Indicators of population aspects of human rights

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Statistique, Développement et Droits de l‘Homme
Session C-Pa 5c
Indicators of Population Aspects of Human
Rights: Some Operational Issues
Ranjan K. SOM
Montreux, 4. – 8. 9. 2000
Statistique, Développement et Droits de l‘Homme
Indicators of Population Aspects of Human Rights: Some
Operational Issues
Ranjan K. SOM
Consultant in Population and Statistics
30 Waterside Plaza, Ste. 24A
New York, NY 10010-2625, USA
T. / F. + 1 212 685 6917
r.som@worldnet.att.net
ABSTRACT
Indicators of Population Aspects of Human Rights: Some Operational Issues
The paper attempts to review a number of operational issues relating to „core“ indicators of
some population aspects of human rights. The fields covered concern people ─ access to safe water,
access to adequate sanitation, family planning information and services; children ─ infant and
early childhood mortality, extent of immunization, and child labour (all these separately for male
and female children); and women ─ differential life expectancy at birth, differential enrolment
ratios, pregnant women immunized against tetanus, births attended trained health personnel, and
female genital mutilation. Desirable and available data and their source are discussed.
These are reviewed in the background of the recently celebrated 50th anniversary of the
Universal Declaration of Human Rights of the United Nations, and its re-affirmation and adoption
of targets by the United Nations and its various specialized and operating agencies.
The general operational issues raised concerning indicators are: What should be the criteria
for indicators? What are the basic data sources for the indicators, and what are their advantages
and limitations? At what intervals should the data be obtained? And, finally, what should be the
protocols for data collection, analysis, and publication?
RESUME
Indicateurs des aspects des droits de l'homme liés à la population : quelques questions
opérationnelles
Ce document tente de passer en revue les problèmes opérationnels liés aux indicateurs de
point de vue de la population sur les droits de l'homme. Les domaines couverts concernent d’une
part les enfants, la mortalité chez les nourrissons et chez les jeunes enfants de sexe masculin et
féminin, l'étendue de la vaccination et l'accès à l'eau potable, et les femmes d’autre part,
l’espérance de vie à la naissance et les mutilations génitales qu'elles subissent. Ces domaines
traitent aussi des données statistiques souhaitées et disponibles et de quelques problèmes de
fonctionnement liés.
Ces derniers ont été réexaminés dans leur fond lors du cinquantième anniversaire de la
Déclaration universelle des droits de l'homme récemment célébré avec ses nombreuses
réaffirmations et la fixation d'objectifs que se sont fixés les Nations Unies et ses nombreux
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organismes spécialisés tels que le Bureau du Haut Commissaire aux droits de l'homme, le PNUD,
l'UNICEF, l'OMS et le FNUAP.
Enfin, un certain nombre de questions de fonctionnement d’ordre général lié aux indicateurs
ont été soulevées et des éléments de réponses ont été apportés : Pourquoi des indicateurs ? Quels
devraient être les critères de ces indicateurs ? Comment obtenir ces indicateurs ? Quelles sont les
sources de données : rapports administratifs, statistiques sur les services, documents hospitaliers et
cliniques, recensement de la population, statistiques vitales, extraits de sondages incluant des
sondages par téléphone et des procédés d'évaluation rapide et ses risques. A quelle fréquence
obtenir les données pour les indicateurs ? Et quels devraient être les protocoles pour la collecte des
données et leurs analyses ?
1. Introduction: Human Rights and Population Issues
Very soon after its establishment, the United Nations adopted in 1948 the Universal
Declaration of Human Rights: its 50th anniversary, commemorated only two years ago, was also the
occasion for the United Nations and its specialized and executing agencies to review the extent to
which human rights in all its aspects were being observed throughout the world: to that end, efforts
have been made to define adequately Common Country Assessment (CCA) and to develop
indicators to measure the progress in implementing these rights. Some of the agencies and offices of
the United Nations relevant to this endeavour are: Office of the Commissioner for Human Rights
(UN/HR), United Nations Development Programme (UNDP), United Nations Children’s Fund
(UNICEF), World Health Organization (WHO), International Labour Organisation (ILO), and
United Nations Population Fund (UNFPA). UNDP has adopted human rights as the theme for its
Annual Development Report for the year 2000.
A millennium Survey of 57,000 adults in 60 countries conducted by Gallup International in
1999 found that respondents showed widespread dissatisfaction with the level of respect for human
rights (United Nations, 2000, Box 1). Furthermore, „(a)t the start of the new millennium a quarter of
the world’s children, most of them in poor countries, remain unprotected against the six core
diseases: polio, diphtheria, whooping cough, measles, tetanus and tuberculosis.“ (United Nations,
2000, Box 2).
