs 


that serve to 


Standards 


rights-based 


• Accounta 


managemen 


community 


and projects 


strengthen 


• Application 


MDGs 


ble 


t Guide 


issues & 


identified 


accountabilit 


ofHR& 


• Barangay/Cit 


govern- 


• Accountabi 


problems 


• Conclu-ding 


y and 


labor 


y Officials 


ment 


lity of 


raised 


observations 


empowerme 


standards to 


and local 


agencies 


reorganizin 


• Invoked 


under each 


nt 


sub-sectors 


agencies 


matched 


g 


rights 


Treaty 




of informal 


made to 


RTF 


government 


entitlement 


regarding 




sector 


commit to 


Indicators 


agencies 


s in 


State 






deliver HR 


with their 


defined 


community 


failures used 






compliant 


respect- 




actions 


as basis for 






services 


vie man- 
dates 




• Exercise of 
Individual 
Rights and 
duties 
towards the 
community 


planning 


Adds value 


• Called 


• City& 


• Mainstream 


• UsedHR 


• HR 


• Used HRBA 


to existing 


attention of 


barangay 


ed HRBA 


standards & 


mainstream 


in cluster or 


processes of 


government 


officials given 


to 


principles 


ed into 


sector 


development 


authorities/ 


HRBA 


indicators 


in 


public 


planning 


or 


agencies on 


orientation & 


setting on 


government 


journalism 


• Used HRBA 



184 



Criteria 


Case 1 


Case 2 


Case 3 


Case 4 


Case 5 


Case 6 


governance 


applicable 


training 


Right to 


reorganizati 


and local 


in sectoral 


methods and 


HR 


• Barangay 


Food (RTF) 


on at 


governance 


and regional 


tools 


standards to 


planning and 




agency 




consultations 




informal 


resolution 




level 




• Applied HR 




sector 


used to adopt 

rights-based 

MDGs 








principles & 
standards in 
NHRAP 
content & 
process 


Adds to 


• Targeted 


• Massive 


• Converted 


• Provided 


• Agree- 


• Needs of 


evidence- 


and 


people's 


present 


HR 


ments and 


Sectors linked 


based 


mobilized 


participation 


RTF 


safeguard 


commitmen 


toHR 


generation 


participatio 


at barangay 


indicators 


for due 


ts that bear 


• Legislative, 


of HRBA 


n of sub- 


level 


to rights- 


process in 


HR duties 


Administrativ 


Success 


sectors of 


• Vulnerable 


based using 


reorganizati 


& 


e & program 


Indicators 


informal 


sectors at 


normative 


on, 


responsibili 


measures 


through the 


sectors both 


barangay 


criteria 


remedies 


ties of local 


formulated 


actual 


at national 


level 




for 


government 


based on HR 


outputs and 


& regional 


identified and 




grievances 


agencies 


standards 


outcomes 


levels 
• Drawn 
rights- 
based 
legislative 
proposal 
for the 
Informal 
Sector 


made to 
participate 
• Political will 
of the 

city/barangay 
officials to 
implement 
rights-based 
MDGS 




& 

alternative 

livelihood 







The discussions below summarize the various empirical findings and observations 
discovered by the study under each HRBA parameter: 



1 . Adds the practice of fundamental human rights principles in development and 
governance interventions 



The first contribution of this study relates to the empirical based-added value of human 
rights principles to both development and governance interventions. While the six (6) 
cases exemplify in varying degrees the application of the fourteen (14) human rights 
principles, the cross-case anlysis delves on at least three clustering of human rights 
principles, which were predominantly applied. However, it does not preclude the mention 
of other related human rights principles that were found evident in the findings of the six 
(6) cases. These clusters of human rights principles are: 



185 



a) Attention to Vulnerable Groups and People's Participation, which are inherent to 
the content of good and democratic governance; 

b) Accountability, Non-discrimination and Equality, which are inherent to the 
content of human rights; and 

c) Empowerment as the overarching human rights principles that guide both 
development and governance. 

In terms of governance, the most dominant use of the principles of accountability based 
on human rights obligations and empowerment based on human entitlements, were 
observed in all the cases. In terms of development, the principles of attention to 
vulnerable groups, people's participation, were likewise demonstrated by the cases. 



TABLE 9 - OPERATIONALIZATION OF HR PRINCIPLES 
PER PROJECT STAGE 



CASES 




OPERALIZATION OF HR PRINCIPLES 




ASSESSMENT 


DESIGNING OF 


IMPLEMENTATION 






DEVELOPMENT 


OF CAPACITY 






STRATEGY AND 


BUDLDING 






PROGRAM 


STRATEGffiS 



CASE 1- 

LEGAL 

EMPOWERMENT 
OF THE POOR 
CASE 2- 

DEVELOPING SN. 
FERNANDO CITY 
AS A RESOURCE 
CITY FOR BEST 
PRACTICE IN 
RIGHTS-BASED 
LOCALIZATION OF 
THE MDLLENNIUM 
DEVELOPMENT 
GOALS 
CASE 3 

RIGHT TO FOOD 
PROJECT 
CASE 4 

rMPLEMENTING 
E.O. 366: A 
PRACTICAL GUIDE 



• Attention to Vulnerable 
Groups 



Attention to Vulnerable 

Groups 



Attention to Vulnerable 

Group 



Participation 



• Accountability 

• Equity 

• Empowerment 



Accountability 
Equity 
Universality 
Indivisibility and 
Interrelatedness 



• Accountability 

• Empowerment 



• Accountability 

• Equity 

• Empowerment 



• Attention to 

Vulnerable Groups 
Empowerment 



Empowerment 



Empowerment 



186 



FOR MANAGING 

THE CHANGE 

PROCESSES OF 

THE 

RATIONALIZATION 

PROGRAM 

CASE 5 

MEDIA- 
COMMUNITY 
ACTION ON 
MAINSTREAMING 
HRBA AT THE 
LOCAL LEVEL 
DEVELOPMENT 
CASE 6 



NATIONAL HUMAN 
RIGHTS ACTION 
PLANNING 



Attention to Vulnerable 
Groups 



Accountability 
Empowerment 
Attention to Vulnerable 
Groups 



Accountability 

Equity 

Empowerment 



Empowerment 



• Universality 

• Interdependence and 
interrelatedness of 
rights 

• Accountability 



Not at this stage yet 



a). Attention to Vulnerable Groups and People's Participation 

As part of this contribution, the study also proved that HRBA adds to the practice of 
human rights principles that led to the more effective identification of vulnerable sectors, 
whose rights need protection. These principles were heavily observed in the assessment 
and planning stages of Cases 1, 2, and 5. In other cases, these principles were complied 
with through representation. At the onset, the six project cases made a careful 
identification of the various vulnerable and disadvantaged groups who experience major 
obstacles in the realization of their rights impeding the effectiveness of the development 
objectives of the projects. Across all the cases this principle was the primary target that 
is expected to correct inequalities in opportunities among the sectors of society. In Case 
1, the vulnerable sectors among the informal sectors participated actively in assessing the 
conditions of the sector, review of proposed policy papers, drafting of the Magna Carta, 
which fleshed out their development needs and poverty conditions vis-a-vis the rights 
pertaining to their access to justice, property rights, social justice and human rights and 
access to legal mechanisms. Case 2 also underscored the role of the vulnerable sectors in 
local communities. They were similarly engaged in identifying their development needs 
along the eight (8) MDGs but applying the relevant human rights pertaining to each of 
the MDG goals. Case 3 was designed for the poor and hungry, although there was no 
indication that they were involved in the process of identifying indicators on the right to 
food. Case 4 gave focus to the plight of public workers as the identified vulnerable sector 
in the government's rationalization program. More extensive involvement of the poor 
local communities were actively seen in three priority community issues on health, 
education and food security, citizen's voice in issues requiring governance transparency 
and accountability in specific areas of local governance. With reference to Case 6 more 
in-depth study on the condition of the vulnerable sectors were considered identification of 
specific human rights issues that affect the vulnerable and disadvantaged sector using as 



187 



guide, the concluding comments of the treaty bodies for the implementation of the 
international human rights treaties. 

b). Accountability, Non-Discrimination and Equality in the Planning and 
implementation of the projects 

Again, the inclusiveness of the practice of human rights principles that are governance 
linked, was made possible through HRBA. Premised on these principles the six (6) cases 
have made significant applications particularly in the planning and implementation of the 
projects. The inclusiveness of the participation of the vulnerable sectors and sub-sectors 
guaranteed non-discrimination in the project initiatives. Through the HRBA, 
accountabilities of government agencies in the project were established, to include 
commitment to specific performance targets. The most common findings across all the 
cases on the operationalization of these principles point to creation of ample avenues 
both at the national and local level to exact the accountabilities of both the government as 
duty-bearers and the individuals and communities as claimholders. Specific to Case 1, 
accountabilities among the participating government agencies were exacted in the 
identification and designing of policy measures and in the validation of these measures 
across the country.. A more pronounced demonstration of accountability was displayed 
in Case 2. The local government assumed accountability over capacitating the entire city 
community that prepared them to undertake a Rights-Based MDG Localization Planning. 



Another strategy for exacting accountabilities among government agencies was 
demonstrated in Case 3 on the basis of their respective mandates. These accountabilities 
were effectively mapped out. While Case 4 illustrates the initiative of the DBM to 
engage extensively the various lead agencies towards capacitating them for more 
accountable change management in their respective organizations. Case 5 demonstrates 
a more unique application of the principles of accountability and non-discrimination 
which resulted from negotiations and public actions among contending stakeholders A 
two-pronged design was used to establish accountability, which was not performed 
voluntarily by both government and non-state actors as duty-bearers, but realized through 
social pressure created by a media-community engagement. In Case 6, negotiation and 
persuasion characterized the manner by which accountabilities were exacted from the 
government agencies. On the basis of each of the human rights issues identified, specific 
obligations were matched together with an identification of strategic objectives and 
specific indicators to which a particular agency or agencies should be made accountable 
to deliver. No performance targets corresponding to each performance indicators were 
set without prior consultation with concerned agencies as part of the operationalization of 
the accountability principle. The process was long and tedious but the accountabilities 
were clearly defined. 



c) Empowerment as an overarching principle of both development and governance 



188 



Across all the cases, this principle was predominantly observed and applied in different 
ways but bearing human rights entitlements as the basis.. Cases 1 and 2 used the 
principle of empowerment both in policy planning and programming. Case 1 illustrates 
the empowerment principle both as a social and legal empowering process of engaging 
participatory and bottom up approach to addressing issues of poverty and powerless in 
the sector. It surfaced the issues on disempowerment such as inequity, inequality and 
unjust distribution of wealth and resources, as well as the factors that discriminate and 
emasculate the poor. 156 Case 2 demonstrates use of the empowerment principle at 
various stages of MDG programming at the local level. Through the engagement of the 
community empowerment process in problem solving and community planning for the 
MDGs. The same is true with Case 5 that demonstrates a grassroots-based empowerment 
in local communities involving identification of different reform issues on development, 
governance and peace and molding of public opinion and solution to these reform issues 
and concerns with diverse media intervention strategies. 

Cases 4 and 6 have laid out the policy framework and implementation of guidelines for 
empowering vulnerable sectors. In Case 4, the empowerment principle was observed 
through the provision of alternative programs and mechanisms of redress of affected 
employees of the rationalization program of the government. While Case 6 

exemplifies the total engagement of each of the vulnerable groups under each of the 
human rights issues identified, objectives established, performance targets and measures 
identified to improve a given human rights condition. The planning template and process 
provided ample opportunities for such engagement of the vulnerable sectors at every 
stage of the planning process. The tracking guide, which was presented in the earlier 
section, warranted the attainment of empowerment among the vulnerable sectors. The 
tracking guide provided assurance for the empowerment of both the duty-bearers and 
claimholders who were identified to actively participate in a 36 Steps-Tracking Guide 
issued by the PHRC as guide to organizers, planners and mobilizers for the NHRAP and 
RHRAP formulation. 



2. Adds force to the implementation of human rights standards through 

implementation of state obligations and human entitlements that serve to strengthen 
accountability and empowerment 

The second contribution of the study is that of showing empirical evidence that both 
accountability and empowerment could be strengthened through a treaty-based 
implementation of human rights obligations and entitlements. The use of the HRBA 
requires both the implementation of State obligations and human rights entitlements as 
the key approach to defining both accountability and empowerment.. The six 
instrumental cases illustrate some concrete examples on how HRBA has given force to 
the identification of relevant rights of the vulnerable sectors that are affected through the 

1 CO 

careful identification of State Obligations and human rights entitlements . All the six 
cases have in fact, successfully analyzed development needs of their respective 



189 



communities and target vulnerable groups in terms of identifying the applicable human 
rights as guaranteed under the relevant treaties as discussed in each of the cases. . 

Likewise, corresponding to each right, the accountable agencies and their responsibilities 
have been identified. The same thing with the network of vulnerable and marginalized 
groups that are affected by particular rights that were matched with their development 
needs. Table 10 shows such analysis that was used to design the strategies and programs 
of concerned duty-bearers and claimholders that were involved in the project cases. 



TABLE 10 - APPLICATION OF RELEVANT RIGHTS AND 
ACCOUNTABILITIES 



CASE 1 - 


CASE 2- 


CASE 3 


CASE 4 


CASE 5 


CASE 6 


LEGAL 


DEVELOPING 


RIGHT TO ] 


IMPLEMENTING 


MEDIA- 


NATIONAL 


EMPOWERMENT 


SN. FERNANDO 


FOOD E.O. 366: A 


COMMUNITY 


HUMAN 


OF THE POOR 


CITY AS A 


PROJECT PRACTICAL 


ACTION ON 


RIGHTS 




RESOURCE 


( 


3UIDE FOR 


MAINSTREAMING 


ACTION 




CITY 


MANAGING 


HRBA AT THE 


PLANNING 






( 


CHANGE 


LOCAL LEVEL 








PROCESSES 


DEVELOPMENT 




• Access to justice 


• Right to Work 


• Right to 


• Right 


• Right to Health 


All rights 


and rule of law; 


• Right to 


Food as to 


to 


• Right to food 


guaranteed 


• Property rights, 


Education 


availability 


Work 


• Right to Services 


under the 8 


• Rights to Work 


• Right to Health 


, 


• Right to 


• Right to Good 


International 


• Right to Social 


• Right to Food 


accessibilit 


Remedies 


Governance 


Human 


Security 


• Right to ENV. 


y> 






Rights 




• Right to Water 


adequacy, 
etc 






Instruments 


ACCOUNTABLE AGENCIES -DUTY-BEARERS 








• Government 


• City/Barangay 


. NEDA 


- OP; 


• LGUs 


• All 


financial 


Councils 


. DTI- 


. DA 


• DENR 


branches 


institutions 


. DA 


BTR • 


. DENR 


• DepED 


of 


• DSWD-SEAK 


• DSWD/CSWD 


CP 


. DOH 


• Devolved 


governm 


. DOLE 


. DOH 


. DAR 


. DFA 


agencies DOH, 


ent, 


. DTI 


• DepED 


. DA 


. DOLE; 


DSWD 


executive 


• LGUS 


• LSB 


. NFA 


. DILG; 




agencies, 




. CHRP 


. NFAC 


. DPWH 




LGUs 




• CIVIC 




. DTI 




and 




GROUPS 




. NEDA 




devolved 




. RELIGIOUS 




. DOTC 




agencies 




. ETC. 




. HUDCC 
. CHED 
. PIA 
. NCDP 
. NIA 
. NPO 

> NSO 

> Etc. 







190 



CASE 1 - 


CASE 2- 


CASE 3 


CASE 4 


CASE 5 


CASE 6 


LEGAL 


DEVELOPING 


RIGHT TO 


IMPLEMENTING 


MEDIA- 


NATIONAL 


EMPOWERMENT 


SN. FERNANDO 


FOOD 


E.O. 366: A 


COMMUNITY 


HUMAN 


OF THE POOR 


CITY AS A 


PROJECT 


PRACTICAL 


ACTION ON 


RIGHTS 




RESOURCE 




GUIDE FOR 


MAINSTREAMING 


ACTION 




CITY 




MANAGING 

CHANGE 

PROCESSES 


HRBA AT THE 

LOCAL LEVEL 

DEVELOPMENT 


PLANNING 


MARGINALIZED GROUPS - CLAIMHOLDERS 








• Micro - 


• Poor children 


. ALL 


• Government 


• Local 


. All 


entrepreneurs 

159 


• Youth, 

• Women 


ESPECIA 
LLY THE 


workers 
affected by 


communities 


vulnera 
ble 


. Contracted/Self- 


• Elderly, 

• Persons with 


POOR 


reorganization 




sectors 
e -g- 


Employed 160 


disability 

• Fisherfolks 

• Indigenous 
peoples 

• Squatters 

• Informal 
sector 








women 

childre 

n, 

urban 

poor, 

indigen 

ous 

people 

s, 

person 

s with 

disabili 

ties, 

etc 



Specifically, Cases 1, 2 and 6 illustrate, among others, the application of human rights 
standards postulated under Article 7 of the International Covenant on Economic Social 
and Cultural Rights (ICESCR) on the right of everyone to the enjoyment of just and 
favorable conditions of work, as well as, the related provisions of Article 9 of the same 
Covenant on social security to include social insurance. Using domestic labor laws, a 
rights-based view was also used to assess the level of application of labor rights, labor 
standards and social protection to the informal sector. Specifically, the provisions of the 
Philippine Labor Code do not apply equally to Filipino workers. Social justice and 
human rights are the more apt approach to effectively strengthen the rights of the 
informal sector to labor and social protection. To this end, wide ranging actions and 
tasks involving both obligations of conduct and results from government were established 
in the proposed policies to enable it to respect, protect and fulfill its obligations under the 
various international human rights treaties it ratified. Case 2 exemplifies the application 
of the human rights standards provided for under the relevant provisions of the ICESCR 
in the localization of specific MDGS. The following sample represents one of the MDGs 
showing the application of human rights standards and state obligations. For low 
education , corresponding state obligation was pinpointed as the provision of free 
education for both elementary and high school. Duty-bearers were also identified. 
F or unemployment , the local populace from both the urban and rural communities of the 



191 



city was recognized to have been affected by this condition. The right to work was 
matched with this specific problem. The duty-bearers and their obligations and 
accountabilities to make available the necessary resources and programs For low 

quality of life , the right to adequate standard of living, which includes the rights to 
adequate food, adequate housing and adequate water as provided in Article 11(1) were 
identified in the MDG planning.. As with other cases the duty-bearers and claimholders 
were identified with the corresponding duties and responsibilities to take up some 
policies, programs and public action on these concerns. 165 A more straight forward 
mapping of human rights obligations and accountabilities were done vis-a-vis the agency 
mandates in Case 3. corresponding to each level of human rights obligations to respect, 
protect and fulfill the right to food. 

