United Nations Rule of Law Indicators

The United Nations

Rule of Law Indicators

Implementation Guide and Project Tools

First edition

The United Nations

Rule of Law Indicators

Implementation Guide and Project Tools

First edition

Acknowledgements

This document is a joint publication of the United Nations Department of Peacekeeping Operations (DPKO) and the Office of the United Nations High Commissioner for Human Rights (OHCHR). The United Nations Rule of Law Indicators were endorsed, through the Rule of Law Coordination and Resource Group, by the Department of Political Affairs and the Office of Legal Affairs of the United Nations, the United Nations Children's Fund, the United Nations Development Programme, the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), the Office of the United Nations High Commissioner for Refugees and the United Nations Office on Drugs and Crime. All the members of the Rule of Law Coordination and Resource Group and the World Bank provided advice and support. This publication was prepared with the assistance of the Vera Institute of Justice, in collaboration with other members of the Altus Global Alliance, and consultants based at the University of the Fraser Valley and Harvard University. The publishers would like to express their appreciation to the Governments of Australia, Canada, Finland, Haiti, Liberia, Luxembourg, Norway, Sweden and the United Kingdom of Great Britain and Northern Ireland for their generous support for this project.

Department of Peacekeeping Operations Office of the High Commissioner for Human Rights United Nations publication Sales No.: E.11.I.13 ISBN-13: 978-92-1-101247-7 e-ISBN-13: 978-92-1-054870-0 Copyright ? United Nations, 2011 All rights reserved

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Contents

Introduction 1. Purpose of the Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. Rule of law indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.3. Identifying sources of data . . . . . . . . . . . . . . . . . . . 21

v

1.4.Addressing potential challenges and obstacles . 22

v 2.Phase two. Collecting and assessing the data . . . . . . 23

3. Organization of the Guide . . . . . . . . . . . . . . . . . . . . . . . . . vi

2.1. Sources of data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Part one The indicators 1. Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1. Using multiple data sources . . . . . . . . . . . . . . . . . . 1.2. Flexibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3. Major dimensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.4. Grouping indicators into baskets . . . . . . . . . . . . .

2.2. Accessing existing data . . . . . . . . . . . . . . . . . . . . . . . 25

2.3. Collecting your own data . . . . . . . . . . . . . . . . . . . . . 26

1

2.4. Ethical considerations in data collection . . . . . . 28

1

2.5. Assessing the data . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

2

2.6. Data entry and management . . . . . . . . . . . . . . . . . 32

3 3.Phase three. Analysing the data and presenting

3

results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

1.5. Measuring performance . . . . . . . . . . . . . . . . . . . . . .

3

1.6. Paying attention to vulnerable groups . . . . . . . .

3

1.7. Tracking change over time . . . . . . . . . . . . . . . . . . . .

4

2. Structure of the indicators . . . . . . . . . . . . . . . . . . . . . . . . .

4

3.1. Developing indicator ratings . . . . . . . . . . . . . . . . . 33 3.3. Producing initial ratings . . . . . . . . . . . . . . . . . . . . . . 36 3.4. Producing narrative descriptions . . . . . . . . . . . . . 36 3.5. Reporting results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

2.1. Institutions, dimensions and baskets . . . . . . . . . . 2.2. Summary measures . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3. Rating the indicators . . . . . . . . . . . . . . . . . . . . . . . . . 2.4.Interpreting the indicators and narrative accounts

4

Annex Compendium of project tools

5 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

5

Project tool No. 1

5

United Nations Rule of Law Indicators . . . . . . . . . . . . . 41

3. Description of indicator baskets . . . . . . . . . . . . . . . . . . .

6

3.1. Police . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

3.2. Judiciary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7

3.3. Prisons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8

4. Core concepts and cross-cutting issues . . . . . . . . . . . .

9

Project tool No. 2 Relevant human rights and criminal justice standards . 67

Project tool No. 3 Project timeline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Project tool No. 4 Data collection worksheet . . . . . . . . . . . . . . . . . . . . . . . . . 83

5. Sources of data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Part two Planning the implementation 1.Working in conflict and post-conflict societies . . . . . 13

Project tool No. 5 Public survey sampling strategy . . . . . . . . . . . . . . . . . . . 87

Project tool No. 6 Public survey questionnaire . . . . . . . . . . . . . . . . . . . . . . . 93

2. Project phases and timing . . . . . . . . . . . . . . . . . . . . . . . . . 13 3. Staffing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 4. Budget considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 5.Repeating the implementation of the instrument . . 15

Part three Phases of the implementation 1. Phase one. Introduction and assessment . . . . . . . . . . . 17

1.1. Building relationships . . . . . . . . . . . . . . . . . . . . . . . . 17 1.2. Understanding the local context . . . . . . . . . . . . . . 20

Project tool No. 7 Expert survey methodology . . . . . . . . . . . . . . . . . . . . . . . 99

Project tool No. 8 Expert survey questionnaire . . . . . . . . . . . . . . . . . . . . . . . 103

Project tool No. 9 Field data collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

Project tool No. 10 Document review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123

Project tool No. 11 Country factsheet template . . . . . . . . . . . . . . . . . . . . . . . 127

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