Reproductive Choice has also been recognized as a basic human right by international
organizations by various international conference on human rights, population, and development:
the UN Committee on the Elimination of Discrimination Against Women (CEDAW) monitors
access to fam family planning as an important indication of women’s situations.
Guidelines for indicators reviewing and an lysing national development situations have been
provided by several United Nations offices, vide United Nations (1993) on indicators to measure
achievements on economic, social, and cultural rights; UN (1999a) on the implementation of major
United Nations conferences and summits; UN (1999b) and (1999c) on the guidelines and indicators
for CCA; UN (1999e) on the definition and indicators for civil and political rights and international
legal commitment for human rights. In the fields of children, mothers, and women, including infant,
early childhood and maternal mortality, the situations have been discussed in, among others,
UNICEF (1999a and 1999b), UNDP (1999), UNFPA (1997a, 1997b, and 1998), WHO (1996,
1997a, 1997b, and 1998) and WHO & UNICEF (1995).
This paper attempts to review a number of operational issues relating to „core“ indicators of
population aspects of human rights. We shall consider the following population and related
variables: (a) Population: (a1) with access to safe water, (a2) with access to adequate sanitation, and
(a3) life expectancy at birth, by sex; (b) Children’s Concerns: (b1) malnourished children under 5,
by sex, (b2) immunized children under 5, by sex, and (b3) child labour ─ (b3i) in household
enterprises and (b3ii) in the organized sector, by sex; (b4) primary enrolment ratio, by sex; and (b5)
secondary enrolment ratio, by sex; (b6) infant mortality rate, by sex, and (b7) early childhood
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(under age 5 years) mortality, by sex; (c) Family and maternity – (c1) pregnant women immunized
against tetanus; (c2) births attended by trained health personnel; (c3) maternal mortality, (c4)
Family planning information to couples, (c5) family planning services to couples, (c6) Treatment of
infertility, and (c7) Abolition of harmful practices, such as female genital mutilation (FMG). We
shall consider feasible indicators and the availability of statistics at the international level.
2. Indicators for (a) - (c)
The mid 1990-decade assessment by the UN, UNICEF, UNFPA, UNDP, WHO, UNESCO,
and ILO, among others led to 100 countries collecting data using the Multiple Indicator Cluster
Surveys (MICS), household surveys developed specifically to obtain mid-decade data, or via MICS
questionnaire modules carried by other surveys; by 1996, sixty developing countries had carried out
stand-alone MICS, and another 40 had incorporated some of the MICS modules in other surveys,
Since then the end-decade MICS questionnaires and manuals have been developed to obtain the
data for 63 of the 75 end-decade indicators (UNICEF, 2000). Most of the indicators are
conveniently available in UNDP’s Human Development Report 1999 (UNDP, 1999) and in
UNICEF’s The State of the World’s Children 1999 (UNICEF, 1999). A large number of countries
are preparing country Human Development Reports under the umbrella of UNDP.
Governmental organizations such as the U.S. Bureau of the Census, and non-governmental
organizations such as Johns Hopkins University/Population Information Program, International
Planned Parenthood Federation, Population Council, and Population Reference Bureau, also collect
information relevant to some of the indicators.
3. Criteria of Acceptable Indicators
A number of criteria, i.e., principles or standards by which the indicators should be judged,
have been mentioned in the WHO Guidelines (WHO, 1997): we adapt them to the following set of
criteria:
 • Purposeful or useful;
 • Scientific;
 • Statistically robust; and
 • Reductionist.
The first criterion holds that the indicators should be purposeful and useful, i.e., they should
be action-oriented and meet the objectives at hand.
The second criterion holds that the indicators should be scientific, i.e., they should be built up
by using methods based upon well-established facts and obeying well-established laws; and they
should be replicable under the same conditions within acceptable instrumental or statistical margins
of error. Any estimates obtained by sampling should be based upon the laws of probability and
should be presented with margins of error.
The third criterion holds that indicators should be statistically robust, i.e., that they should not
be affected by small variations in the input.
The fourth criterion holds that the indicators should preferably be obtained by a procedure or
theory that reduces complex data or phenomena to simple terms (vide Marder, 1997), applying, as
necessary, Occam’s razor – by taking, among several hypotheses, the simplest hypothesis with the
fewest possible assumptions.
4. Direct and Indirect Estimates
As direct estimates are not often available, several „indirect“, including „model-based“,
estimates have been suggested for some of the indicators. These have been considered by the
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UNFPA CST/TSS Thematic Workshop on Indicators, New York, 10-14 February 1997 (UNFPA,
1997a), and, for maternal mortality the WHO Inter-Agency Consultative Group Meeting (WHO,
1999; also see UNFPA/Leete, 1998).