Case 5 was a bit different in exacting the obligations of both the government agencies 
and the non-state private actors. It proved that concerned government agencies or duty- 
bearers would not easily recognize at the onset, their obligations. As illustrated in Case 
5, there were instances whereby community-based actions exacted accountability of 
government to perform its obligations. Under Case 6, the different treaty-based plans 
oblige agencies and organizations to always refer to the specific provisions of the 
international human rights treaties as well as relevant domestic laws that would be 
relevant to the design and implementation of programs, project and activities. Although, 
the case up to this point of writing has not been completed, the eight (8) thematic plans 
produced by the different thematic clusters considered human rights standards as criteria 
and standards of different development programs, activities and projects. Focusing on 
Case 6, HRBA paved the way for identifying existing domestic laws that needed review 
and harmonizing with applicable human rights treaties and the corresponding obligations 
of public institutions based on their respective mandates. 



Adds value as method and tool that enhance existing processes of 
development or governance projects or initiatives; 



The third contribution of this study is that HRBA has added value as the approach 
provides alternative methods and tools that worked compatibly with the different 
processes of development and government interventions. This part of the analysis 
demonstrates how the HRBA is used as method and tool in the project cases. The 
assumption is that HRBA is not used as a substitute to existing processes of development 
and governance but certainly serve as an enabling method or tool to mainstream human 
rights principles and standards into existing development and governance processes or 
interventions. Below is a matrix showing an inventory list of HRBA methods and tools 
that were mainstreamed into the existing processes of selected development and 
governance projects. 



192 



TABLE 11 - HRBA METHODS AND TOOLS APPLIED 



CASES 



DEVELOPMENT & GOVERNANCE PROCESSES 
ASSESSMENT DESIGNING OF IMPLEMENTATION MONITORING 

AND ANALYSIS DEVELOPMENT AND 

STRATEGY EVALUATION 

AND PROGRAM 



CASE 1- 


• Conduct of 


• Review and 


• Consultation with 


• Did not 




Human Rights 


advocacy for 


informal sector and 


indicate 


LEGAL 


Education and 


the adoption of 


its sub-sectors in 


concrete 


EMPOWERMENT 


Training; 


human rights- 


regional 


monitoring 


OF THE POOR 


• HR Situation 


based remedies 


consultations 


and 




Analysis 


and 




evaluation 




• Hr 


mechanisms 




activities 




Stakeholder's 


• Strengthening 








Analysis 


of citizen 








• HR Gaps 


groups, multi- 








Analysis 


stakeholders 








• Network and 


networks and 








constituency 


advisory bodies 








development; 










• Development 










of rights- 










Based four 










thematic 










papers 








CASE 2- 


• HR situation 


• Setting up of 


• Passage of 


• Use of 




analysis 


City-Based 


Ordinance for its 


human rights 


DEVELOPING SN. 


• Linking HR and 


Steering 


legitimate 


indicators 


FERNANDO CITY 


MDGs 


Committee 


implementation and 


under each of 


AS A RESOURCE 


• Stakeholder's 


• Conduct of 


use of local funding 


the 8 MDGs 


CITY FOR BEST 


Analysis 


Orientation of 


resources 




PRACTICE IN 


• Gaps Analysis 


duty-bearers 






RIGHTS-BASED 


• Rights-Based 


and 






LOCALIZATION OF 


Planning 


claimholders in 






THE MILLENNIUM 


all barangays 






DEVELOPMENT 




• Piloting of 






GOALS 




HRBA 
Orientation 

• Rights-based 
Barangay MDG 
Planning 

• Manualization 
of the Rights- 
Based MDG 
Planning 






CASE 3 


• Stakeholder's 


• HR Indicators' 


• Mapping of 


• Solicitation 




Mapping 


Setting vis-a-vis 


obligations on right 


of agency 



193 



CASES 



DEVELOPMENT & GOVERNANCE PROCESSES 
ASSESSMENT DESIGNING OF IMPLEMENTATION MONITORING 

AND ANALYSIS DEVELOPMENT AND 

STRATEGY EVALUATION 

AND PROGRAM 



RIGHT TO FOOD 
PROJECT 



CASE 4 

IMPLEMENTING 
E.O. 366: A 
PRACTICAL GUIDE 
FOR MANAGING 
THE CHANGE 
PROCESSES OF 
THE 

RATIONALIZATION 
PROGRAM 
CASE 5 

MEDIA- 
COMMUNITY 
ACTION ON 
MAINSTREAMING 
HRBA AT THE 
LOCAL LEVEL 
DEVELOPMENT 



CASE 6 - national 
Human Rights Action 
Planning 



Rights-Based 
Review of 
Guidebook 



HR Situation 

Analysis 
Stakeholder's 
Analysis 
Community- 
Based Planning 



HR Situation 

Analysis 

f\through the 

Baseline 

Studies 

HR Gaps 

Analysis based 

on International 

Human Rights 

Instruments 

Consultation 

Guide 

Guide to 

conducting 

Baseline 

Studies 



HR Normative 
Content 



Orientation 
Participatory 
design and 
planning of the 
Guidebook 
Formulation of 
the Guidebook 
Rights=-based 
Review of the 
Guidebooks 

Conduct of HR 
Orientation and 
Forum 
Organization 
and Networking 
Mainstreaming 
of HR in Public 
Journalism 
Tapping of 
media Programs 
and network 
Media and 
community 
engagement 
activities 
Creation of 
Task Force with 
sectoral 
representations 
Formation of 8 
thematic 
clusters 
composed of 
both GOs and 
NGOs 

Orientation on 
human rights 
action planning 
and 

international 
human rights 
instruments 



to food vis-a-vis 
agency mandates 



• Consultation with 
Human Rights 
Expert on the draft 
output 



Media network 
and tools for 
creating 
community 
awareness and 
generating 
concerted actions 



Stakeholders' 

Analysis and 

Capacity Building 

Plan 

Tracking Guide 

Formation of 

implementing 

Teams per 

program/project 

Institutional 

Arrangements 

Funding mechanism 

for sustainability 



commitments 
vis-a-vis each 
normative 
content of the 
right to food 
Did not 
include 
monitoring 



Setting of 
performance 
Objectives 
Setting of 
performance 
Indicators 
and Medium 
and Annual 
Targets 
Identification 
of 

Accountable 
Agencies per 
Indicator 
Monitoring & 
Evaluation 
guide 



194 



From the above table, it could be deduced that all the sample cases have applied almost 
common methods and tools on HRBA in customized form from the assessment, 
designing and implementation stages of the sample development and governance 
projects. However, as could be generated from the above table, only two (2) had 
developed tools to ensure sustainability of the HRBA down to implementation and 
monitoring stages. Some of these common tools and techniques are: a) the human rights 
situation analysis that linked development needs to rights; b) stakeholders' analysis 
whereby duty-bearers and claimholders together with their accountabilities, duties and 
responsibilities were established in the process of HRBA c) rights-based orientation and 
training; d) rights-based policy advocacies; e) rights-based designs for consultations and 
conferences; issuance of rights based tracking guide for ensuring human rights content 
and process, among others. These HRBA methods and tools have greatly contributed to 
the effectiveness of the project itself, as well as the effectiveness of the governance actors 
involved in the projects. The process characterize good governance, which is that of 
being participatory, transparent, accountable and responsive, that were possibly through 
the use of HRBA methods and tools. 



4. Adds to evidence-based generation of HRBA Success Indicators 



The fourth major contribution of this study is that of totally demystifying the approach by 
drawing some concrete HRBA success indicators through the sample cases. Based on the 
showings of the project cases, certain HRBA success indicators were identified, which 
appear to approximate the success of the application of the approach: Table 12 reveals 
the project specific success indicators of HRBA. However, as could be inferred from 
such table some indicators are common across the cases. 

As to human rights content, these common indicators are: the extent to which 
participation was generated at every stage of the project, the level at which the agencies 
would be willing to accept accountabilities in the planning and programming processes 
adequacy of matching needs with rights, to include the applicable standards, and the 
extent at which the vulnerable and disadvantaged sectors would be willing to participate 
or even risk in asserting for their human rights entitlements, among others. 

As to the process of mainstreaming human rights through HRBA, the most common 
indicators would point to the enabling skills of the different governance actors such as, 
but not limited to the following: comprehending and translating the human rights 
principles and standards in practical terms that would apply, say for instance in the 
mandates of the agencies; translating into constructive public action the assertion of the 
vulnerable and disadvantaged sectors of their human rights entitlements and the levels of 
collaboration, partnership and cooperation at which the networks of government 
agencies, private non-state actors and civil society groups would be willing to forge to 
provide solution to human rights issues and concerns that they face. 



195 



TABLE 12: EVIDENCE-BASED HRBA INDICATORS 



CASE NO.l - 



CASE NO. 2- 



CASENO. 3 



CASE NO. 4 



CASE NO. 5 CASE NO. 6 



LEGAL 

EMPOWERMEN 
T OF THE POOR 



HRBA in Policy 
Development 



DEVELOPING SN. 
FERNANDO CITY 
AS A RESOURCE 
CITY 



RIGHT TO FOOD 
PROJECT 



EVIPLEMENTIN 
G E.O. 366: A 
PRACTICAL 
GUIDE FOR 

MANAGEVG 
THE CHANGE 
PROCESSES 



HRBA Mainstreaming or Intervention Areas 



HRBA in Local 

Governance & Local 

Development 



HRBA in 

Developing 

Indicators Setting 



HRBA in 

Capacitating 

Governance Actors 



MEDIA- 
COMMUNIT 
Y ACTION 
ON 

MAINSTREA 

MING HRBA 

AT THE 

LOCAL 

LEVEL 

DEVELOPM 

ENT 

HRBA in 

Community 
Empowerment 



NATIONAL 

HUMAN 

RIGHTS 

ACTION 

PLANNING 



HRBA in 

National 
Planning 



HRBA Success Indicators 



• The degree to 
which human 
rights principles 
and standards 
have been 

applied in the 
content of the 
outputs, in this 
case the four (4) 
thematic policy 
papers and the 
draft legislation 
for the informal 
sector; 



• The degree to which 
accountability of 
local officials and 
agencies is expressly 
identified and 

matched with 

specific needs and 
problems of the 
local residents; and 



• Adequacy of 
the matching 
of the 

accountabiliti 
es of agencies 
with the 

identified 
Right to Food 
indicators. 



• The degree to 
which affected 
agencies were 

made to 

participated in the 
consultation 
process and 

decision making 
during the 

formulation and 
design of the 
Guidebook; 



The degree 
to which 
human 
entitlement 
s are 

applied to 
community 
issues 



The extent 
to which 

identified 
needs are 
translated 
or matched 
with 
specific 
human 
rights 



• The degree to 
which the 

claimholders 
expressing their 
human rights 
views on the 
decision making 
on the contents 
of the policy 
outputs; 



• The extent to which 
the application of 
HRBA is legitimized 
in terms of issuance 
of local ordinances, 
provision of 

budgetary support 
and led by local 
officials. 



• Adequacy of the 


• The recognition 


• The extent 


• The extent 


application of 


and respect given 


to which 


to which 


the normative 


by the DBM to the 


agreements 


duty- 


content on the 


rights of the 


and 


bearers 


Right to Food 


affected 


reconciliati 


commit to 


both at the 


employees of the 


ons are 


certain 


output and 


different agencies 


achieved 


human 


outcome levels. 


as claimholders of 


between the 


rights 




a rights-based 


government 


targets and 




change 


actors and 


performanc 




management. 


community 


e 






actors in 


indicators, 






responding 


programs 






to 


and 






economic, 


projects 






social and 


and 



196 



CASE NO.l - 



CASE NO. 2- 



CASENO. 3 



CASE NO. 4 



CASE NO. 5 CASE NO. 6 



LEGAL 

EMPOWERMEN 
T OF THE POOR 



HRBA in Policy 
Development 



DEVELOPING SN. 
FERNANDO CITY 
AS A RESOURCE 
CITY 



RIGHT TO FOOD 
PROJECT 



EVIPLEMENTIN 
G E.O. 366: A 
PRACTICAL 
GUIDE FOR 

MANAGING 
THE CHANGE 
PROCESSES 



HRBA Mainstreaming or Intervention Areas 
HRBA in Local HRBA in HRBA in 

Governance & Local Developing Capacitating 

Development Indicators Setting Governance Actors 



MEDIA- 
COMMUNIT 
Y ACTION 
ON 

MAINSTREA 

MING HRBA 

AT THE 

LOCAL 

LEVEL 

DEVELOPM 

ENT 

HRBA in 

Community 
Empowerment 
political 
problems 
using 
human 
rights 

perspective 
s and 

standards 



NATIONAL 

HUMAN 

RIGHTS 

ACTION 

PLANNING 



HRBA in 

National 

Planning 

correspondi 

ng resource 

requiremen 

ts; 



• The degree to 
which the 
relevant State 
Obligations 
contained in the 
pertinent 
international 
treaty and 
domestic laws 
are expressly 
incorporated 
into the policy 
outputs on the 
informal sector 

• The extent to 
which human 
rights issues and 
concerns of sub- 
sectors of the 
informal sectors 
are reflected in 
the policy 
papers and 
magna carta 



The extent to which 
human rights 

awareness and 

consciousness of the 
local residents is 
raised; 



• The degree to 
which 
progressive 
realization of 
human rights 
standards would 
be achieved 
through the 
indicators 



• The extent to which • The extent to 



applicable and 

relevant human 

rights normative 
content or standards 
is applied in each of 
the eight (8) MDGs; 



which civil 
society was 
involved in 
human rights 
indicators 
setting 



The observance of 
and compliance 
with State 

Obligations in 
managing the 

implementation of 
the 

Reorganization 
Plan; 



• The provision 
of alternative 
livelihood 
scheme and 

counseling 
services for 

affected 

employees of 
the government; 
and 



The extent 
to which 
human 
rights were 
secured in 
the 

community 
empowerm 
ent process 



• The extent 
to which 
assertion of 
rights are 
reflected in 
community 
action, 
position 
papers 



The extent 
and degree 
of 
participator 

y 

consultatio 
n with 
vulnerable 
groups 
especially 
on human 
rights 
issues that 
affect them 
The level 
of 

agreement 
and 

reconciliati 
on of duty- 
bearers and 
claimholder 
s on their 
perspective 
s of certain 
human 
rights 

issues and 
how to 



197 



CASE NO.l - 


CASE NO. 2- 


CASE NO. 3 


CASE NO. 4 


CASE NO. 5 


CASE NO. 6 


LEGAL 


DEVELOPING SN. 


RIGHT TO FOOD 


EVIPLEMENTIN 


MEDIA- 


NATIONAL 


EMPOWERMEN 


FERNANDO CITY 


PROJECT 


G E.O. 366: A 


COMMUNIT 


HUMAN 


T OF THE POOR 


AS A RESOURCE 




PRACTICAL 


Y ACTION 


RIGHTS 




CITY 




GUIDE FOR 


ON 


ACTION 








MANAGING 


MAINSTREA 


PLANNING 








THE CHANGE 


MING HRBA 










PROCESSES 


AT THE 
LOCAL 
LEVEL 
DEVELOPM 

ENT 






HRBA 


Mainstreaming or Intervention Areas 






HRBA in Policy 


HRBA in Local 


HRBA in 


HRBA in 


HRBA in 


. HRBA in 


Development 


Governance & Local 


Developing 


Capacitating 


Community 


National 




Development 


Indicators Setting 


Governance Actors 


Empowerment 


Planning 

resolve 

them; 


• The degree to 


• The degree to which 


The extent to 


• The provision of 




• Rights 


which 


HRBA could be 


which 


effective 




focused 


government 


applied in annual 


commitments were 


grievance 




legislative, 


resources are 


local planning as a 


made by concerned 


mechanisms and 




admini strati 


matched with 


means to ensure 


agencies on 


remedies in case 




ve and 


human rights 


progressive 


specific indicators 


of violation of 




program 


issues and 


improvement of the 


relevant to their 


rights in the 




measures 


concerns of the 


quality of life of 


respective 


process of 




with 


informal sector 


local residents 


mandates 


implementing the 

Reorganization 

Plan. 




accountable 
duty- 
bearers and 
claimholder 


• The extent to 


• The magnitude of 








s 
• The level 


reference is 


consultation 








of 


made on the 


instituted at the 








commitmen 


relevant human 


community level 








t of the 


right treaties 


using the HRBA as 








national 


and laws in the 


framework and 








leadership 


formulation of 


process using the 








and agency 


policies and 


available standard 








commitmen 


other measures 


tools 








ts to 
allocate 
resources 
for the 
implementa 
tion of 
rights- 
based 
policy and 
program 
measures 



198 



B. Comparative Case Analysis Based on Institutional Parameters 



Across all the cases, HRBA was applied in different modalities as borne by the interplay 
of a number of parameters that influenced the processes and results of the project cases 
either at the output or outcome level or both as far as Case 5 is involved, as shown in the 
following table: 



TABLE 13 - GENERAL COMPARATIVE ANALYSIS OF CASES 



Parameters 


Case 1 


Case 2 


Case 3 


Case 4 


Case 5 


Case 6 


Type of 
Proponent 


HR -NGO 


HR -Agency 


HR Agency 


Non-HR 

Agency 


Non-HR 
NGO 


HR Committee 


Policy Support 


Purely NGO 
initiative 


City/Barangay 
Resolutions 


Authorized by 
Commission- 
En Banc 


Authorized by 
DBM and CSC 


Purely NGO 
initiative 


Authorized 
under AO 163 


Orientation & 
Training of 
Proponent 


Writers and 
Consultants all 
human rights 
practitioners 


City and 
Barangay- 
based HRBA 
Orientation 


Trained 
proponent but 
not the 
participating 
agencies, 
which were 
given HRBA 
orientation 
only 


Focal person 
from DBM 
and DAP 
trained on 
HRBA 


CCJD and 

Media oriented 
and trained on 
HRBA 


PHRC trained 
on HRBA 


Information 
Materials 


Project- 
produced HR 
materials 


Project- 
produced HR 
materials 


CHRP-HR 

materials 


CHRP -HR 

materials 


CHRP HR 

materials 


PHRC 

Developed 
Guidebooks 

On-line 
resources 

CHRP HR 

materials 


Participation 1 6 


Information, 
consulting and 
deciding 
together 


Informing and 
consulting, 


Informing and 
consulting 


Informing 
consulting and 
deciding 
together 


Informing, 
consulting, 
deciding 
together, 
acting together 
and supporting 


Informing, 
consulting and 
supporting 



Type of organization. As may be inferred from this table, an agency or non-government 
organization may or may not be a human rights organization to be able to apply HRBA. 
Although, an agency/organization with human rights mandate is an advantage, it is not a 



199 



guarantee that it could adequately apply HRBA. This statement is supported by findings 
that while CHRP (Case 3) is purely an human rights organization, its perspective to 
converge and improve development indicators into human rights-compliant indicators did 
not materialize. The same thing with ESCR, Asia, which utilized a panel of advisors and 
experts along the four focus areas of legal empowerment to adequately review and apply 
both international and domestic standards on human rights in the production of its policy 
papers and draft Magna Carta. In Case 2, also under the CHRP, the role played by the 
Regional Director, who is an expert by herself made the application of HRBA more 
effectively for MDG localization planning. In Case 5, CCJD may not be an human rights 
organization but the very nature of its work on public journalism that espouses right to 
information, made it possible for them to relate easily to HRBA process. This only goes 
to show that HRBA mainstreaming is not an easy process even among human rights 
organizations. The approach demands comprehensive and thorough understanding and 
appreciation of human rights standards found in the various treaties. This further poses 
the challenge of building capabilities, mentoring and coaching among HRBA 
practitioners in order to enable organizations to apply the approach. This applies to either 
human rights or non-human rights organization. 

