Planning for a report starts early, about 12 months before it is due or when the lead agency receives the List of Issues Prior to Reporting. (LOIPR). The LOIPR is a set of questions which will need to be answered in the report.
The due date for the report can usually be found on the cover letter of the LOIPR, or on the Office of the High Commissioner for Human Rights (OHCHR) website at least 12 months before the report is due.
The lead agency will identify relevant agencies to provide contents/answers to the questions contained in the LOIPR and agencies with a general interest in the topics covered (but not leading on the response). The lead agency will contact subject-matter agencies with the relevant questions. An early roundtable meeting of all relevant agencies is a good opportunity to efficiently share information on the process and support a sense of joint ownership of the report.
The lead agency will provide those agencies with information on the reporting process and the timeframe the lead agency is working to. Timeframes need to build in sufficient time for agency consultation, ministerial approval processes and public consultation.
The report needs to answer all questions in the LOIPR. The structure (and numbering of sections) of a report will usually follow these questions. Committees commonly request detailed data which can be included in an appendix if necessary. Data, if requested over several reporting cycles, can be a good measure of progress.
Lead agencies should also ask subject matter agencies if there are any related topics (current work, priorities or issues that have been raised) that should be included in the report.
Report examples can be found on the OHCHR website(external link).
A typical timeline which represents standard processes is outlined in table 1.
Table 1: High-level planning template for drafting a report
|
Months |
Key activities for lead agency |
Subject matter agencies’ involvement |
|
1 |
Planning |
Initial meetings with lead agency |
|
2 and 3 |
Provide subject matter agencies with response templates and guidance
Early engagement with civil society |
Subject matter experts draft responses Responses undergo internal review processes Agencies provide draft responses to lead agency Agencies are invited to participate in early engagement sessions |
|
4 and 5 |
Drafting of report |
Lead agency may liaise with subject matter experts and request additional information/clarification |
|
6 |
Cabinet decision on public consultation (including Ministerial consultation) |
Senior management review the draft report Relevant Ministers review the draft report |
|
7 and 8 |
Public consultation on draft report
Communications |
Communications support |
|
9 |
Analyse submissions
Amend report following consultation |
Lead agency liaises with subject matter experts |
|
10 |
Amended report to agencies for review |
Agencies review amended report Provide lead agency final updates (e.g., if major developments) |
|
11 |
Report to lead Minister for sign out
Amend report following Ministers’ comments |
Relevant Ministers review amended report
|
|
12 |
Submission of report to Geneva
Publication of report on OHCHR website
Communications |
Communications support |
Lead agencies should consult the Human Rights Monitor Too(external link)l while planning for a report, to see what previous relevant recommendations have been made and the actions/indicators being tracked against these.
The Universal Periodic Review (UPR) is a unique drafting process. The Ministries of Foreign Affairs and Trade and Justice share the responsibility for the UPR. Usually, Foreign Affairs drafts the report and Justice organises and leads the review in Geneva. Justice drafts the mid-term UPR report.
There is more flexibility in the approach to the UPR report as there is no list of questions. However, previous recommendations should be considered as a guide to what to cover.
A good report is:
The United Nations (OHCHR) also offers the following guidance for reporting:
Providing related information that does not answer a question directly.
Reasons for this could include:
The LOIPR will usually include general questions that provide for a country to raise anything relevant. Agencies should address concluding observations in the material they provide to the lead agencies and consider what other information may be relevant for the human rights protected in the treaty. Over time the Human Rights Monitor will become an increasingly useful way to collate information on previous concluding observations.
Explaining the domestic context – the Committee may not have a deep knowledge of New Zealand’s specific context. Agencies should aim for consistency in describing constitutional arrangements and how international human rights obligations relate to domestic frameworks, particularly the Treaty of Waitangi.
Timing – On occasion, agencies may not be able to provide information on actions that are still under development. Where possible, the report should be updated before it is submitted.
Word limit – The UN can reject reports that are too long. There is usually a word limit of 21,200 words (approximately 50 pages). This can be a challenge considering the large number of questions to be covered. As a general rule, the report should focus on responding to the LOIPR and keeping the answers concise. The report does not need to include the questions - it can instead follow the LOIPR’s structure. The use of glossaries or appendices (especially for data tables) is possible. Appendices have not been rejected so far on the grounds of going beyond the word limit, however, they will not be translated into any of the other official UN languages. Occasionally, it may be possible to refer to information included in the common core document, rather than repeat it in the report.