For a review of indirect and model-based estimates, see Blacker (1966), Som (1998), United
Nations (1983, Introduction, Section A, and Chapter 1, Section B), and U. S./OMB (1993). In
regard to indirect estimates, the following is stated in the U.N. Demographic Manual X: „The
classic example is the use of the proportion of children dead among those ever borne by women
aged 20-24 years to estimate the probability of dying before age 2. The observed proportion of
children dead is clearly related to mortality conditions, but it is a pure mortality measure because it
is affected by other, non-mortality parameters. In order to transform the proportions into the desired
life-table functions, the other parameters must be allowed for, generally by using procedures
founded on demographic models. Therefore, not only is the information used „indirect“, but the
but the procedure followed although considerably simplified in practice, is by no means
straightforward theoretically (italics ours). The extent of indirectness varies greatly, however,
among procedures, in terms both of the reliance on model and of the number of unwanted factors
that have to be allowed for.“ (U.N., 1983, chapter 1, section B). „Perhaps the most serious
limitation of Manual X is that it does not provide sufficient guidance for the assessment of results.
[ (T)he task of assessment is extremely complex, varying widely from application to application.
Hence, it is almost impossible to lay down general rules to perform it“ (U.N., 1983, Introduction,
section A).
In regard specifically to model-based estimated, the U.S. Office of Management and Budget
(OMB) says: „The need for indirect estimators is the greatest in precisely those situations where
data are not available for the adequate empirical evaluation. For this reason, it is rare that a single
empirical evaluation of an indirect estimator is completely convincing (italics ours). […] Two
approaches can be used for empirical evaluations of indirect estimators. In the first, estimators
under consideration are used to produce estimates; these estimates are then compared to a better
estimate. […] The second approach is to evaluate how well the models associate with the competing
estimators fit the data. A principled approach is needed; models should not only fit the data but also
have a conceptual basis (italics ours). [] Rarely is enough known about the error structure of
indirect estimators to produced adequate measures of their quality. For this reason, it is misleading
[ and dangerous [ to publish indirect estimates that are not clearly distinguished from direct
estimates and that are not offered with appropriate caution“ (italics ours) (U.S., OMB, 1993).
Another caveat to the use of indirect estimates is the subjective judgement involved, resulting
in widely varying estimates.
5. Data Sources
The sources of relevant data could be: (a) Administrative and Health Records; (b)
Administrative Education Records; (c) Population and Housing Censuses; (d) Survey Sampling:
Household; Demographic; DHS (Demographic & Health Surveys); EPI (Expanded Programme on
Immunization); MICS; Rapid Assessment Procedures; half n-ple sampling (Lahiri’s Method, see
Som, 1998); Network Sampling; Adaptive Sampling; Telephone Surveys; and Internet Sampling.
We consider briefly the characteristics of these procedures.
The advantages and limitations of household, Demographic, DHS, and EPI-types of surveys
are fairly well known. The other techniques mentioned in the previous paragraph are of relatively
recent origin.
With near-universal telephone facilities in households in most developed countries, telephone
Surveys with Random Digital Dialing (RDD) was considered a cheap and efficient source of
collecting data, particularly using computer-assisted telephone interview (CATI). However, many
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Statistique, Développement et Droits de l‘Homme
telephones are unlisted or have unsolicited message blocking and message screening features (in the
U.S.A., the percentage of telephone with answering device has increased from 68 per cent in 1988
to 74 percent in 1995, over half of which using these answering devices to screen calls (Council for
Marketing and Opinion Research, 2000): now some polling organizations in the U.S. have gone
back to paper and pencil interview (PAPI). In most developing countries, telephones facilities are
infrequent, so that this techniques cannot be used.
Internet was also hailed as the precursor of data collection techniques in the electronic age.
However, the universe of internet users is highly skewed, with a „digital divide“, and cannot now
form a basis for collection of relevant data on population and human rights.
In the latest World Population Prospects, the United Nations (1999c) reports that while data
on child mortality are available in 8 out 10 European countries with economies in transition, and in
9 out of 10 industrialized countries with market-economy, such data are available in only 1 out of 4
countries in sub-Saharan Africa, and in half of countries in other developing regions.
We give in Table 1, possible data sources for the relevant indicators and also indicate their
international availability.