Policy Support. As revealed by the study, policy support proved to be a "driver" for 
HRBA. This is true in a number of cases as follows: Case 2 involving MDG localization 
which was triggered by city resolutions and sustained by barangay resolutions; Case 6 is 
based on Administrative Order 163, which prescribed the use of HRBA in national action 
planning and strengthened by AO 249 which was issued midstream that provided specific 
directives to agencies to implement human rights standards in policies, programs and 
operation of their respective mandates; Case 3 through authorization of the Commission 
en banc and Case 4 as authorized by the DBM and CSC, which had made previous 
commitments on HRBA through the trainings conducted by the CHRP. Again HRBA 
mainstreaming process could not be attributed to mere compliance. As these four cases 
reveal directives and issuance would not suffice. This only proves that HRBA could not 
be undermined as to mean purely facilitative of human rights compliance. Public 
institutions have traditional processes, which are sometimes to difficult to penetrate for 
HRBA mainstreaming. Policy support could only trigger compliance with the approach 
but does not warrant effective implementation of the approach. 



Orientation and Training. Although at varying degrees of exposures on HRBA, all 
proponents of the project cases underwent orientation and training on the approach, all 
under the support and assistance of the GOP-UNDP Governance Portfolio. These 
orientation and training mattered in leveling off understanding on how to apply the 
HRBA in the different projects covering all the six cases. While these training more or 
less carry the basic elements of HRBA, the capacities of the proponents and their project 
participants to understand its application still differed as borne by the quality of outputs 
and/or outcomes produced by the cases. Thus, gauging by the results of the study, the 
orientation and training given by the UNDP should not be considered the ultimate 
intervention to truly be effective in HRBA. Government institutions accountable for the 



200 



continuous application of the approach must collaborate to effect developmental and 
ladderized training on HRBA. 



Information Materials. Except for Case 6, all proponents in the rest of the cases 
complained of dearth in HRBA materials that could have provided them with inputs to 
nurture the application of the approach in the projects. Although, ESCR Asia (Case 1) 
exerted effort to produce its own materials in popular form, CHRP Region 1 (Case 2) also 
expended a portion of its project funds to produce HRBA materials at the local level. 
The same thing was done by PHRC (Case 6) through UNDP funding assistance. By 
whatever means these proponents produced their HRBA materials, they still expressed 
the lack of adequate HRBA materials, which they could replicate and disseminate for use 
of their respective constituencies and which they expected to come from the CHRP. This 
is one acute concern that must be addressed, if only to sustain the application of the 
approach. As revealed by the study, there could be many modalities of HRBA, which 
means that modalities could be unlimited. Therefore, all HRBA practitioners should be 
in the business of developing and designing HRBA materials that would suit their 
particular conditions and circumstances. As gauged by the result of the study, CHRP 
may not be the institution that could shepherd this process. Further studies could be done 
to test whether more HRBA practitioners and experts that could produce appropriate 
HRBA materials could emerge from among development workers than human rights 
workers. 



Participation. This is one parameter wherein all the cases have proven some degree of 
strength. As defined internationally and adopted in this study, participation refers to the 
modes of conduct in the pursuit of development by relevant stakeholders and actors 
wherein stakeholders participate at all level of economic, social, and political decision 
making; engage in informed decision; participate voluntarily, effectively and fully 
without threats and sanctions through the participation mechanisms made available. 

Based on this understanding of what participation is the rightful stakeholders both duty- 
bearers and claimholders were identified and productively engaged Gauging from the 
documents reviewed on the quality of participation of stakeholders, substantive and 
purposive interactions were achieved especially in varying levels of decision making 
involved in the project cases. As indicated in Table 13, different modalities of 
participation were observed. In Case 1 on Legal Empowerment of the Poor, participation 
of informal sectors/sub-sectors were noted at three levels: informing, consultation and 
deciding together made possible through the multi-level consultations and policy 
dialogues conducted both at the national and regional level. As compared with Case 2 on 
the Rights-Based MDG Localization, participation levels of barangay communities and 
local government units were observed at two levels during the consultative planning. 
These levels include informing and consulting only pending implementation of the local 
plans. The same levels of participation was observed in Case 3 on the Right to Food that 
of informing and consulting only but limited to participating government agencies and 
NGOs. The vulnerable sectors are not involved. Case 4 on Change Management for the 



201 



Rationalization Program, participation was seen only at the consulting level with those 
employee unions who participated in the crafting of the Guidebook. All levels of 
participation were practiced in Case 6 on Media and Community Action from informing, 
consulting, deciding together, acting together and supporting members of community 
networks and coalitions in public and policy dialogue, community assessment and 
planning, public action on human rights issues, and the like. Whereas participation levels 
in Case 6 on the NHRAP formulation exhibited informing, consulting and supporting 
among those vulnerable sectors that participated in the treaty-based planning. 



C. Strategic Recommendations of Other Partners 

For purposes of determining the prospective direction of HRBA particularly its further 
institutionalization, sustainability and replicability, the study also attempted to analyzed 
the views and opinions of other stakeholders on the approach. From the perspective of 
other stakeholders they have the following comments and recommendations on the use of 
HRBA, which are examined vis-a-vis the real intent of the study: 

1 . CHRP as Implementing Partner of the UNDP 

The CHRP gave valuable comments and recommendations both for the 
institutionalization of HRBA and sustaining the gains of the contributions of the sample 
HRBA cases. Based on the six (6) projects that applied HRBA, the CHRP gave different 
comments and suggestions. It recognized the need for a common training framework on 
the use of HRBA to be formulated and adopted subject to the principal responsibility and 
accountability of the duty bearers, on one hand and the human rights concerns/issues and 
vulnerability of the claim holders in order to achieve more synergy in HRBA advocacy. 
Also, it proposed the formulation of a participatory framework on HRBA that must 
include a mechanism and a process for monitoring and follow through of commitments 
made by the local government units in order to ensure performance of accountabilities 
over the rights secured by the communities. Such participatory framework, which could 
be further developed, must provide avenues for institutionalization of HRBA despite 
leadership changes in local government units. It also underscored the need to introduce 
to government on the use of HRBA in development planning, programming, monitoring 
and evaluation of development interventions and application of the HRBA in the 
localization of MDGs that are compliant with human rights standards. These comments 
while meritorious could be more meaningful and workable, if CHRP would examine its 
own institutional preparedness in terms of political will and technical competence to 
undertake shepherding of the approach, being a government institution with human rights 
mandate. CHRP has been into HRBA training since 2004 and up to this time, it has not 
systematically produced a training program on HRBA that would guarantee its 
institutionalization. Of course, there is a need to look at both the supply and demand for 
HRBA training. CHRP has not improved on its HRBA training for the past six years and 
on the part of the government, it has not also committed political will and resources to 
implement HRBA in the entire government machinery and in the entire civil society. 



202 



Regarding the sustainability and replicability of the approach, the CHRP expressed some 
concern relative to the lack of adequate resources to support HRBA training, research and 
conduct of studies on best practices of HRBA. It also recognized its role as 
expert/practitioner in shepherding the wider practice of HRBA by government and civil 
society. Specifically, the CHRP should take a more proactive stance as a catalyst in the 
wider practice of HRBA by government and civil society. It should develop its own 
expertise from within the organization from the top management to the technical staff 
members. It should also prioritize trainings of HRBA with the end view of having a core 
set of HRBA experts from both the government and civil society to include the academe. 
It also should shepherd the publication of HRBA knowledge products for dissemination 
and reference purposes, with high degree of quality control so as to warrant the desired 
sustainability of the approach in the country. 



2. NEDA as Representative of the GOP in the Governance Portfolio 

Despite the fact that NEDA has been the partner of the UNDP in the GOP-UNDP 
Governance Portfolio on the wider application of HRBA in government and civil society 
since 2004, it has failed to take the lead in applying the approach more vigorously. It is 
only now that the Governance Programme, under the NEDA's charge is taking steps to 
steer the Programme towards the country's compliance with international human rights 
treaties and institutionalizing human rights principles in governance institutions and 
processes as provided in Administrative Order Nos. 163 and 249. While development 
assistance from UNDP was ever present for the past six years, NEDA only started 
complying with the issuance of these two administrative orders from the President. 

Pursuant to AO No. 249, NEDA will be implementing a series of capacity development 
interventions to enable it to effectively mainstream the human rights- based approach 
(HRBA) in the 2010-2016 MTPDP and other development policies and programs. It 
reiterated that under Administrative Order No. 163, the National Economic and 
Development Authority (NEDA) was designated as the lead agency in coordinating 
compliance with the International Covenant on Economic, Social and Cultural Rights 
(ICESCR). 

Administrative Order No. 249 was issued to further strengthen government policies, 
plans and programs for the effective promotion and protection of human rights. The same 
AO directs NEDA to ensure that the principles of rights-based approach (RBA) are 
integrated, reflected and defined in the formulation of the country's development 
policies, plans, and programs. A series of activities to capacitate NEDA on HRBA is 
currently being proposed. These include (a) creation and/or modification of existing, and 
institutionalization of the use of instruments/materials for mainstreaming RBA into plans, 
programs and activities; (b) conduct of training/workshop on RBA which shall focus on 
the use of RBA and its accompanying tools and instruments; and (c) training of RBA 
trainors. 



203 



The promise of these efforts of the NEDA would now depend on the thrusts and priorities 
of the new presidential administration come July 2010. While it is true that these two 
administrative orders would remain enforce until repealed or revoked, the commitment of 
the NEDA to sustain its commitment to HRBA remains to be seen. To date, not much 
resources are poured in by the government to support the two administrative orders. 
NEDA's support to HRBA remains to be UNDP driven through the latter' s technical and 
funding assistance. 



3. Other Development Partners 

Two important development partners contributed their contrary views, comments and 
recommendations, namely the European Union and Asia Foundation. 

a) European Union- Human Rights and Gender Section 

A key weakness of the various actions documented is the tendency to 
'projectise' or compartmentalise human rights response into short-term 
projects. There is a clear absence of a national level indicators or strategy for 
human rights similar to the Philippine MDG Action Plan, to guide and 
measure progress towards international commitments and obligations. While 
this comment appears logical, it may not be the proper approach to implement 
HRBA in the country. HRBA could not be patterned with MDG international 
commitments that have specific deliverable indicators. HRBA is truly an 
approach that could be implemented at various levels of projects, activities 
and tasks. 



b) Asia Foundation 

The Asia Foundation gave more detailed comments and recommendations, 
which are worth contemplating on. It affirmed that the indicators generated 
by and the process employed in carrying out the HRBA well demonstrates the 
application of approach. It is thus imperative to document the tedious yet 
worthwhile application of HRBA especially in two cases involving the legal 
empowerment of the poor and the media-community for local development. 
As observed in one case the usual difficulty with working with local 
governments is that when a new administration comes in, efforts of the 
previous leadership are changed or even put to naught. This project would 
have greater sustainability if there were more substantive participation of local 
government officials who are not occupying elective posts. The experiences 
as demonstrated in the cases reveal the challenges in introducing HRBA on an 
inter-agency level. The leveling off on HRBA and mapping of responsibilities 
are good starting points for the project. Since the project is yet to be 
completed it may be good to gauge the impact of the applying the HRBA at 
the close of the project implementation. The lack of training and materials are 



204 



common issues in mainstreaming human rights. Training of trainors and focal 
persons (as well as continued guidance and coaching); development of handy 
tools and instruments and proper dissemination, documentation of best 
practices will undeniably be useful in this aspect. It may also be good to learn 
lessons on gender mainstreaming which can apply to incorporating a rights- 
based approach to various projects. On sustaining the application and 
replication of the HRBA, the Asia Foundation recommended that one would 
be to identify champions within agencies at both top- and mid-level positions. 
Mid-level career champions often stay on longer in an institution and are the 
ones who climb up the career ladder to eventually become heads of offices. 
Constituency support outside the agency is also crucial. As mentioned in 
previous comments, documentation of experiences and processes and 
translating these into tools for future reference will be useful for replication. 
Institutionalizing the process through manuals and official directives will also 
be important. In addition, as practitioner of the approach, one concrete 
contribution to its sustainability is through starting and operationalizing an 
active consciousness of applying HRBA in different processes and 
interventions, particularly in capacity-building activities where champions and 
focal persons can be trained on the rights-based approach. Another is by 
supporting efforts that will institutionalize the use of HRBA especially in 
government. 

All these comments and recommendations of Asia Foundation are already 
being undertaken except that may be there is a need to marshal the support of 
other development partners. UNDP has limited resources to sustain its 
support to HRBA. Other development partners are more in a position to the 
resource-intensive requirements of HRBA training, research and information 
materials development and dissemination. 



D. Conclusions 

Following the conceptual and operational frameworks, the study concludes that HRBA is 
"a way of thinking and a way of doing" to facilitate the implementation of the 
international human rights treaties. Based on the results of this study, HRBA is a "softer" 
approach to ensure compliance with State obligations under the treaties. . It is not an 
independent approach but simply mainstreams human rights perspective and standards 
into existing development and governance processes both as criteria and method itself. 
But the mainstreaming process as it appears is not really that simple due to intricacies and 
nuances experienced in the process. 

The intricacies lie in the complexities involved in the international human rights 
framework. There are many treaties to look at to be able to mainstream human rights. 
While the human rights standards in the treaties are universal in character, the full 
coverage of human rights framework represents a full-embodiment of instruments, which 
are difficult to manage operationally. For instance, in order to fully cover the standards 



205 



of every right, one has to refer to a lot of international human rights documents, which 
appear heavy reading and also, involve a lot of technicalities. 

While the nuances rest in the very detailed process of understanding, clarifying and 
operationalizing the concepts of obligations and entitlements found in every human rights 
standard defined in each of the treaties. Even the most human rights oriented government 
or non-government organization found difficulty understanding and applying the 
international standards of human rights. It takes practice to specialize and master HRBA. 
It takes political will to always refer to the international human rights treaties in terms of 
doing rights-based development and governance interventions. 

But beyond these intricacies and nuances is a sense of reward and fulfillment of being 
able to add human rights dimension into the development and governance objectives even 
at the project level. This should be regarded more than a psyche reward. Inputting 
human rights dimension into development and governance interventions require huge 
resources as the approach demands more than the basic human needs. The approach 
demands higher universal standards for human dignity. 

Despite all the limitations and constraints of this study, the empirical findings and 
observations as earlier presented under the summary of the results of the instrumental 
case analysis and collective case analysis, support and prove the validity of the 
conceptual framework of this study with some enhancements as reconfigured below 
(Original Conceptual Framework in Chapter 1): 



FIGURE 7 - ENHANCED CONCEPTUAL FRAMEWORK 



206 



INTERNATIONAL 
HUMAN RIGHTS 

FRAMRWORK 





OUTCOMES 



HR FOCUSED 
DEVELOPMENT 



BETTER 
GOVERNANCE 



HR PRINCIPLES 
HR STANDARDS 
HR OBLIGATIONS 
HR 

ENTITLEMENTS 
RELATION: DUTY- 
BEARERS & 
CLAIMHOLDERS 



DEVELOPMENT 

OR 

GOVERNANCE 

INTERVENTIONS 




OUTPUTS 



POLICIES & 
MEASURES SECURING 
RIGHTS 

OBLIGATIONS BOUND 
DUTY-BEARERS 

SECURED 

ENTITLEMENTS FOR 
CLAIMHOLDERS 



HRBA PARAMETERS 



Source: Original Design 

As shown in the above figure, the original conceptual framework as presented in Chapter 
1 holds with some refinements as theorized from the results of the study. The framework 
introduces a set of HRBA parameters, which is the major contribution of the study. As 
borne by the study, the combined use of the parameters as shown in the enhanced 
conceptual framework largely determines the efficacy of its use. This set of parameters 
consists of the following: 

a) Mainstreamed Human Rights Perspectives 

b) Application of HR Standards in Project Outputs and Outcomes 

c) HRBA methods and Tools 

d) HRBA Institutional Policy and Support 

These parameters represent the operationalization of the international human rights 
framework, which helped established that HRBA as a process: 



207 



a) Adds the practice of fundamental human rights principles in development 
and governance interventions; 

b) Adds force to the implementation of human rights standards through 
implementation of state obligations and human entitlements that serve to 
strengthen accountability and empowerment; 

c) Adds value as method and tool that enhance existing processes of 
development or governance projects or initiatives; 

d) Adds to evidence-based generation of HRBA success Indicators through 
the actual outputs and outcomes 



The critical enablers are the institutional policy & support, as well as, the methods and 
tools for HRBA. These are critical HRBA ingredients that would determine the level of 
efficacy in the use of the approach. 