Consistency with previous reports and communications – Agencies should check what has been said in previous reports, including for other treaties. All reports, recommendations, and civil society submissions can be found on the OHCHR website. Any inconsistencies should be explained.
Identifying agency contacts – Justice is leading development of a human rights network of officials. This will include keeping a working level list of key contacts in agencies responsible for coordinating, or responding to, requests related to international human rights reporting. If a key contact changes, the agency should advise Justice so that the list can be kept up to date.
It is good practice to engage with civil society before or during drafting a report.
The purpose of the engagement is to understand the public’s view on which issues are most important, help shape the report and support domestic improvements. This early engagement can also be used to provide information to civil society about other opportunities to provide input, including direct engagement with UN treaty bodies and shadow reports. Good communication about the purpose of the engagement is important to manage expectations and encourage participation.
There are many ways to carry out this engagement process. Face to face or online meetings can be used. While discussions can be structured around topics from the LOIPR, they should not be limited to them. Under the Accessibility Charter, agencies should consider the accessibility of engagement.
This engagement will be coordinated and organised by the relevant lead agency. They can invite subject-matter agencies to participate. Lead agencies are encouraged to share public feedback received with relevant agencies, even if it is not immediately relevant for the report being drafted.
Lead agencies will consider how engagement (for different treaties) could be better coordinated or combined.
The usual process is for the lead Minister to seek Cabinet approval to release the draft report for public consultation and to authorise the lead Minister to approve the final report for submission. This final approval is to be in consultation with relevant Ministers. The authorisation for the lead Minister should go beyond minor editing to ensure a further Cabinet decision will, in general, not be required. The Cabinet paper could set parameters about when a further Cabinet decision, following public consultation, should be sought.
The usual Cabinet paper processes for agency and Ministerial consultation on a draft Cabinet paper apply. However, extensive collaboration prior to this point makes it unlikely there is significant feedback at this stage.
In addition to the engagement process undertaken before or during drafting the report, it is expected that the draft report will be made available for public feedback before submission. The purpose of this is to obtain input on the draft report, ensure the report is comprehensive and correct and reflects key concerns raised by civil society. This process also strengthens public awareness of the upcoming report and eventually the examination.
An efficient way of consulting is through an online survey which follows the structure of the LOIPR. Normal timeframes for submissions are four to six weeks.
Agencies may also wish to conduct face to face meetings, which could, where appropriate, be combined with other agencies’ consultations. A wide cross-section of society should be approached, including via social media and other forms of communications. The Human Rights Commission and similar stakeholders like the Children and Young People’s Commission can support this work.
It is good practice to publish a summary of submissions. Another option is to share a summary with submitters to reflect they have been heard.
Where the submissions analysis identifies mistakes or significant gaps, the draft report will be amended. The report should reflect any significant feedback, such as substantial support for, or rejection of, a government action. Issues raised beyond the scope of the report and LOIPR do not need to be included but should be passed on to relevant agencies to inform their ongoing work.
The reporting agency will work with the subject matter agencies on any significant changes to the report. There should be a short consultation on the final draft with agencies affected by changes.
The Minister responsible for the reporting will receive the updated draft. The advice should highlight, where (if any) significant changes have been made. They will consult with their relevant colleagues and approve the final report for submission to the Committee.
The lead Minister may prefer to seek Cabinet approval if significant changes have been made, which are of interest to a wide group of Ministers.
New Zealand’s common core document forms part of every report. It contains basic, largely unchanging, information about the State party concerned. The objective of the core document is to facilitate the implementation of reporting obligations by State parties by reducing repetition and overlap in the information submitted to several treaty bodies. It also allows treaty bodies to put data in reports (such as investment in certain human rights initiatives) into perspective.
The submission of the report to the UN Committee will be organised by MFAT at the lead agency’s request. Other agencies will be informed of the submission.
Further information on mid-term and follow-up reports can be found in the last section of these Guidelines.