NPM Toolkit

Financial independence: an OPCAT requirement. 

Ensuring the independence of NPMs is among the most important obligations for OPCAT states party. Article 18 of the OPCAT says, in particular, that “States Parties shall guarantee the functional independence of the national preventive mechanisms” (A.18.1) and that “States Parties undertake to make available the necessary resources for the functioning of the national preventive mechanisms” (A.18.3). 

Without financial independence NPMs are unlikely to be able to fulfil their mandates. NPMs that lack financial independence may suffer interventions in their work plan, for example, or be inhibited from carrying out their planned activities. Without adequate resources and the power to decide how to use them, NPMs will be unable to independently decide on their strategy or carry out their operational plan. 

Financial independence includes several linked elements. 

Ability to define its own budget 

The first element of independence is the fact that NPMs should take part in the process to define their own budget. Budgeting is a complex issue and each state has specific processes and procedures. The budgeting process may also vary according to the type of NPMs: whether it is part of an NHRI, a multiple-body or a specialised institution. Each government determines it national budget according to its own resources and priorities. Nevertheless, it is good practice for NPMs to be able to prepare their own budget proposal on the basis of their strategic and operational plans, which is then submitted directly (or as part of the overall NHRI budget for NHRIs as NPMs) to the relevant authority and / or the parliament. 

Being granted adequate resources 

The second element is that NPMs should have adequate resources for carrying out their mandates, including for staff, travel, external experts, and other operational costs (see below for details). What is considered adequate will depend on what is in the NPM strategy and operational plan, and may change over time. 

Control over spending 

The third element is that, once they receive their budget, NPMs should be given control over spending priorities and use of funds, without controls or restrictions that might unduly affect their independence.

Predictability 

A fourth element of independence is predictability and the fact that NPM budgets should be protected from arbitrary reductions from one year to the next. Preventive work is long term and focused on addressing risk factors and root causes at the levels of laws, practices and institutions. Many of these changes take years to achieve, which makes adequate and stable budgets essential if NPMs are to have a team in place who can follow-up on issues and contribute to change over time. Stability allows NPMs to plan their work and not be wary of financial reprisals should their work displease the government of the day.       

In addition, when faced with difficult economic circumstances, state budgets may sometimes have to be reduced. In such circumstances, at a minimum, any NPM budget reduction should not be out of proportion to other core state functions. 

Ability to receive external funding 

It may also be important for NPM independence that they be permitted to receive additional funding from external donors, including the United Nations (in particular the OPCAT Special Fund), the EU and other states. Although it is important to underline that additional funding for specific projects does not release the government from its obligation to properly fund NPMs – a point also made by the SPT. 

A fixed percentage of larger institutional budgets 

For NPMs that are part of larger institutions, such as NHRIs, these same broader principles apply with the added caveat that, to ensure predictability, the NPM budget should be a fixed percentage of the overall institutional allocation. 

While each NPM budget will be different depending on its operational needs and the type of institutional model, some or all of the following elements should be taken into account. 

Salaries and compensation: for dedicated NPM members and staff. A dedicated and remunerated team who carry out visits, write reports and enter into dialogue with the authorities is essential for NPMs to function effectively. 

Depending on the NPM model, NPM members may be full or part time. In some institutions, NPM members are not full time and receive per diems or other ad hoc compensation for their work. Staff on the other hand almost always have regular contracts and are often paid in line with standard civil service rules. 

The key point is that NPM work is highly specialised, requiring a dedicated and stable team who understand the issues present in different types of places of deprivation of liberty and the preventive approach to dealing with them. For NPMs that are part of larger institutions, such as NHRIs, NPM teams may be supported by the existence of other existing departments working on administration, communication or other aspects, while new specialised institutions will have to budget for these functions as well. 

Honorarium for external experts: Because of the nature of preventive work, multidisciplinary teams are essential if NPMs are to gain a holistic understanding of the places that they visit. However, it may not always be possible or desirable for NPMs to have all of this expertise in-house. NPMs thus usually require a dedicated budget for hiring external experts, including, for example, doctors and psychiatrists. 

Interpreters: Because many people in detention may speak foreign or minority languages, many NPMs also require a budget for interpreters who can accompany them on their detention visits. This includes fees, as well as travel and accommodation costs. 

Travel and logistics costs related to visits to places of detention: Even in small countries, the range of places that fall within an NPM’s mandate is likely to be vast. Many of these places may be far from NPM offices, requiring transportation costs (either by train, planes, boats, cars or other means) accommodation, per diems and / or meal costs, often for extended periods while in-depth visits and follow-up takes place. 

Offices and equipment: NPMs need office space, IT equipment and internet access, and the ability to keep sensitive information safe and secure. This may mean that NPMs have their own premises or a dedicated and lockable section of offices within those of a larger institution. This equipment will entail upfront costs for new institutions, as well as ongoing maintenance and replacement costs over time. 

Publication and translation: NPMs publish a wide range of reports, including annual reports (which state parties are under an OPCAT obligation to publish and disseminate under A.23),  thematic, visit and other reports in accordance with their objectives. NPM’s thus need sufficient resources to edit, publish and often translate their reports (including into national and minority languages). Many NPMs also publish English language versions or executive summaries of their important reports to enable them to be shared with other torture prevention actors. Some NPMs also produce audio or video versions of their reports to increase their reach and accessibility. All of these options require specific funds. 

Training and exchanges with peers: Because of the specific nature of the NPM mandate, new and existing staff will likely need to spend some time training on torture prevention in general and on specific places, themes and areas of work. A dedicated training budget, which also includes the possibility for NPMs to visit and welcome other NPMs to exchange practices is very useful in this regard. 

Participation in international processes and meetings: International processes and meetings may often be relevant to the work of NPMs, in particular sessions of treaty bodies such as the Committee against Torture. Space in NPM budgets to allow for this kind of interaction may be useful – particularly in cases where international bodies rely on NPM reports and recommendations in the preparation of their own. 

Education: depending on their objectives, NPMs may also wish to budget for educational activities. This might include training on their mandate or other relevant torture prevention issues for public authorities. This might be particularly important for newly established institutions.

Communication: NPMs should also consider communication in their budget. This may include awareness raising on their mandate and funds for developing and maintaining communication materials and tools, particularly an NPM website.