While most literature on HRBA point to the fact that the success indicators of the 
approach are empirically based on outcomes, the above conceptual framework postulates 
that the efficacy of the use of HRBA starts from the output level of development and 
governance interventions. Physical outputs of HRBA would warrant the desired outcome 
of the approach. These physical outputs are in terms of rights-based policies and 
measures that would serve as enabling environment for achievement of outcomes on 
HRBA such as enjoyment of larger freedoms and rights. 

HRBA complements and not supplants the compliance approach at two fronts: in 
mainstreaming human rights principles, standards, obligations and entitlements in 
development and governance processes utilized for the projects. It capacitates the three 
domains of governance such as the government, private sector and civil society. This 
complementing approach was evident in development and governance processes such as 
policy formulation, local governance, indicators-setting, community mobilization, 
managing organizational change and national and local action planning. 

As was proven in the study, HRBA is basically a mainstreaming process that is made to 
work through the use of specific methods and tools such as the matching of development 
needs with specific rights, stakeholders' analysis for both duty-bearers and claimholders, 
assessment of capacities of stakeholders based on obligations and entitlements. HRBA 
brings into the development and governance processes human rights perspective in 
defining needs and issues, accountability based on obligations under the international 
human rights treaties and people empowerment based on securing rights entitlements, 
also as provided under the treaties. However, this is easily said than done. As claimed 
by most of the proponents of the project cases, they found difficulties operationalizing 
human rights concepts, principles and norms. They always needed some guide through 
some materials, training and direct coaching. 



208 



The effectiveness of HRBA is gauged mainly on the level or degree of operationalization 
of the HRBA parameters. The core parameters point directly to the promotion, 
operationalization and practice of human rights principles, standards and concepts of 
obligations and entitlements in the content and processes of development or governance 
outputs and outcomes. The other sets of parameters point to the following: methods and 
tools used to link needs to rights, accountability to obligations and entitlements to 
empowerment; and those that point to the institutional policy and support that the 
proponent of HRBA extend for its operationalization in order to make it sustainable and 
replicable. These parameters include policy directives, organization, training and 
information materials. 

The effectiveness of HRBA begins at the output level and not at the outcome level. 
Outputs in the context of HRBA refer to policies, measures, mechanisms, which carry 
human right orientation both in the process of formulating them and in producing the 
actual outputs. Only rights-based outputs such as those produced by the six project cases 
could contribute to the outcomes of attaining rights-focused development and good 
governance that would warrant improved quality of life for the target sectors of society. 
Hence, the effectiveness of the outputs and outcomes could be gauged through the 
indicators that were generated under each project case. 



Below is an enhanced Operational Definition of HRBA (Original Operational Definition 
on Chapter 1), as applied in the development of the six (6) case studies, which 
presupposes that this could be the same operational definition and framework that could 
be applied for the wider application of the HRBA in project, programs, planning and all 
other processes of agencies and other organizations. 



As shown in the figure, HRBA is demystified. It is tested in the study that HRBA is not a 
super-imposition over existing approaches in development and governance. It is used as 
a framework, lens and tool to understand development and governance issues in human 
rights perspective. The human rights perspective is used to humanize the level of human 
rights deprivation of different sectors of society primarily the vulnerable and 
disadvantage sectors. The approach also points to the fact that every human rights 
condition that reflect human rights deprivation has a duty-bearer and a claimholder based 
on international human rights framework of human rights obligations and entitlements. 
HRBA would only succeed if such human rights standards found in international treaties 
are operationalized and applied in development and governance measures. The outcomes 
and outputs of HRBA should point essentially to two things: accountable duty-bearers 
and empowered vulnerable and disadvantaged sectors. HRBA is not successful without 
the interplay of both duty-bearers and claimholders\, which contribute largely to the 
defining of the different dimensions of development and domains of governance. 



209 



FIGURE 8- ENHANCED OPERATIONAL DEFINITION OF HRBA 



Problems are rooted 
from the situation of 
vulnerable sectors 
expressly matched with 
applicable human rights 



Both duty-bearers and 
claimholders are 
capacitated on State 
Obligations and human 
Entitlements 
respectively 




Outputs and outcomes 
of HRBA process are 
defined in terms of 
accountability, 
empowerment and 
realization of 
entitlements 



Success of HRBA is 
achieved when HR 
standards are evident 
in project results: 
policies, mechanisms, 
measures, etc. 



Source: Original Design 



In the context of the reconfigured conceptual framework of the study and operational 
definition of HRBA, are the following conclusions linked to the objectives of the study: 

1 . HRBA may be operationalized, practiced and promoted differently, using 

project specific HRBA design but effectiveness of the use of the approach 
is another matter 

Gauging from the analysis of the six (6) project cases, the stakeholders of the project 
demonstrated different understanding of HRBA as reflected in the varying degrees to 
which the approach was applied in the projects. As initially established in the study 
framework there is a critical need to de-mystify human rights and one concrete way is 
through HRBA, which the project cases had, to some extent, successfully achieved. But 



210 



while HRBA is a proven way to de-mystify human rights, its application would never 
yield to the same level of results in terms of the quality of outputs and outcomes. The 
difference lies primarily in the enabling skills and proficiency of the HRBA practitioners 
and level of awareness of the participating governance stakeholders to collaboratively 
implement human rights principles and standards. Since the approach is a way of 
thinking and doing, its continuous use would eventually improve its practice. Its 
promotion could be done through the use of usual interventions like trainings and 
consultations, conferences, studies, advocacies, communication strategies, community 
organizations, network building, coaching and others, which are normally applied in 
development and governance processes. However its practice as a method requires the 
use and polishing of enabling tools that would allow the mainstreaming of human rights 
to seep in. As the approach is variable depending on the locus of its application, the 
extent and degree to which the approach is practiced needs oversight monitoring and 
quality control. 

2. There is no single approach to HRBA, only modalities of the approach 

This study has produced six (6) modalities of HRBA practice. There could be more that 
could be produced except that there is truly a dearth of documentation of good examples 
of the approach. However, as attested by the six (6) sample project cases, there could be 
many other projects within or outside the Governance Portfolio that may have very rich 
experiences on the practice of HRBA. For instance, the CHRP as early as 2003 up to 
present had been conducting HRBA Orientation and Training both at the national and 
regional levels. It could be assumed therefore, that participants of these orientation- 
training applied the approach but did not have the opportunities and resources to 
document their experiences due to absence of UNDP support. 

Also as drawn from the feedback gathered from the project proponents, the lack of 
information and education materials on HRBA impedes the wider application of the 
approach. The development of HRBA materials should provide testimonies of good and 
best practices that would show how benefits and contributions could be derived from the 
use of the approach in different development and governance interventions that would 
redound to synergistic outcomes. As HRBA is basically experiential, more empirical 
studies should be done to propagate its use as method and tool in development and 
governance. 

3. The success of HRBA is achieved when policies, programs and other 
interventions carry human rights orientation both at the level of outputs 
and outcomes. 

HRBA success indicators could be founded on the level and extent to which changes in 
the situation and condition of a select group were influenced by the approach. HRBA 
success indicators could thus be categorized at three levels: process - human rights 
focused-empowerment of government organizations and civil society groups for 
fulfillment of human rights obligations and human rights entitlements; output - rights - 
based orientation, content and implementation of development or governance policies, 



211 



programs, projects and activities; outcome -rights-based transformation of institutional 
framework, culture, systems and processes of development and governance institutions 
and organizations; and impact - rights-based progressive changes in the quality of life of 
individuals and communities, preferably of the vulnerable and disadvantaged groups. As 
illustrated by the projects, the success indicators were yet at output level and to a limited 
extent, to the outcome level, in terms of significant transformation of way of doing things 
by the governance actors, namely: government agencies and selected civil society groups. 
Both the outcome and impact levels of results of HRBA are long shot as it would need to 
show changes in quality of life of the various rights-based policies, programs and other 
measures that were generated by HRBA modalities produced by the study. 

4. HRBA could be both sustainable and replicable in the spheres of both 

development and governance. 

As exemplified in the project cases, the implementation of the Human Rights Treaties 
could be implemented through the use of the HRBA. The process of HRBA, however, 
would require the "softening" of the established ways of doing things particularly in the 
government especially, in the aspect of policy formulation, services delivery and program 
and project implementation. 

HRBA practice in the Philippines has a long way to go. Its purposes and benefits are 
truly recognized by both government and civil society organizations doing development 
and governance work. However, the implementation of the HRBA is protracted. There 
ought to be an assertion of political will to fully maximize its contributions and benefits 
especially in helping achieve more equitable and democratized access to opportunities 
and assets across the different strata of the Philippine society, with greater impact on the 
poor, vulnerable and disadvantaged. 

The fact that the Philippines is a signatory to the eight (8) core human rights treaties 
should stand as sufficient basis for government to be able to assert its political will to 
fulfill its obligations under the International human rights community and the Family of 
Nations. The Philippine government having signed these should be able to periodically 
assess its level of compliance in national and local policies, programs, projects, 
mechanisms and remedies to improve conditions of both development and governance. , 
Government political will to adopt HRBA integral to its policy commitment for policy 
making, development programming, fiscal administration and services delivery, would be 
a big step to ascertain the sustainability of the approach both at the national and local 
levels. 

As regards its replicability, this is only possible if all HRBA practitioners would 
document their experiences by incorporating the resources needed for documentation as 
part of the project cost. 

5. HRBA has added value as a method and tools to achieve good 
governance 



212 



To reiterate, HRBA makes possible the mainstreaming of the human rights elements as 
objective criteria and standards for development. However, what will facilitate and 
enhance its added value to development is the polishing of the approach as a method and 
tool for governance. As a method and tool it helps improve the functioning and processes 
of government agencies through the adoption of human rights as the criteria and 
standards for development. HRBA makes the participation of different governance 
stakeholders participatory, which is in keeping with the principle of democratic 
governance. The approach also empowers people to hold public institutions and agencies 
accountable. The resulting empowerment is inclusive and shows a pattern of social 
interactions, which is an imperative in governance. The overall process catalyzed by the 
approach become transparent and responsive as the methods and tools used by the 
approach point directly with high degree of transparency, to the accountabilities, duties 
and responsibilities of both the duty-bearers and claimholders, who are generically 
referred to also as the governance actors. When public institutions function effectively 
with the inclusive participation of the people especially the vulnerable and marginalized 
sectors, poverty and powerlessness, which are twin concerns of both development and 
governance, could be overcome. 

In more specific terms HRBA could do a lot for governance through the mainstreaming 
of all its core elements, as observed in the different cases. Among others, these are: a) 
people to see openly into the activities of government; b) Full, free and public disclosure 
of decision, policies and processes of government; c) access to information especially in 
rule making activity of government; d) people can be made to voluntarily participate 
and contributor in informed decision making process at all level of economic, social, and 
political decision making; e) public institutions and the people could collaborate in 
enacting laws that uphold inherent dignity of person and the enjoyment, exercise and 
fulfillment of human rights; and f) fairness, justice and impartiality in providing 
mechanisms and opportunities for the enjoyment of rights that should be addressed in the 
development plans at all levels of governance of the country. When these characteristics 
of the HRBA are observable as true in the cases, there is a greater chance of producing 
policies, programs and other interventions and initiatives that promote and enhance 
respect and protection of human rights in the country. 

E. Future Directions and Replicability 

HRBA has a long way to go in serving as an effective method and tool in both 
development and governance. As a mainstreaming method for development, it enables 
governance actors to apply the human rights principles and standards as criteria for 
pursuing development. In terms of governance, it serves as an effective tool for 
enhancing accountability and empowerment with both legal force and natural dynamics 
among governance actors. The massive use of the approach both as a framework and tool 
could help further shape the history of development and governance in the country, as the 
approach offers more direct effects to improving the plight of the vulnerable sectors by 
enabling them and the accountable government institution to secure human rights. 



213 



On the role of HRBA in development, legitimizing the use of HRBA both at the national 
and local levels through passage of law in Congress and sustaining the implementation of 
the relevant presidential directives and local ordinances produced in the course of 
implementing the six (6) projects, would have beneficial contributions to 
institutionalizing the approach both in the short run and long run. The HRBA provides 
perspectives and tools for the development of a culture of human rights among duty- 
bearers in government and claimholders among organizations and groups that constitute 
the civil society. 



On its role to achieving good governance, HRBA capacity building for both the duty- 
bearers and claimholders is the only sure route towards building up on the gains of these 
six (6) project cases of HRBA. Another complementary route would be the conduct of 
continuous documentation and research into the gains of applying the approach, as a way 
to encourage more users to confidently apply the approach. The approach ascertains the 
building up of a human rights culture, which is better than enforcing the obligations to the 
letter. Moreover the legitimizing of the use of the HRBA in government planning both at 
the national and LGU level as shared by most of the projects, would certainly provide an 
objective guide and process to improving the pursuit of development and governance in 
the country. Actors of governance, namely, the government, private sector and civil 
society, need to be reoriented into the works of human rights as objective and common 
perspective to attaining meaningful development in the country. 

HRBA could be sustained and replicated for purposes of development programming and 
project planning and implementation. It need not come up with separate national 
performance targets and indicators like that of the MDGs, as its original purpose is to 
enhance existing development and governance processes through linking of development 
needs to relevant rights. There is no problem also if HRBA is operated at the project 
level in order to support contemporary trends in public action that are more responsive to 
the development needs of the different sectors of society. 

The bottom line is to provide HRBA all the necessary institutional policy support and 
funding assistance to be able to nurture the gains achieved by different organizations 
other than those proponents involved in the six cases. A comprehensive programming on 
HRBA would be necessary to ensure the wider application of the approach both at the 
national and local level. Programming in this aspect must include key interventions such 
as continuing training on the approach, development of methods and tools that would 
work compatibly with development and governance processes and expansion of networks 
of champions and advocates espousing the use of the approach in the country. Not only 
the CHRP would significantly figure in this direction of the HRBA. All the PHRC 
agencies would be playing important roles especially the NEDA and DBM in terms of the 
overall mainstreaming of HRBA with NEDA's planning support and DBM's fiscal 
dupport. 



Implications in Public Administration and Governance 



214 



The results of this study on HRBA pose significant implications both in the practice and 
discipline of Public Administration and Governance as follows: 



1. Practice of public administration and governance 



a) HRBA enhances roles of governance actors in contemporary governance 
setting 



As illustrated by the sample cases, the duty-bearers and claimholders need not clash 
in a conflict-oriented atmosphere. HRBA served as a unifying framework for the 
two parties. As human rights standards are inherently the entitlements of the 
people, both parties tend to agree on them as aspirations and standards to be 
achieved. Looking at the sample cases, both parties tend to position themselves in a 
capacitating mode to be able to undertake obligations on the part of the duty-bearers 
and to be able to actively participate and contribute on the part of the claimholders. 
HRBA provides a process that determines accountability but not necessarily 
pointing blame as all sectors are encouraged to involve in the solution of human 
rights issues and problems. 



b) HRBA enhances accountability of government to govern through 

implementation of State Obligations under the eight (8) core 
International Human rights Treaties 



The implementation of the various state obligations under the eight (8) International 
Human Rights Treaties could be facilitated through the application of the HRBA in 
both developments planning and monitoring of the government. Like for instance, 
the conduct of a stakeholders analysis vis-a-vis the standard provisions of the 
treaties could easily establish accountabilities. The Thematic Clusters under Case 6 
could very well serve as the starting point for such stakeholders' analysis. 
However, this should be followed by a comprehensive assessment of the existing 
institutional capacities of relevant agencies to determine their readiness to facilitate 
the implementation of the international human rights standards in terms of their 
mandates, programs, services and resources. 

Thereafter, policy reforms should ensue to effect enhancement or strengthening of a 
legislative framework on human rights that will serve as an enabling policy 
environment for state compliance. 



215 



c. HRBA requires a perspective and tool for its effective use in 
development & governance initiatives 

In as much as the implementation of the Treaty rests in government's compliance 
with specific State Obligations, the issuance of national and local 
directives/ordinances on HRBA are definitely useful. This is the only way through 
which the entire government machinery could be oriented on human rights. The 
application of international human rights principles and standards require the use of 
optimum level of resources of the government to be truly compliant with its 
pertinent State obligations, showing progress over time. The most appropriate way 
to comply with the Treaties would be to mainstream HRBA into the development 
planning process both at the national and local level and linking the same into the 
investment planning of the government. 



This is one orientation that would require a paradigm shift in the way the 
government view the human resource of the country as human beings endowed with 
inherent rights and entitled for constant development to achieve full enjoyment of 
these rights. Thus investing in people following certain international standards in 
progressive fashion would a sure way to achieve sustainable development and 
economic growth for the country. 



d) HRBA has added value to the history of development and governance in 
the country. 

Very crucial to the practice of HRBA would be an understanding of the evolving 
roles of the actors of governance and how the approach will fit into the concept of 
redefined roles of state, private sector and civil society. The role of the state, the 
role of private sector and the role of civil society will be best defined in terms of the 
human rights framework. Crucial to the interplay of these domains of governance 
is the set of roles of the state in terms of creating a conducive economic 
environment, enhancing the protection of the vulnerable sectors of society, 
improving government performance, empowering people and democratization of 
powers and opportunities, decentralization of government, bridging the rich and 
poor, encouraging social integration, preserving the environment and promoting 
gender equality. 

The HRBA provides this opportunity for the different stakeholders involved in 
different development and government interventions and undertakings to always 
consider the "bottom line" on the real reason why plans, programs, projects and 
institutions exist but ... "to provide enabling environment and means whereby 
every one, as human being, could be afforded opportunity to constantly develop in 
larger enjoyment of rights and freedoms. " 



216 



e) . Contribute to the organization and processes of Public 
Administration 

Government is made more accountable based on human rights obligations under the 
treaties that the Philippines signed. HRBA enhances the accountabilities and 
responsibilities of the different organizations and agencies that comprise the public 
administrative system in the country in terms of human rights obligations under the 
International Human Rights Treaties. This refers to the improved level of 
accountability of the government as duty-bearers of human rights obligations and 
the improved level of participation by claimholders of human rights entitlements in 
terms of services delivery that would enhance enjoyment of civil and political rights 
and economic, social and cultural rights. 

In terms of process of public administration, the use of HRBA could very well 
function in national development planning, fiscal planning and agency planning. 
The use of human rights standards and indicators drawn from the various treaties to 
which the Philippines is a signatory, could be applied as criteria and standards for 
analyzing, advocating, assessing ,monitoring and evaluation to determine the level 
of improvement of the quality of life of the poor, vulnerable and marginalized. 

In the operation of the civil service, the full force of government could be oriented 
into the human rights obligations of the State and entitlements of the people in order 
for civil service to be more accountable and responsible in rendering public service. 

In the legislative processes that are participated in by both the executive and 
legislative branches at the national level and by the local government units, the 
HRBA could serve as effective criteria and guide for national legislation and 
passage of appropriate local ordinances and resolutions. 

There are other processes in public administration that could be made more relevant 
and responsive to the demands of the constituencies to include the electoral process, 
wherein advocacy of human rights and right to suffrage could prepare the psyche 
and competence of the public in participating in political exercises like the 
elections, among others. 



f) Implications of the Study on Development Processes 

HRBA facilitates the use of human rights as standard criteria for development. As 
borne by the project cases human rights proved to be useful standards that define 
the quality of development being pursued by both the duty-bearers and 
claimholders. The applicability therefore, of human rights as standards for 
development is the sure path to formulating responsive laws that are pro-poor, 
developmental and high impact as, it would benefit the greater number of the poor. 
The HRBA provides the process of looking beyond the achievement of the MDGs 
by applying the standards and indicators of human rights as exemplified in the 



217 



goals. With respect to pertinent standards to protect, promote and fulfill basic rights 
at different standards of accessibility, affordability, cultural adaptability, quality 
among others. The direct application of human rights standards on priority issues 
and concerns under each of the eight (8) International Human Rights Treaties was 
shone in the study's case on national human rights action planning. Standards are 
applied from the formulation of development objectives, to identification of 
indicators, formulation of medium and short-term targets, and identification of 
specific programs, projects and activities up to the identification of resources and 
the identification of institutional arrangements between duty-bearers and 
claimholders to undertake the various initiatives under each of the thematic plan. In 
other words, human rights standards are properly mainstreamed into this key 
development planning process involving major services delivery agencies of 
government 



2. Discipline of Public Administration and Governance 

The HRBA could be mainstreamed into the discipline of public administration and 
governance as method and tool. Its core elements, which are based on the International 
Human Rights Treaties could be taught and mainstreamed into the study of multi-level 
governance, development planning, public services delivery, civil service management, 
local governance, among others. On multi-level governance, HRBA may be taught as a 
method and tool to catalyze the role of international governance to improve quality of life 
of the people through the UN's promulgations via declarations, covenants, conventions, 
resolutions and the like, in improving domestic governance through adherence to 
universal human rights standards. On governance, HRBA could substantially be taught to 
mainstream its perspectives on roles of the governance actors in courses of national and 
local governance, citizenship rights in governance, corporate governance. On teaching 
governance functions specifically, the regulatory one, HRBA perspective could 
purposively enrich the parameters of good governance. Achieving good governance is a 
big challenge for the HRBA as a method and a tool of governance. In general terms, 
HRBA could be an effective tool of public administration and governance in achieving a 
balance management of development for all sectors of society especially in approaching a 
better understanding and grasp of the reality of poverty in human rights perspective and 
making the process of development and governance more accountable, transparent, 
participatory and responsive, which generally are the foundations of democratic 
governance. Thus, its institutionalization under this discipline could greatly help in 
making the approach sustainable and replicable in order to fully serve its role in both 
development and governance in the country. 



In specific terms the mainstreaming of HRBA in the discipline could work faster in the 
context of the following parallel perspectives of governance and HRBA. HRBA could 
work compatibly with the historical emergence of the concept of governance. 
Governance, which was made to respond to pressing realities of the 1970s, did not bear 
any revolutionary character but a developmental one that helped fragmented, 



218 



disarticulated and weak states in managing the democratic polity. HRBA emerged too as 
a response to the phenomenon of global poverty and the marginalization of the human 
rights aspirations of the vulnerable and disadvantaged sectors of society. HRBA works 
on plurality, inclusiveness and networks of organizations, which run parallel as to how 
governance is managed. HRBA does not bank purely on government. It defines the roles 
of the different governance actors. The approach strengthens the role of government in 
terms of compliance measures with International human rights treaties but with full 
regard of the significant roles of the business sector and civil society in public policy 
making, programming and implementation of development initiatives that would help 
improve the plight of the constituencies. Governance speaks of coordination, integration 
and capacity building on leadership and managerial roles and actions. HRBA could 
further enhance capacity building of governance actors with the use of human rights 
principles and standards. 

Governance as a new paradigm for public problem solving problems is very much in 
consonance with HRBA, which is employed as an approach to community problem 
solving through mobilization of organizations and networks of vulnerable and 
disadvantaged sectors whose rights are violated and or deprived. The social interactions 
that occur in both the processes of governance and HRBA could be intermingled. This is 
done through the application of the HRBA methods and tools within the processes of 
governance, e.g. stakeholders' analysis, problem analysis, planning, implementation, 
monitoring and evaluation using human rights perspectives, principles and standards. 
These are effective tools that enhance the trend in governance that has made a big shift in 
public action from agency to program level in order to be more responsive to the 
demands and needs of the people. 

Ultimately, HRBA could further enhance the governance shift "from command and 
control to negotiation and persuasion." The approach could, in fact, provide a universal 
framework and method to which all governance actors could work together progressively 
in terms of achieving human rights aspirations and standards that befit human dignity for 
all. 



219 



ENDNOTES 



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Global Policy Forum. Excerpts from Kofi Annan's Report on UN Reform: In Larger Freedom. March 21, 
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3 . Overview of the National Human Rights Action Plan. PHRC. 2009. p. 1 

4 Office of the UN High Commissioner for Human Rights International Law, The Core International 

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" Universal Periodic Review Report on the Philippine Human Rights Situation. PHRC. 2007. 

6 Alison Jane Pickard. Research Methods in Information. Facet Publishing. 2007. pp. 86-87. 

Human Development Report, UNDP, 1996 
8 UNDP Report , 2001 

Art. 1, Declaration on the Right to Development 

10 Source Book on Human Rights. National College of Public Administration and Governance (UP- 

NCPAG) and Commission on Human Rights of the Philippines (CHRP). 2006. pp. 12-13. 

A Training Manual on Human Rights-Based Approach: Module II, Section 1, 2002 

Ibid 

Ibid 
14 CHRP. Principles and Concepts of Human Rights. Source Book on Human Rights. UP-NCPAG and 
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Ibid 

Ibid 
12 Ibid. 

18 Maria Socorro I, Diokno. State Obligations on Human Rights. Source Book on Human Rights. UP- 
NCPAG-CHRP.. 2006. pp. 48-53 

Human Rights in Development. UNDP. 1995. 
20 Edited by Colin Harvey, Human Rights in the Community: Rights as Agents for Change. Beritish 
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Declaration on the Right to Development, United nations. 1985 

22 UNDP, Rights-Based Development Training Manual. July 2002. p. 59 

23 Ibid. pp. 78-83 

24 Jorge R. Coquia. History, Theories of Sources and Development of Human Rights. Reprinted from 
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25 Aurora A. Parong. Principles and practices of Human Rights. Source Book on Human Rights. 
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26 University of Minesota Human Rights Center, peace Resource Center, Human Rights Time Line. 
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27 Ibid. pp. 10-11 

28 Office of the UN High Commissioner for Human Rights International Law, The Core International 
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29 UNDP Rights-Based Development Training Manual. UNDP. 2002. pp 16-17. 

30 

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UNDP, Governance and Sustainable Human Development. UNDP: 1994 . pp 1-8 

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37 1987 Philippine Constitution. 

38 Rights-Based tyo Development Training Manual. UNDP.2002. pp. 31-32. 

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42 Ibid. p. 51. 

Center for Public Resource Management, HRBA Design Manual, CPRM July 2002. 

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47 Ibid. p. 64. 

48 Connection between Human Rights, Good Governance and Sustainable Development: Case Study. 
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50 Michel Ch 
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B. Guy Peters , John Pierre .Governance without government? Rethinking public administration present 
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Administration Research and Theory. Volume: 8. Issue: 2. Publication Year: 1998. Page Number: 223+. 
COPYRIGHT 1998 University of Kansas; COPYRIGHT 2002 Gale Group 

58 Ibid. 

59 Ibid. 

Donald F. Kettl in his article entitled "The Transformation of Governance: Globalization, Devolution, 
and the Role of Government" . . Journal Title: Public Administration Review. Volume: 60. Issue: 6. 



221 



Publication Year: 2000. Page Number: 488. COPYRIGHT 2000 American Society for Public 
Administration; COPYRIGHT 2002 Gale Group 

Martin Doornbos. "Good Governance": The Metamorphosis of a Policy Metaphor "Governance" 
Quickly Became a Household Word, but as Is Often True of Buzzwords, There Has Hardly Been a 
Consensus as to What It Means, and Even Less of an Idea as How It Could Be Applied More Concretely. 
Journal of International Affairs. Volume: 57. Issue: I. 2003. COPYRIGHT 2003 Columbia University 
School of International Public Affairs; COPYRIGHT 2003 Gale Group 

M. Shamsul Haque . "Reinventing Governance for performance in South Asia: impacts on citizenship 
rights. " Journal Title: International Journal of Public Administration. Volume: 26. Issue: 8-9. Publication 
Year: 2003. Page Number: 941 +. COPYRIGHT 2003 Marcel Dekker, Inc.; COPYRIGHT 2003 Gale Group 

Upala Devi Banerjee. Ensuring Sustainable Livelihoods - Using Rights-Based Tools for Implementing 
Pro-Small Farmers 'oriented Policies in Klaten District, Central Java, Indonesia. An OXFAM GB 
Indonesia Case Study. Draft copy for the Asia-Pacific Regional Consultation of the Lessons Learned 
Projects. September 2005. 

R.A.W. Rhodees, "Governance and Public Administration" Debating Governance, John Pierre (edj. New 
York: Oxford University Press, 2000. pp 55-63. 

UNDP, Electoral Systems and Processes: Practice Note (January 2004), p.4. 

UNDP, Public Sector Management, Governance and Sustainable Development, 1995. 

H. George Frederickson and Kevin B.Smith. The Public Administration Theory Primer. Westview Press. 
2003. 

UNDP, Good Governance - and Sustainable Human Development. UNDP: New York, 1997. pp. 1-15 

R. A. W. Rhodes. "Governance and Public Adminis 
(New York: Oxford University Press, 2000) pp. 55-89 



R. A. W. Rhodes. "Governance and Public Administration" in Jon Pierre (ed.) Debating Governance. 



Course on Human Rights and Development, Virtual Development Academy. UNDP. 
71 NCPAG-UP, CHRP and UNDP Philippines. Source Book on Human Rights.2006. p249. 

Atty. Glenda T. Litong. The Way Forward: a Policy Resource Book on legal Empowerment of the Poor 
in the Philippines - Thematic Paper 1: Reducing Poverty and Ensuring Access to Justice through Legal 
Empowerment of the Poor. ESCRAsia. 2008. Pp. 50-122. 

Atty. Glenda T. Litong. The Way Forward: a Policy Resource Book on legal Empowerment of the Poor 
in the Philippines - Thematic Paper 1: Reducing Poverty and Ensuring Access to Justice through Legal 
Empowerment of the Poor. ESCR Asia. 2008. p. 52. 

Maria Socorro I,. Diokno. Human Rights Centered Development: Theory and Practice. 2002. p. 125 

Institute of Human Rights, 2005. A Democratic Audit of the Rule of Law and Access to Justice in the 
Philippines. Written and presented by the Institute of Human Rights at the Philippines Social Science 
Center and PROCESS Democratic Audit Series, September 22, 2005. Unpublished paper.. 

Rights-Based Development.; Training Manual. UNDP. 2002. p.36. 
77 Ibid. 

Atty. Glenda T. Litong. The Way Forward: a Policy Resource Book on legal Empowerment of the Poor 
in the Philippines - Thematic Paper 1: Reducing Poverty and Ensuring Access to Justice through Legal 
Empowerment of the Poor. ESCR Asia. 2008. p.p. 55. 

Rights-Based Development.; Training Manual. UNDP. 2002. p. 14. 

Atty. Glenda T. Litong. The Way Forward: a Policy Resource Book on legal Empowerment of 
the Poor in the Philippines - Thematic Paper 1: Reducing Poverty and Ensuring Access to 
Justice through Legal Empowerment of the Poor. ESCR Asia. 2008. pi 02. 

Dr. Amado Mendoza Jr. The Way Forward: a Policy Resource Book on legal Empowerment of 
the Poor in the Philippines. Thematic paper 2 - Property Rights and legal Empowerment of the 
Poor in the Philippines, pp 123-174. 



222 



Atty. Edmund T Lao and Mr. Jeremy Inocian. The Way Forward: a Policy Resource Book on 
legal Empowerment of the Poor in the Philippines. Thematic Paper 3 - Towards Fulfilling The 
Constitutional Mandate of Social Justice and Human Rights in the Informal Sector. 175-260. 

83 Reginald Indon. . The Way Forward: a Policy Resource Book on legal Empowerment of the Poor in the 
Philippines. Thematic Paper 4 - Legal Mechanisms to Empower Informal Businesses, pp.26 1-3 15 

84 Ibid, p 275 

Articles (2(3) and 6(3) of the Declaration on the Right to Development dated December 4, 1986 



Narrative Report of the project: Developing Sn. Fernando City as a Resource City for 



Best practice in Rights-Based MDG Localization. Commission on Human Rights of the 
Philippines, Regional Office 1. 2008. p. 4.. 
89 Ibid. 8. 

Ibid. p. 6. 
91 Ibid. pp. 12-20. 

. Narrative Report of the project: Developing Sn. Fernando City as a Resource City for 

Best practice in Rights-Based MDG Localization. Commission on Human Rights of the 
Philippines, Regional Office 1. 2008. pp. 19 -20. 

NEDA Functions and Organization. Official website of the National Economic Development 
Authority (NEDA). 

Human Rights-Based Approach Systems and Tools manual. Commission on Human Rights 

of the Philippines. Pp. 71-113. 

Human rights indicators setting was introduced as part of the validation exercise of 
another project on Human Rights Indicators Setting for MDGs being undertaken at the 
regional level. 

. Manual on Rights-Based MDG Localization Planning: San Fernado City La Union 

Experience. 2008. pp. 3-16. 

. Narrative Report of the project: Developing Sn. Fernando City as a Resource City for 

Best practice in Rights-Based MDG Localization. Commission on Human Rights of the 
Philippines, Regional Office 1. 2008. pp. 19 -20. 

___Manual on Rights-Based MDG Localization Planning: San Fernando City, La Union Experience. 
CHRP. 2008. p. 20. 

Terminal report : Developing San Fernando city as a Resource ccty for local 

mainstreaming of human rights in MDG localization. 

.Human Rights-Based Approach to Programming: Module II, Section 4 -Human Rights 

Obligations and Accountabilities, p. 59. 

Article 13 (2)(a) of the ICESCR, which states that " Primary education shall be compulsory 
and available free for all", and in General Comments No. 13(8) that states that " Primary 
education includes the elements of availability, accessibility, acceptability and adaptability which 
are common to education in all its forms and at all levels. " 

Article 13 (2) (b), which states that "Secondary education in its different forms, including 
technical and vocational secondary education, shall be made generally available and accessible 
to all by every appropriate means, and in particular by the progressive introduction of free 
education", and in general Comment No. 13 (11) stating that "Secondary education includes the 
elements of availability, accessibility, acceptability and adaptability which are common to 
education in all its forms and at all. levels. " 

.Human Rights-Based Approach to Programming: Module II, Section 4 - Human Rights 

Obligations and Accountabilities, p. 59 



223 



General Comment 1(2) to the ICESCR states that " A first objective, , is to ensure that a 

comprehensive review is undertaken with respect to national legislations, administrative rules 
and procedures and practices in an effort to ensure the fullest possible conformity with the 
Covenant. " 

Article 6(1) provides that " state parties to the Covenant recognize the right to work, which 
includes the right of everyone to the ooportunity to gain his living by work which he freely 
chooses or accepts and will take appropriate steps to safeguard this right. " 

Article 6 (2) provides that "the steps to be taken by a State party to the present covenant to 
achieve full realization of this right shall include technical and vocational guidance and training 
progrograms< policies and techniques to achieve steady economic< social and cultural 
development and full and productive employment under conditions safeguarding fundamental 
political and economic freedoms to the individual. " 

General Comment 7 (1) provides that "all persons should posses a degree of security of tenure 
which guarantees legal protection against forced d eviction, harassment and other threats. " 

General Comment 1(2) to the ICESCR states that " A first objective, , is to ensure that a 

comprehensive review is undertaken with respect to national legislations, administrative rules 
and procedures and practices in an effort to ensure the fullest possible conformity with the 
Covenant. " 

General Comment 13 (6a-6d) requiring that " education in all its forms and at all levels shall 
exhibit the following interrelated and essential features: availability, accessibility (non- 
discrimination, physical accessibility, economic accessibility), acceptability and adaptability. 

Article 2 of CED AW states that " States Parties condemn discrimination against women in all 
its forms, agree to pursue by all appropriate means and without delay a policy of eliminating 
discrimination against women... " 

Article 11 of CEDAW states that " States Parties shall take all appropriate measures to 
eliminate discrimination against women in the field of employment in order to ensure, on a basis 
of equality of men and women, the same rights, in particular:... " 

article 10 of CEDAW states that "States Parties shall take all appropriate measures to 
eliminate discrimination against women in order to ensure to them equal rights with men in the 
field of education and in particular to ensure, on a basis of equality of men and women...." 

Article 3 of the CEDAW states that " State partieshall take in all, in particular in the political, 
social, economic and cultural fields, all appropriate measures, including legislation, to ensure 
the full development and advancement of women... " 

Article 6 (1) of the CRC states that State parties recognize that every child has the inherent 
right to life and that(2) Sate parties shall ensure to the maximum extent possible the survival and 
development of the child, t 

Article 12 (1) of the CRC states that " The state parties recognize the right of everyone to the 
enjoyment of the highest attainable standard of physical and mental health, and (2) (a) the steps 
to be taken by the State parties to achieve the full realization of this right to include among others 
the provision for the reduction of all stillbirth-rate and of infant mortality and for the health 
development of the child. 

Article 3 (l)ofthe CRC states that " In all actions concerning children, whether undertaken 
by public or private social welfare institutions, courts of law, administrative authorities or 
legislative bodies, the beast interest of the child shall be a primary consideration. ". 

General Comment 1(2) to the ICESCR states that " A first objective, , is to ensure that a 

comprehensive review is undertaken with respect to national legislations, administrative rules 
and procedures and practices in an effort to ensure the fullest possible conformity with the 
Covenant. " 

Article 12 (2) provides that ' Notwithstanding the provisions of paragraph I of this article, 
States Parties shall ensure to women appropriate services in connection with pregnancy, 



224 



confinement and the post-natal period, granting free services where necessary, as well as 
adequate nutrition during pregnancy and lactation ". 

General Comment 3 of the CEDAW (par. 4) "urges all State parties effectively to adopt 
education and information programmes, which will help eliminate prejudices and current 
practices that hinder the full operation of the principle of the social equality of women. " 

121 Article 14 (2b & 2c) provides that "....shall ensure to such women the right: to have 
access to adequate health care facilities, including information, counselling and services 
in family planning and (c) to benefit directly from social security programmes; 

article 12 (1) provides that "States Parties shall take all appropriate measures to eliminate 
discrimination against women in the field of health care in order to ensure, on a basis of equality 
of men and women, access to health care services, including those related to family planning. " 

General Comment 3 of the CEDAW (par. 4) "urges all State parties effectively to adopt 
education and information programmes, which will help eliminate prejudices and current 
practices that hinder the full operation of the principle of the social equality of women. " 

Art 12 (2b) of the ICESCR provides ":the improvement of all aspects of environmental and 
industrial hygiene. " 

Article 2 (1) of the Declaration on the Right to Development provides that "The human 
person is the central subject of development and should be the active participant and beneficiary 
of the right to development. " And Article 3 (1) provides that "States have the primary 
responsibility for the creation of national and international conditions favourable to the 
realization of the right to development. " 

Art. 1 (1)) of the ICESCR provide "All peoples have the right of self-determination. By virtue 
of that right they freely determine their political status and freely pursue their economic, social 
and cultural development. 

Ibid. p. 26. 

. Narrative Report of the project: Developing Sn. Fernando City as a Resource City for 

Best practice in Rights-Based MDG Localization. Commission on Human Rights of the 
Philippines, Regional Office 1. 2008. p. 19-20. 

Refer to the various Rights-Based MDG Localization Plans produced by 40 barangays. 

. Terminal Report: A Pilot project on the Rights-Based Indicators Setting on the 

Right to Food. Government And Linkages Office (Govlink), Commission On Human 
Rights Of The Philippines (CHRP), p. 1. 

Ibid. p3. 

Ibid. p. 3 

Ibid. p. 3 

2006 project Completion Report. Departmentof Budget and Management, p.l. 

Outcome Evaluation of the Fostering Democratic Governance Programme (CY 2005- 

2007). p. 3. 

Implementing E.O 366: A Practical Guide to Managing the Change processes of the 

Rationalization Program. DBM and CSC. p. 5. 

Rights-Based Development: Training Manual. United Nations Development Program. P. 

36. 

Ibid. 
139 Ibd.p37. 

Implementing E.O 366: A Practical Guide to Managing the Change processes of the 

Rationalization Program. DBM and CSC. p. 9. 



225 



Implementing E.O 366: A Practical Guide to Managing the Change processes of the 

Rationalization Program. DBM and CSC. p37.. 

Outcome Evaluation of the Fostering Democratic Governance Programme (CY 2005- 



2007): 2005 Project " Capability Enhancement program for the DBM on Rationalizing and 
Improving Public Services Delivery", p. 4. 

Implementing E.O 366: A Practical Guide to Managing the Change processes of the 

Rationalization Program. DBM and CSC. p 7. 



UNOHCHR. Handbook on National Human Rights Plan of Action. Professional Training 
Series No. 10 UN. New York and Geneva. August 29, 2002. 

Guidelines for the Formulation of the National Human Rights Action Plan. Presidential 

Human Rights Committee. June 18,2008. pp. 1-38. 

__National Human Rights Action Plan: Formulation Guides. Presidential Human Rights 
Committee (PHRC). November 2008. pp. 8-9. 

__NHRAP Guide for the Conduct of A Baseline Study. PHRC. October 2008. pp. 2-5. 



NHRAP Guideline for the Conduct of Public Consultations. PHRC. October 2008. pp. 1-15. 

Data provided by the Presidential Commission for the UHRBAn Poor for the period 2006- 
2008 

There are five pillars to the justice system: community, police, prosecution, courts/judiciary, 
and penology 

The existing laws on gender-based violence include: the Anti-VAWC (RA 9262), Anti-Human 
Trafficking(RA 9208), Anti-Sexual Harassment(RA 7877), Anti-Rape (RA8353); and the Rape 
Assistance Act(RA 8505). 

Atty. Glenda T Litong. The Way Forward: a Policy Resource Book on legal Empowerment of 
the Poor in the Philippines - Thematic Paper 1: Reducing Poverty and Ensuring Access to 
Justice through Legal Empowerment of the Poor. ESCR Asia. 2008. pi 02. 

Ibid. p3. 

158 

Include (i) vendors, whether with stalls or without including ambulant vendors, street 
vendors or those plying their goods and trades in streets and those engaged in sari-sari 
stores which conform with the total asset value requirements as mentioned in Section 4 
(f) of this Act; (ii) marginalized farmers; (Hi) marginalized fisher folks; (iv) home-based 
workers who are independent producers of goods or services and whose total asset value 
conforms with that mentioned in Section 4 (f) of this Act; (v) small transport such as but 
not limited to non-corporate operators of small marine boat or vessel for transport, 
tricycle, pedicab, habal-habal, calesa, kuliglig or "trolley" whose total asset value 
conform with the requirement as mentioned in Section 4 (f) of this Act 

(i) on call domestic workers; (ii) barbers, manicurists or pedicurists; (Hi) drivers of 
tricycle, pedicab, habal-habal, kalesa, kuliglig, "trolley" or small marine vessel/boat; 
(iv) "barkers", fare collectors, dispatchers and other workers who share in the income of 
the non-corporate operators; (v) welders and mechanics; (vi) non-corporate 
constructions workers such as but not limited to carpenters, plumbers, electrician, mason 
or house painters; (vii) television, radio and air condition technicians 



226 



Article 13 (2)(a) of the ICESCR, which states that " Primary education shall be compulsory 
and available free for all", and in General Comments No. 13(8) that states " Primary education 
includes the elements of availability, accessibility, acceptability and adaptability which are 
common to education in all its forms and at all levels. " 

Article 13 (2) (b), which states that "Secondary education in its different forms, including 
technical and vocational secondary education, shall be made generally available and accessible 
to all by every appropriate means, and in particular by the progressive introduction of free 
education", and in general Comment No. 13 (11) stating that "Secondary education includes the 
elements of availability, accessibility, acceptability and adaptability which are common to 
education in all its forms and at all. levels. " 

Article 6 (1) provides that " state parties to the Covenant recognize the right to work, which 
includes the right of everyone to the opportunity to gain his living by work which he freely 
chooses or accepts and will take appropriate steps to safeguard this right. " 

Article 6 (2) provides that "the steps to be taken by a State party to the present covenant to 
achieve full realization of this right shall include technical and vocational guidance and training 
proggrams< policies and techniques to achieve steady economic< social and cultural 
development and full and productive employment under conditions safeguarding fundamental 
political and economic freedoms to the individual. " 

General Comment 7 (1) provides that "all persons should posses a degree of security of tenure 
which guarantees legal protection against for ce3d eviction, harassment and other threats. " 
166 David Wilcox .The Guide to Effective Participation. Partnerships Online Web site - 
URL., http://www.partnerships.org.uk/pres/fitlog/sld007.htm 



227 



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232 



Appendices 

A. List Project Outputs and Documents Reviewed for the Case Studies 

B. Summary of Responses of ESCR, Asia on Case 1 

C. Summary of Responses of CHRP 1 and Barangay Participants on 
Case 2 

D. Summary of Responses of CHRP- RTF on Case 3 

E. Summary of Responses of DBM on Case 4 

F. Summary of Responses of CCJD on Case 5 

G. Summary of Responses of PHRC and Lead Agencies on Case 6 

H. Summary of Feedback Report on the six (6) Cases from the CHRP 

as Implementing Partner 
I. Summary of Feedback Report from other HRBA Practitioners 
J. Design of the Case Study and Collective Case Analysis 
K. Guide Questions for the Records Review 
L. Questionnaire on User Satisfaction Rating Sheet 
M. Feedback form on Comments & Recommendations of CHRP as the 

Implementing Partner of the Projects under the Governance 

Portfolio, and other HRBA Practitioners 



233 



Appendix A 



List Project Outputs Reviewed 
For the Case Studies 



Case 1 - Legal Empowerment of the Poor by ESCR, Asia 

1 . Draft Magna Carta for the Informal Sector 

2. The Way Forward: A Policy Resource Book on Legal Empowerment of the 
Poor in the Philippines 

3. Beyond Informality, Claiming Dignity: A Training Course for Capability 
Building of Leaders and members of Informal Sector Organizations 

4. Buhay Informal: Wakasan ang Siglo ng Isang Kahig Isang Tuka 

5. Legal Empowerment: Kalagin ang Bigkis ng Kahirapan 

6. Karapatan sa Pagmamayari: Karapatan ng Maralita 

7. Summary of Findings and Recommendation 

Case 2 - Developing Sn. Fernando City as a Resource City for Best practices in Rights- 
Based MDG Localization 

1. Barangay Rights-Based MDG Localization Plans of 49 Barangays 

2. Rights-Based MDG Localization Planning for 3 Pilot Barangays 

3. Training Programs and Kits 

4. Printed Manual on the Project 

5. Proceedings of the Joint Meeting of the City Local Development Council and 
Human Rights Steering Committee 

6. Proceedings of the MDG Project Partners' meeting 

Case 3 - Right to Food Project by the CHRP Central Office 

1 . Rights -Based Directory Of Partners On The Right To Food 

2. Analysis of the Performance Indicators on the Right to Food 

3. Bases Of Classification Of The Department Of Agrarian Reform 

4. Bases of Classification for State Obligations on the Right to Food- 
Department of Agriculture 

5. Bases of Classification for State Obligations on the Right to Food - 
Department of Agriculture 

6. Comments From The National Economic Development Authority (Neda) 



234 



7. Levels Of State Obligation On The Right To Food In Relation To The Bureau 
Of Trade And Consumer Protection (Btrcp), Department Of Trade And 
Industry (Dti) 

Case 4 - Implementing E.O. 366: A Practical Guide for Managing the Change Processes 
of the Rationalization Program by the Department of Budget and Management 

1. Project Outcome Evaluation 

2. Implementing E.O. 366 - A Practical Guide for Managing the Change 
processes of the Rationalization Program 

Case 5 Media Community Action on Mainstreaming Rights-Based Approaches at the 
Local level 

Case 6 - National Human Rights Action Planning by PHRC 

1 . Book 1 - Handbook on the NHRAP 

2. Book 2 - Guidelines for the Conduct of Public Consultations 

3. Book 3 - Guidelines for the Conduct of Baseline Study 

4. Book 4 - Tracking Guide for the Application of HRBA in the NHRAP 

5. Chapter 1 General Framework 

6. Chapter 2 Thematic Plan - ICCPR 

7. Chapter 3 Thematic Plan -ICESCR 

8. Chapter 4 Thematic Plan -CAT 

9. Chapter 5 Thematic Plan - CRC 

10. Chapter 6 Thematic Plan- CEDAW 

11. Chapter 7 Thematic Plan -CMW 

12. Chapter 8 Thematic Plan CERD 

13. Chapter 9 Thematic Plan - CRPD 

14. Workshop Cum Consultation on Rights-Based Approach for the NHRAP 

15. Area Consultation Plan and program 



235 



Appendix B 



USER SATISFACTION RATING SHEET 

Summary of Responses from ESCR,, Asia - Case 1 
What made it easy for you to apply the HRBA in your thematic planning? 

1 . The application of the HRBA is easy because, first, it is intrinsic or an inherent 
mandate of a human rights organization likes ESCR-Asia. 

2. The understanding of what HRBA, is a lot easier to an HR entity than to an 
NGO or any entity not having the rights mandate. 

What difficulties did you encounter in applying the HRBA in your thematic planning ? 

1. HRBA is also an 'expensive' approach. 

2. Employing the "bottom-up" approach, ensuring participation, gender balance, 
discrimination, etc. do not only require skill, time but also resources. 

3. ESCR-Asia has to do an island-hopping consultation to ensure that the cultural 
nuances in drafting the proposed bill will be considered. 

4. No one NGO, even if the mandate is rights-motivated, can't claim monopoly to 
the correctness of the application of HRBA. 

What is the added value of the HRBA to your thematic planning? 

1. The added-value is in ensuring that the planning is validated from the ground; 

2. LEP Phase 2 was a continuation of Phase One and merited the consultation of 
various informal sector groups; 

3. LEP Phase 3 project components were presented to the partners including 
getting their critique; 

4. It is easy to plan themes but emanating it from the partners/constituents is 
difficult; 

5. HRBA also builds mutual goodwill among the funder-donor, the implementor 
and the field partners; and 

6. HRBA also enfleshes a principle in the Right to Development Declaration that 
"...that the human person is the subject, participant and beneficiary of 
development..". 

What are your suggestions to ensure the effective use of HRBA? 

1. Process documentation: 

2. Faithful employment of at least the following principles: participation, gender 
balance, non-discrimination, budget allocation for validation, at least two-island 
consultation if project is nationwide; 



236 



3. Translation to Filipino or the equivalent language any English-driven/dominated 
projects; and 

4. An orientation of what HRBA mean specially to the team implementing a 
project. 



237 



Appendix C 



USER SATISFACTION RATING SHEET 

Summary of Responses from CHRP Region 1 Case 2 
(Respondents: Proponent and 10% Of the 49 barangays that participated 

In the local planning) 



What made it easy for you to apply the HRBA in your local planning? 

1 . The support of LGU themselves 

2. Inclusion of HRBA in RDC thru resolution enjoining all LGUs, RLAs and 
other Agencies, Institutions to apply HRBA in their 
planning/programs/policies 

Consistent lobbying of HRBA by CHR Regional Office 

3. Proper coordination between and among duty-holders a as well as monitoring 
of its i2. Implementation, Claimholders are well informed of the benefits 

4. Training and education constituents are receptive to the basic rights of the 
people in the barangay. Contributions from prominent families in the 
barangay to the fulfillment of plans 

5. Familiarity with human rights of individuals 

6. Enough budget, support of the council and participation of the community 

7. Information on human rights and how it works to improve human 
development 



What difficulties did you encounter in applying the HRBA in your local planning? 

1 . Lack of orientation on HRBA 

2. Lack of support from central office specially funding 

3. Misimpression that HRBA is new approach difficult to implement 

4. Inadequate information dissemination on various assistance available and or 
are in planning 

5. Misunderstanding due to different ideas 

6. If your plan does not address the actual needs of the constituents 

7. Lack of knowledge and information regarding human rights 



238 



8. Lack of human rights awareness of duty-bearers and claimholders 



What is the added value of the HRBA to your local planning? 

1 . More avenues for local legislation 

2. Inclusion of outcomes as an added dimension in monitoring 

3. Well-informed claimholders and duty-bound stakeholders responsible 
collaborators including constituents 

4. Client satisfaction is easily attained 



5. Inclusion of human rights in local planning 

6. Understanding of human rights obligations of the government that will 
resolve community problems 



What are your suggestions to ensure the effective use of HRBA in the government? 

1. For other regions to lobby HRBA at the RDC Congress to pass a law re 
Integrating HRBA into the plans and program of LGUs 

2. Strict implementation, full force orientation and dissemination to the public, 
additional funds to be allocated for the realization of the HRBA in the 
country. 

3. Continued and uninterrupted media blitz on information dissemination of the 
basic rights of all human beings 

4. Need more seminar on human rights duties and responsibilities of the council 

5. Local planners should be equipped with full knowledge and information 
about HRBA localization Teach how government and NGOS can work 
together under HRBA 

6. Government agencies should be well informed and educated on HRBA 



239 



Appendix D 

User Satisfaction Rating Sheet 
Summary of Responses from CHRP RTF Proponent - Case 3 

What made it easy for you to apply the HRBA in your project? 

1. It was a welcome undertaking as it was viewed as part of my task in our 
institution's mandate to monitor government compliance with human rights 
obligations. 

2. A directive was issued by the Commission-en-Banc on implement the project 
using HRBA 

3. Support of the UNDP 



What difficulties did you encounter in applying the Human Rights Based Approach in 
your project? 

1 . It was difficult to sustain Sustainability. 

2. Sustaining the method proved to be a gargantuan task since maintaining regular 
meetings to assess existing indicators and developing what is call 'human rights 
indicators' entailed a lot more resources and expertise, which the Commission 
could not readily obtain. 

3. Applying the human rights based approach at the time and asking government to 
pursue this on their own was another matter. 

What is the added value of the HRBA to your project? 

1 . It provided method to human rights work. 

2. It breaks down the process, provides guidelines or steps and elucidates the how in 
HR work. Many HR advocates just know how to go about a human rights 
critique. 

3. Limitations of government entities who view HR with mystique and dismiss 
knowing human rights as too technical and crafty. 

What are your suggestions to ensure the effective use of HRBA in government? 

1. To convey the message that HRBA is a perspective not alien to governance but 
can be regarded as how effective governance can be assessed and measured. 

2. Key issuances must be disseminated to government structures such as 
administrative and/or executive orders, joint undertakings and the engagement in 



240 



existing human rights mechanisms such as the treaty reporting process to force 
the issue that human rights is at the core of public service and its full enjoyment 
rests on the efficacy of governance. 



241 



Appendix E 



USER SATISFACTION RATING SHEET 
Summary of Responses from DBM - Case 4 

A. What made it easy for you to apply the HRBA in your thematic planning? 

1 . Preparing the Guidebook from the perspective of HRBA was easy. 

2. Change management starts with the premise that what is being managed is the 
human dimension of change — how people respond, adapt to, or adjust to any 
change that happens in an organization. 

3. Basically, change management and its principles were seen to have HRBA as a 
foundation. Once these were set, the content of the Guidebook was relatively 
easy to decide on and develop. 

4. Orientation to human rights made it easy. Statements like 'an incumbent in a 
position that is affected by rationalization has options: to stay in his/her position, 
transfer to or apply for another position within the same Department or another 
Department, or retire/resign with an incentive' already affirms the rights of the 
individual. 

5. It involved people every step of the way: in defining the needed changes (setting 
up a coalition or change management team that will advocate for the needed 
changes, change sponsors, change targets, change agents), communicating the 
change, and addressing resistance, among others 



B. What difficulties did you encounter in applying the HRBA in your thematic planning? 

1 . Not much, where the topic was concerned. 

2. Writing a guidebook for a diverse audience presented a difficulty, since there 
is the notion that not everyone in the bureaucracy may take a discussion on 
human rights well. 

3. Care was taken not to explicitly talk about human rights in the material, as it 
might evoke (before any clear understanding of the content and process of 
rationalization can be made) reactions and complaints against people losing 
their jobs. 

4. Human rights is always a ticklish issue, and can generate different responses. 

5. So what was done in the Guidebook (and in the process of rationalization, as 
presented in E.O. 366) was to weave into the material steps, activities and 
strategies that would ensure the rights of incumbents are protected. 



C. What is the added value of the HRBA to your thematic planning? 



242 



1 . It provided additional focus. 

2. HRBA was not a stranger to it, but affirmed its principles and approaches. 

3. Writers were more open to the human rights aspect of every step, strategy, 
skill, tool that I considered for inclusion in the Guidebook. 

D. What are your suggestions to ensure the effective use of HRBA? 

1 . Continue advocacy. 

2. Examine program/project strategies and see how human rights are addressed 
there. 

3. Examine how promotion, protection and fulfillment are woven into the 
processes of programs and projects, in their design and actual 
implementation. 

4. prescribe indicators for the promotion, protection and fulfillment of human 
rights. 

5. Wide dissemination of HRBA indicators for programs and projects 



243 



Appendix F 

USER SATISFACTION RATING SHEET 
Summary of Responses from the CCJD on Case 5 
What made it easy for you to apply the HRBA in your thematic planning? 

1 . The HRBA shaped the content and the activities of public journalism 
implemented in the community press. 

2. It was easily used in planning for stories and special reports and interventions 
like community meetings, polls and focus group discussion that are part of 
public journalism initiatives. 

What difficulties did you encounter in applying the HRBA in your thematic planning? 

1 . The awareness of rights, in terms of claiming them at first instance 

2. Awareness is generally low among media practitioners and the media 
audience 

3. HRBA materials not easily understandable and explicitly state that in their 
stories and community activities. 

What is the added value of the HRBA to your thematic planning? 

1 . It is a tool that helped make the editorial output comprehensive and relevant 

2. It gives focus to the sectors 

3. It identifies their general and specific needs and rights. 

4. It can also be applied to any coverage - disaster, election, environment, 
children and women's stories 

What are your suggestions to ensure the effective use of HRBA? 

1. Encourage its use among media practitioners; 

2. Show examples of excellent stories, media projects; 

3. Recognize journalists who use the approach; 

4. Provide support/grants to those who will write special reports and community 
projects. 



244 



Appendix G 



USER SATISFACTION RATING SHEET 

166 



Summary of Responses of PHRC Lead Agencies 
(Respondents: NEDA, DOLE, NCDA, DOJ, DILG, CWC-DSWD, NCRFW and NCIP) 



E. What made it easy for you to apply the HRBA in your thematic planning? 

1. The application of HRBA gave us a specific pattern to follow such as where to 
start and where to go. 

2. The series of orientation/planning workshops primed NCDA for its role as far 
as CRPD is concerned 

3. Attending previous seminars on HRBA 

4. Familiarity with the contents of the Conventions 

5. The guides are straight forward and readily applicable 

6. Orientation-trainings on HRBA plus working knowledge of the instrument 
being focused 

7. Getting the commitment of agencies identified by the NGOs in terms of 
specific target areas, financial support and statistics and baseline to support 
the HR issues raised by NGOs 

8. Pressing human rights concerns are reflected in the baseline 



F. What difficulties did you encounter in applying the HRBA in your thematic planning? 

1. Since HRBA is an new method for us, we need still to familiarize ourselves 
on the process of our formulation of the thematic plans 

2. Placing HRBA in practical setting that sometimes they conflict with usual 
policy of the office 

3. Some solutions are beyond the control of the planner- implementor 

4. Piecemeal contributions and resource constraints 

5. The protracted process of developing the plan. Had there been a one-full 
week of focused work, the process could have been more direct. O f course 
the comprehensiveness of the plan could be the serious for the lengthy process 

6. Breaking down the programs, projects and activities that reflect the HR 
obligations of duty-bearers and entitlements of claimholders 

G. What is the added value of the HRBA to your thematic planning? 

1. It makes a systematic method of formulating plans and programs 



245 



2. It gives a specific starting point on the formulation of the plans and programs 

3. It is most helpful in the formulation of the various programs, activities and 
projects where these were not included based on a needs perspective but on 
identified rights of the beneficiaries and claimholders 

4. There seems to be a tug of war between needs and rights and it needs 
considerable time and effort to reach out to the sector and make them 
understand for maximum participation 

5. HRBA coordinate all offices plans and programs to be HR oriented 

6. Hidden issues have surfaced, HRBA enlightens parties involved in the 
planning 

7. Focus on vulnerable sectors and seriousness and urgency of certain issues 
needing immediate attention 

8. The deliberate and unconditional human rights focus 

9. Focused on the rights of every person 

10. Lack of commitment from government agencies in providing the information 
needed that would help in formulating the programs, projects and activities 



H. What are your suggestions to ensure the effective use of HRBA? 

1 . More info dissemination on the application of HRBA on program of 
government 

2. Popularization and operationalization of HRBA down to the smallest LGU 

3. Apply HRBA in all government agencies and programs 

4. Enlightenment on the International HR Instruments 

5. Priority of NGA as duty-bearer 

6. Priority of CSOs as claimholders 

7. Tighten agency responsibilities over specific HR instruments to ensure 
accountability 

8. Include HRBA as a key result area especially for law enforcement agencies 

9. Sustain and even strengthen coordination function of the HR Committees of 
with the highest possible leadership support 

10. Training for all agencies on the application of HRBAS in planning 

11. There should be issuances of circulars issued mandating all the departments, 
bureaus and institutions to adhere to the principles of HRBA in their 
respective development plans 

12. Improve capacities of government agencies and NGOS on HRBA 



246 



Appendix H 



Summary of Feedback Report on the six (6) Cases 
From the CHRP as Implementing Partner 



Comments/Recommendations on the HRBA Project Cases 

1. General comments on how HRBA was applied by the project proponent 
and recommended areas for improvement 

Case 1 

A common training framework on the use of HRBA should be formulated and adopted 
subject to the principal responsibility and accountability of the duty bearers, on one hand 
and the human rights concerns/issues and vulnerability of the claim holders - to achieve 
more synergy in HRBA advocacy. 

Case 2 

HRBA was applied using a participatory framework as duty bearers and claim holders 

were involved in the process. Monitoring and follow through of commitments by the 

local government units should be given further emphasis. Institutionalization of HRBA despite 

leadership changes should also be considered. 

Case 3 

Introduce to the duty bearers (particularly NED A) the indicators on the Right to Food 
developed by the OHCHR-Right to Development Unit for adoption and implementation 
by the principal government agencies concerned. This will provide the framework for 
monitoring of government's compliance. 

Case 4 

A laudable project that should be emulated in all change management processes of the 
Government. Need to institutionalize the process in oversight government agencies such 
as the DBM and COA. 



Case 5 

An effective way of developing and strengthening partnerships on human rights and good 
governance between and among the LGUs, media and the community. Should be 
replicated in other selected areas in the three island groups, subject to selection criteria 
and parameters. 

Case 6 



247 



As mentioned in the paper, the effective use of HRB A can be improved/maximized if 

training is undertaken for all national and local governments on human rights norms, 

standards and obligations and in the application of HRB A in planning, coupled with 

the development and publication of HRB A information materials. PHRC should 

prioritize these initiatives, with technical expertise from the CHRP. Ensure maximum 

participation of CSOs in all the processes from conceptualization to implementation to 

monitoring. 

Assessment and possible adoption/incorporation of the qualitative and quantitative HR indicators 

on 16 Rights developed by the OHCHR-Right to Development Unit into the NHRAP. 

Comments on common issues raised in the six (6) project cases: 

a) Lack of training on HRB A 

I agree. There is lack of training in HRBA particularly for the duty bearers, thus, there is 
No common conceptual framework by which monitoring of compliance, progressive 
Realization of economic, social and cultural rights and accountability are measured. 

b) Lack of information materials on HRBA and documentation of HRBA 
practices 

Yes, there is dearth of HRBA information materials. Publication of knowledge products, if 
any, should be prioritized by CHRP and NEDA with financial support by international 
funding institutions. 



c) Suggestions to sustain or replicate the project 

Wholistic presentation to the CHRP, NEDA and concerned government agencies and 
Claim holders of the projects undertaken so far for information and replication. The next 
steps should also be agreed upon, to include institutionalization of HRBA and 
collaborative mechanisms between and among agencies of government. 

Your role as expert/practitioner in shepherding the wider 
practice of HRBA by government and civil society 

The CHRP should take a more proactive stance as a catalyst in the wider practice of 
HRBA by government and civil society. It should develop its own expertise from within 
the organization from the top management to the technical staff members. It should 
also prioritize trainings of HRBA with the end view of having a core set of HRBA experts 
from both the government and civil society particularly the academe. It also should 
shepherd the publication of HRBA knowledge products for dissemination and reference 
purposes. 



248 



Appendix I 
Summary of Feedback Report from other HRBA Practitioners 



A. NEDA-Governance 



The representative of the NEDA Governance Portfolio expressed that, in fairness 
she could not comment on the six (6) cases since she was not involved in the GOP- 
UNDP Fostering Democratic Governance Programme at the time these were 
implemented. 

The Governance Programme, under the NEDA's charge is taking steps to steer the 
Programme towards the country's compliance with international human rights 
treaties and institutionalizing human rights principles in governance institutions and 
processes as provided in Administrative Order Nos. 163 and 249. 

Pursuant to AO No. 249, NEDA will be implementing a series of capacity 
development interventions to enable it to effectively mainstream the human rights - 
based approach (HRBA) in the 2010-2016 MTPDP and other development policies 
and programs. 



B,. EU - Human Rights and Gender Mainstreaming (Operations Section). 

A key weakness of the various actions documented is the tendency to 'projectise' or 
compartmentalize human rights response into short-term projects. There is a clear 
absence of a national level indicators or strategy for human rights similar to the 
Philippine MDG Action Plan, to guide and measure progress towards international 
commitments and obligations. 



C. Asia Foundation 



Comments/Recommendations on the HRBA Project Cases 

3. General comments on how HRBA was applied by the project proponent 
and recommended areas for improvement 

Case 1: The indicators generated and the process employed in carrying out the project 
well demonstrates the application of HRBA. It is thus imperative to document the tedious 



249 



yet worthwhile application of HRBA. I agree with the recommendation that there should 
be a more detailed documentation of the step-by-step process. 

Case 2: The usual difficulty with working with local governments is that when a new 
administration comes in, efforts of the previous leadership are changed or even put to 
naught. I think this project would have greater sustainability if there was more 
substantive participation of local government officials who are not occupying elective 
posts. 

Case 3: This case reveals the challenges in introducing HRBA on an inter- agency level 
the leveling off on HRBA and mapping of responsibilities are good starting points for 
the project. Since the project is yet to be completed it may be good to gauge the impact 
of the applying the HRBA at the close of the project implementation. 

Case 4: The application of the HRBA is very relevant in this project, which would 
expectedly meet some opposition. The provision of alternative opportunities to affected 
employees is a laudable practical result of the rights-based process. Inasmuch as 
managing change is a focus of the project, I think the value of participation and 
inclusivity must be emphasized in preparing the rationalization plan. 

Case 5: This is another good example of HRBA application. Like in Case 1, my 
recommendation relates to the need to document the process for easier replication. 

Case 6: The earnest application of the HRBA in the consultations among government 
and non-government stakeholders is commendable. It may be recommended that the 
consultation process be made more extensive in terms of scope (not just human rights 
NGOs) and depth (not just one session consultations). This would definitely require 
more financial resources and time but this would ensure participation and buy-in for the 
action plan. 



4. Comments on common issues raised in the six (6) project cases: 

a) Lack of training on HRBA 

b) Lack of information materials on HRBA and documentation of HRBA 
practices 

These two (a&b) are common issues in mainstreaming human rights. Training of trainors 
and focal persons (as well as continued guidance and coaching); development of handy 
tools and instruments and proper dissemination, documentation of best practices will 
undeniably be useful in this aspect. It may also be good to learn lessons on gender 
mainstreaming which can apply to incorporating a rights-based approach to various 
projects. 

c) Suggestions to sustain or replicate the project 



250 



One would be to identify champions within agencies at both top- and mid-level positions. 
Mid-level career champions often stay on longer in an institution and are the ones who 
climb up the career ladder to eventually become heads of offices. Constituency support 
outside the agency is also crucial. As mentioned in previous comments, documentation of 
experiences and processes and translating these into tools for future reference will be 
useful for replication. Institutionalizing the process through manuals and official 
directives will also be important. 



5. Your role as expert/practitioner in shepherding the wider practice of HRBA by 

government and civil society 

One is by starting with an active consciousness of applying HRBA in different 
processes and interventions, particularly in capacity-building activities where 
champions and focal persons can be trained on the rights-based approach. Another 
is by supporting efforts that will institutionalize the use of HRBA especially in 
government. 



251 



Appendix J 
Design of the Case Study and Collective Case Analysis 

A. Overview of the Project Case 

This section summarizes the case study through a presentation of the background and 
purposes of the case study, the project design, a summary of the project gains from using 
the HRBA, a summary of lessons learned from the application of HRBA and a 
presentation of the user satisfaction on the use of HRBA in the project. 

B. Overview of the Project Proponent 

This section describes the mission, key functions, mandate of the proponent in relation to 
the project and where applicable the organizational structure of the proponent. The 
discussion on the proponent explains the capacity of the proponent to apply the HRBA in 
the project. 



C. Evidence-Based Application of HRBA in Project Implementation 

This section provides the meat and substance of the case study. It elucidates on the 
unique and exceptional achievements of the project having applied the HRBA, the 
development of a rights-based constituency and the human rights content of the process 
undertaken by the proponent and participants of the project to operationalize HRBA. 



D. Institutional/Organizational Issues and Constraints 

This section describes the various issues and constraints encountered by the proponent in 
applying the HRBA, how they were able to address or overcome these constraints and 
their consequences and effects on the project 



E. Evidence-Based Application of HRBA in Project Outputs and Outcomes 

This section analyzes the added value of the HRBA on the results of the projects at the 
output level and where applicable, at the outcome level. It examines and scrutinizes the 
human rights content of either the output or outcome of the project resulting from the 
application of the HRBA.. 

F. Evidence-based HRBA Indicators Generated from the Project 



252 



This section attempts to present HRBA indicators that were generated from the project 
that can serve as possible gauge or measure by which to determine the extent and level of 
application of the HRBA elements. 



G. Lessons Learned from the Application of the HRBA 

This section explains the various lessons derived from the application of HRBA as far as 
its contribution to the project itself and to the development or governance objectives of 
the projects. 

H. Conclusion, Future Direction and Replicability 

This section attempts to formulate conclusions on the particular modality by which the 
HRBA was practiced in the project, its sustainability and future plans, as well as 
potentials for replication. 



GUIDE FOR CONTENT ANALYSIS ACROSS CASES 

1. Evidence-based proofs that through the HRBA the project case effected a paradigm 
shift from development needs to rights; 

2. Evidence-based proofs that through the HRBA certain human rights standards were 
applied in the implementation of state obligations and human entitlements as 
exemplified under the human rights normative content and standards contained in the 
various human rights treaties; 

3. Evidence-based proofs that HRBA caused the application of core and/or fundamental 
human rights principles that have enhancing influence in the establishment of 
accountability and overall capacity building of governance actors in the project; 

4. Evidence-based proofs that through the HRBA human rights dimension and criteria 
in the traditional development processes of formulating and developing policies, 
programs and projects resulted to rights-based outputs and outcomes; and 

5. Evidence-based proofs that the use of HRBA tools and such other institutional 
conditions and pre-conditions made possible the effective use of the approach. 



253 



Appendix K 



Guide Questions for the Case Records Review 



1. What constitutes HRBA as applied in the project? 

2. Are the stakeholders aware of HRBA? How did the stakeholders participate 
in the project? 

3. What are the stages of the project? Did the proponent apply HRBA at every 
stage of the project? 

4. How did the proponent apply RBA in the project? What steps did they 
take? 

5. Did the proponent apply any RBA Tool? Was it useful? 

6. What is the output of the project and how was it influenced by HRBA? 

7. Was the application of HRBA successful? What are some of the indicators 
to show gauge on how HRBA was applied? 

8. What are the conditions that make RBA work in a project? 

9. What difficulties did the proponent encounter in applying RBA in the 
project? 

10. What will make HRBA work? If the proponent has another project, will it 
still use HRBA? 

11. Are your stakeholders satisfied with the output of the project? 

12. If you did not use RBA, will you be able to generate the same output? 

13. What makes the output or outcome rights-based? 



254 



Appendix L 



Questionnaire on User Satisfaction Rating Sheet 

August 4, 2009 

Dear 

I am concluding the case documentation of six (6) projects that applied the 
Human Rights-Based Approach (HRBA). One of these, is your project entitled "Change 
management Guide in Implementing the Government Reorganization.. " 

In this regard, may I request you to kindly ask at least who participated in the 
preparation of the Guide to answer the questionnaire below. Kindly email the 
accomplished questionnaires to rclibrea@yahoo.com. ph. 

Thank you so much and my warm regards. 

Rosette C. Librea 



USER SATISFACTION RATING SHEET 

(Questionnaire) 

What made it easy for you to apply the HRBA in your thematic planning? 



What difficulties did you encounter in applying the HRBA in your thematic planning? 



What is the added value of the HRBA to your thematic planning': 



255 



What are your suggestions to ensure the effective use of HRBA? 



256 



Appendix M 

Feedback form on Comments & Recommendations of CHRP 

as the Implementing Partner of the Projects under the 

Governance Portfolio, and other HRBA Practitioners 



6. General comments on how HRBA was applied by the project proponent 
and recommended areas for improvement 



7. Comments on the issues raised by the project 
a) Lack of training on HRBA 



b) Lack of information materials on HRBA and documentation of HRBA 
practices 



c) Suggestions to sustain or replicate the project 



8. Your role in shepherding the wider practice of HRBA by government and civil society both 
at the national and regional levels. 



257 



Appendix N 
TRACKING GUIDE QUESTIONS ON HRBA APPLICATION IN THE NHRAP 
a) On Content 



1) Does it contain a brief introduction of the rational and legal bases of the 
NHRAP i.e,, AO 163, provisions of the Universal Declaration of Human 
Rights (UDHR) and eight core international human rights treaties ( See 
Indicative Chapter 1, p.l, Guidelines in the Formulation of the NHRAP 

p.D; 

2) Does it contain a brief description of the results/commitments of the 
Philippine government in the recently concluded Universal Periodic 
Review (UPR), and/or is relevant to the implementation status of the eight 
core treaties particularly to the concluding observations/ recommendations 
of specific treaties? (See Indicative Chapter 1); 

3) Does it contain a brief historical background on the national action 
planning on human rights specified under the International Human Rights 
System concurred in Vienna in 1993? (See Indicative Chapter 1); 

4) Does it contain a brief description of status, evaluation, and results of the 
first Phil Human Rights Plan: 1995-2002? (See Indicative Chapter 1, p.2); 

5) Does it contain an intended outcome of the NHRAP with relevant 
application or customization at the RHRAP level? (NHRAP Indicative 
Chapter 1, p. 3); 

6) Does it contain the vision of the NHRAP and customized in the RHRAP 
based on local context? (Indicative Chapter 1, p. 3); 

7) Does the NHRAP adopt specific guiding principles in its formulation, and 
these guiding principles are contextualized at the RHRAP based on local 
conditions in consideration of the basic principles of universality of human 
rights standards, national ownership and empowerment, etc. ? (See 
Indicative Chapter 1, p. 4); 

8) Does it briefly describe the Human Rights-Based Approach (HRBA), the 
approach in the NHRAP/RHRAP Formulation? (See Guidelines for the 
Formulation of the NHRAP, p. 3 & Indicative Chapter 1 pp. 10-11); 



258 



9) Does it have clear and applicable goals for 2009-2014 for the 
improvement on the level of public consciousness and the human rights 
situation in the country and/or in the region? (Indicative Chapter 1, p. 3); 

10) Do the NHRAP and the RHRAP clearly state their general objectives and 
effectively customized them based on regional context? (See Indicative 
Chapter l,p.4); 

11) Do the NHRAP and the RHRAP contain thematic objectives derive from 
the thematic agenda per treaty in consideration of the UPR and treaty 
concluding observations/recommendations as well as contextualized the 
regional/local or condition? (See Indicative Chapter 1, pp. 4-10 & 
Guidelines for the Formulation of the NHRAP pp 3-8); 

12) Are the priority human rights agenda focused on the vulnerable and 
disadvantaged sectors under each thematic objective appropriately 
identified in the NHRAP, and in RHRAP include specific provinces/ 
municipalities/cities/ barangay? (See Guidelines for Formulation of 
NHRAP, p. 10); 

13) Are indicators corresponding to each thematic objectives appropriately 
identified (in a number that is manageable), and indicate measures to 
gauge the attainment of each thematic objective at three levels: structural, 
process and outcome (See NHRAP Formulation Guide NHRAP, p. 12, 
and list of Illustrative Indicators, pp. 17-21 of HRI/MC/2006/7; 

14) Are appropriate branches/agencies/offices of government identified as 
"accountable entities" for each strategic indicator both at the national and 
regional/local levels? (See Planning Matrices per Treaty); 

15) Is baseline information per strategic treaty indicator identified and defined 
to establish the state or condition of human rights at the time the 
NHRAP/RHRAP is to be formulated? And is the baseline information 
adequate to establish the national and regional human rights situation per 
thematic objective and per strategic treaty indicator? (See NHRAP 
Formulation Guides Book 3 -Guidelines for Conduct of Baseline Study, 
and Planning Matrices by Treaty); 

16) Are the national and regional/local targets corresponding to each strategic 
treaty indicator identified by end of the medium term-2014? Are the 
medium-term targets annually cascaded showing breakdowns and 
progression per year (2010, 2011, 2012 and 2013)? See Planning matrices 
by Treaty and Guidelines for the Formulation of NHRAP p. 12); 



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17) Are the national and regional PPAs, properly identified and defined under 
each thematic performance targets? Are responsible agencies and CSOs 
per program, activity, and project properly identified?; 

18) Are specific output indicators per program, activity, and project identified 
and defined showing progression towards the attainment of the strategic 
treaty indicator?; 

19) Do these priorities include both programs and projects with consensus 
and without consensus in consideration of special concerns of CSOs, 
which they are strongly committed to do?; 

20) Are the identified thematic agenda, objectives, performance targets, 
priority PPAs properly linked with other existing development plans (e.g. 
MTPDP) & disadvantaged sectors?; 

21) Is there non-duplication or recycling of the plans and commitments under 
the NHRAP and RHRAP?; 

22) Do they have added value in institutionalizing the application of human 
rights normative content in related plans and commitments? (See Planning 
Matrices per Treaty and Book 2 - Guidelines for Public Consultations); 

23) Is there an existing national and regional program on general public 
consciousness on human rights and popularization of the international 
human rights treaties?; 

24) Is there a critical assessment of the strengths and weaknesses of the duty- 
bearers and claimholders on the basis of their assigned accountabilities 
and responsibilities?; 

25) Are appropriate human rights education, training and other capacity 
building interventions identified to enable each of the assigned duty-bearer 
and claimholder perform their respective accountabilities and 
responsibilities under the NHRAP and RHRAP? See Guidelines for the 
Formulation of NHRAP, Planning Matrix 6 by Treaty and Book 2 - 
Guidelines for Conduct of Public Consultations); 

26) Are resource requirements identified per program, activity, and project 
under each stage of the NHRAP: preparatory, development, 
implementation, monitoring, and review? Are possible fund sources i.e., 
regular agency funds and potential sources from various development 
partners involved in human rights work properly identified?; 



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27) Is there an appropriate cascading of programs, activities, and projects in 
national to regional/local with specific area coverage?; 

28) Are different modes/activities for resource mobilization properly 
identified with detailed target dates?; 

29) What coordinative structure and working arrangements are designed to 
ensure cooperation and collaboration between and among agencies and 
organizations assigned per program, activity, and project? What directives 
are issued to mandate the working arrangements of agencies and Coos 
involved in each of the program, activity and project?; 

30) Are the tasks identified under each working arrangement, and time frame 
and resource requirements specified to ensure cooperation and 
collaboration among identified agencies and CSOs to undertake each 
program, activity, and project? (See Guidelines for the Formulation of 
NHRAP, Planning Matrix 8 by Treaty, and Book 2 - Guidelines for 
Conduct of Public Consultations); 

31) Are monitoring and evaluation plans at the national and regional/local 
levels designed following the prescribed monitoring and evaluation 
templates? (See Planning Matrix 9 [NHRAP-PM 006 & 006A); 

32) Are interfaces of issues and concerns with crosscutting responses and 
interventions under relevant treaties and thematic plans in terms of 
programs, activities, and projects adequately identified and defined in 
terms of relevant human rights normative contents of interrelated rights 
involved?; 

33) Are there separate and integrated general work plans for the NHRAP and 
the RHRAP presented in a Gantt Chart showing sequence of activities, 
their timeframe (start and completion dates), linked to funding resources 
and sources, and progress tracking?; 

34) Is there an overall framework for the NHRAP/RHRAP implementation to 
include structure and overall plan for coordination and collaboration 
between and among duty-bearers and claimholders at the national and 
regional levels?; and 

35) Is there an integrated funding scheme for the NHRAP and the RHRAP 
with identified fund sources and fund delivery target dates? 



b) On Process 



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1) Is there an orientation conducted for concerned duty-bearers and 
claimholders at the national regional level?; 

2) Is there a proper dissemination of the UPR results and treaties concluding 
observations/recommendations to concerned duty-bearers and 
claimholders by the PHRC and treaties lead agencies at the national level 
and RDC-NEDA at the regional level?; 

3) Is there a proper dissemination of background materials on the National 
Action Planning on Human Rights to relevant duty-bearers and 
claimholders by the PHRC at the national level and RDC-NEDA in 
cooperation of CHRP at the regional level?; 

4) Is the National Action Planning on Human Rights discussed, adopted, 
and/or revised by duty-bearers & claimholders during orientations and 
consultations by the PHRC and its lead agencies at the national level, and 
by the RDC-NEDA at the local level in cooperation of the CHRP?; (See 
NHRAP Formulation Guides Book 2 - Guide for Public Consultations); 

5) Is this discussed, adopted, and revised by critical duty-bearers and 
claimholders during orientations and consultations at the national and 
local levels by PHRC and its lead agencies, and RDC-NEDA? (See 
NHRAP Formulation Guides Book 2 - Guide for Public Consultations); 



6) Is this discussed, adopted, and/or revised during orientations and 
consultations at the national by the PHRC and its lead agencies and by 
RDC-NEDA at the local levels?; 

7) Is this discussed, adopted, and/or revised in consultation with concerned 
duty-bearers and claimholders at the national and regional level by PHRC 
and its lead agencies, and by the RDC-NEDA? (See NHRAP Formulation 
Guide, Book 2 - Guide for Public Consultations)?; 

8) Is there a deliberation on the HRBA conducted by the CHRP and/or the 
PHRC and its lead agencies, and RDC-NEDA?; 

9) Is there a consensus on the goals specified in the NHRAP at the national 
and regional levels by the thematic cluster and thematic committees at the 
local level coordinated by the RDC-NEDA? (See NHRAP Formulation 
Guide, Book 2 - Guide for Public Consultations); 

10) Are thorough deliberations undertaken on the priority thematic human 
rights agenda with concerned duty-bearers and claimholders, and 
consensus on the statement of thematic objectives resulting from the 



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deliberation of the thematic clusters' lead agencies at the national level, 
and RDC members assisted by the NEDA-RO at regional/local level? (See 
NHRAP Formulation Guides and Book 2 - Guide for Public 
Consultations); 

11) Does this come as a result of consultations with the PHRC thematic 
clusters, and RDC thematic committees in coordination of the NEDA- 
RO?; 

12) Do the PHRC thematic clusters' lead agencies and the RDC's thematic 
committees study the definition of human rights normative content under 
each treaty in generating and formulating the indicators and identify them 
at each level (structural, process, and outcome? (See NHRAP Formulation 
Guides: Book 2 - Guide for Public Consultations, and Book 3- Guidelines 
for the Conduct of Baseline Studies); 

13) Do the thematic clusters/thematic committees of the PHRC lead 
Agencies/RDC (with coordination of the NEDA-RO) conduct 
consultations with and seek commitments of principal accountable entities 
on strategic treaty indicators and their deliver? (See NHRAP Formulation 
Guide Book 2 - Guide for Public Consultations); 

14) Are affected vulnerable and disadvantaged sectors consulted at the 
national and regional/local levels by the PHRC lead agencies and RDC- 
NEDA-RO? (See NHRAP Formulation Guides: Book 2 - Guide for 
Public Consultations, and Book 3 -Guidelines for Conduct of Baseline 
Studies, and Planning matrices by Treaty); 

15) Are the national and regional/local accountable entities identified per 
indicator properly consulted about the pre-programmed medium term and 
annual targets? (See Planning matrices by Treaty, and Guidelines for the 
Formulation of NHRAP, p. 12, and Book 2 - Guide for Public 
Consultations); 

16) Do the concerned PHRC lead agency, RDC committees and responsible 
agency/CSO at the national and regional levels adequately define the 
programs, activities, and projects assigned to each of them based on 
human rights normative content and relevant human rights principles?; 

17) Do the concerned PHRC lead agencies and RDC (through NEDA-RO 
coordination/assistance) properly consulted the concerned agencies and 
CSOs on their assigned output indicators that contribute to the attainment 
of the strategic treaty indicators? (Planning Matrices by Treaty and Book 
2 - Guidelines for the Conduct of Public Consultations); 



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18) Are the agencies responsible for these other development plans, 
commitments, and initiatives properly consulted in establishing linkages to 
NHRAP and RHRAP for sustainability and funding commitments? 
(Planning Matrices per Treaty, and Book 2 - Guidelines for Public 
Consultations; 

19) Are the concerned duty-bearers and claimholders consulted on their 
capacity building needs i.e., inadequacies in structure, mechanisms, 
education, training, and other required interventions?; 

20) Are these capacity building needs vis-a-vis human rights normative 
content (pertaining to programs, activities, and projects which the 
concerned duty-bearers and claimholders have been responsibly assigned 
to perform) analyzed? (See Guidelines for the Formulation of NHRAP, 
Planning Matrices by Treaty and Book 2 - Guidelines for Conduct of 
Public Consultations); 

21) How are the CHRP, DepED, CHED, Local School Boards, and LGUs 
involved in the programs for General Public Consciousness of Human 
Rights?; 

22) Are the duty-bearers and claimholders involved in the identification of 
resource requirements assigned with specific programs, activities, and 
projects?; 

23) Is there a prior inventory and research on the potential sources of funds 
especially on those involving development partners?; 

24) Are programs, activities, and projects identified in the regular government 
funds properly and timely incorporated into the budgets of both national 
agencies and concerned LGUs? (See Guidelines for the Formulation of the 
NHRAP, and Planning Matrix 8); 

25) Are duty-bearers and claimholders adequately consulted on the levels 
(national, regional, provincial, etc?) of implementation of the identified 
programs, activities, and projects to be conducted? (Book 2- Guidelines 
for Conduct of Public Consultations); 

26) Are multi-donor fora identified in the resource mobilization plan with 
date specifications? Will the concerned duty-bearers and claimholders 
assigned to relevant programs, activities, and projects play a role during 
the multi-donor foray? (See Planning Matrix 8); 

27) Are concerned duty-bearers and claimholders consulted on these working 
arrangements, and how will they be involved in the setting of tasks and 



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their completion (resources wise)? (See Guidelines for the Formulation of 
NHRAP, Planning Matrix 7 by Treaty, and Book 2- Guidelines for 
Conduct of Public Consultations); 

28) Are the concerned duty-bearers and claimholders consulted on how they 
would participate in monitoring and evaluation activities following the 
Monitoring and Evaluation plan both at the national and regional/local 
levels? (See Guidelines for Formulation of NHRAP, Planning Matrix 9 
[NHRAP-PM 006 & 006A) Book 3 - Guidelines for the Conduct of 
Baseline Studies; 

29) Are concerned duty-bearers and claimholders of interrelated rights and 
collaborative responses and interventions adequately integrated and 
properly synchronized for effective implementation?; 

30) Are concerned duty-bearers and claimholders involved in the 
synchronization of the general plan of work at the national and 
regional/local levels? (See Book 2 - Guidelines for Public Consultations); 

31) Are concerned duty-bearers and claimholders involved in the 
synchronization of the general plan of work at the national and 
regional/local levels? (See Book 2 - Guidelines for Public Consultations); 
and 

32) Are concerned duty-bearers and claimholders involved in the 
synchronization of the general plan of work at the national and 
regional/local levels? (See Book 2 - Guidelines for Public Consultations). 



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