Table 1. Some Indicators of Human Rights in the Fields of Population, Reproductive Concerns,
and Children’s Concerns: By Items and Data Source and International Availability
Item
Data Source and International Availability
Administrative
Records
Population &
Housing Census
Survey Sampling
Estimates (from
various sources)
DHS; MICS
UNICEF; WHO
DHS; MICS
UNICEF; WHO
(a) Population
(a1) % with access to
safe water
(a2) % with access to
adequate sanitation
(a3) Life expectancy
at birth, by sex
Country (limited)
Country (limited)
UNPopDiv;
UNICEF; UNDP
(b) Children’s Concerns
(b1) % of
malnourished
children under 5, by
sex
(b2) % of immunized
children under 5: by
sex
(b3i) % of school-age
child labour in
household enterprise,
by sex
(b3ii) % of schoolage child labour in
the organized sector,
by sex
(b4) primary
enrolment ratio by
sex
(b5) Secondary
enrolment ratio by
sex
(b6) Infant mortality
by sex
WFS;DHS; EPI
(WHO/UNICEF);
MICS
UNICEF; UNDP
UNICEF
UNStat; ILO
WFS;DHS; EPI
(WHO/UNICEF);
MICS
WFS;DHS;MICS
UNStat, ILO
WFS;DHS;MICS
ILO
ILO
UNESCO
UNStat
UNICEF
UNESCO
UN Stat
UNICEF
Country (limited)
WFS; DHS, MICS
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UNPopDiv; UNStat;
UNICEF
Statistique, Développement et Droits de l‘Homme
Item
Data Source and International Availability
Administrative
Records
(b7) Under 5
mortality rate by sex
Population &
Housing Census
Country (limited)
Survey Sampling
Estimates (from
various sources)
WFS; DHS; MICS
UNPopDiv; UNStat;
UNICEF
(c) Family and Maternity
(c1) % of pregnant
women immunized
against tetanus
(c2) % of births
attended by trained
health personnel
(c3) Maternal
Mortality Rate
(c4)Family planning
Information to
couples
(c5) family planning
services to couples
Country (limited)
DHS; MICS
UNICEF
Country (limited)
WFS; DHS; MICS
UNICEF
Country (limited)
WFS, DHS, MICS
Country (limited)
WFS, DHS, MICS
Country (limited)
WFS;DHS;MICS
(c6) Treatment of
Infertility
(c7) Harmful
Practices - FGM
Country (limited)
WFS, DHS, MICS
UN PopDiv,
UNStat; UNICEF
UN PopDiv;
UNStat; UNICEF
UNFPA
UNPopDiv; UNStat;
UNICEF; UNDP;
UNFPA
UNFPA
Country (limited)
UNFPA
6. Frequency of Data Collection for Indicators
In the flux of constant change, a system of recording observations at fairly small but feasible
intervals, such as every six months, should be established for data in which the changes which are
sought to be measured over time have to be obtained from small samples. For other items, on the
relative values of which interest is focussed, data could be collected at longer intervals, perhaps
even as long as five years: the latter could be made to coincide with inter-censal household or
demographic surveys that are part of the statistical system of many a country.
7. Protocols for Data Collection, Analysis, and Publication
In the present context, a protocol could be defined as a detailed plan of a scientific
experiment, treatment or procedure. In the field of human, social and state intentions and practices,
relating to their public and personal lives, protocols for data collection and analysis should
obviously be established to secure the data and safeguard the interests of the interviewed public.
Within the United Nations system, the lead agencies – UN/HR, UNICEF, WHO, UNDP, and
UNFPA – should obviously be entrusted with the task. The United States Bureau of the Census has
already established protocols for pretesting demographic surveys (1993).
Among the items of protocols, could be mentioned the following:
a) Data collection:
· Clear terms and definitions: For example, the statement „For statistical purposes only“
implied to many teenagers and foreign language background respondents that the
government was keeping a record (U.S. OMB, 1986).
· Open-ended v. Close-ended questions. When best to ask open-ended questions:
– When all the appropriate response category choices are not known or are too long.
– When information on sensitive attitudes and behavior is ought,
· No prompting for information on sensitive items.
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Statistique, Développement et Droits de l‘Homme
b) Confidentiality of the data: What is to be done on HIV/AIDS prevalence – report to the
public health authorities? Inform a pregnant mother and arrange for proper medical care ?
c) Ethical considerations: When abortion or female genital mutilation, that have been
declared illegal in a number of countries, occurs, what to do about recording the data?
8. Concluding Remarks
There are many gaps in the available indicators on population issues relevant to human rights.
The sub-national indicators, relevant for countries such as China and India, are also not generally
available. The gaps have to be filled in the basic data (e.g., on infant and child mortality, by sex: see
section 5 above) by the concerted action of the international community.
The quest for perfect indicators has to be tempered by the realization that the best is often the
enemy of the good and that the permissible margin of error, i.e., the range of scientifically obtained
estimates, within which the policy decision would remain the same, might be satisfied with a
relatively small sample. To take an example, during the depression of the 1930's in the U. S. A.,
when it was not known whether the unemployed numbered five or fifteen million, the first sample
did not necessarily have to be large to be useful; but now refined techniques are used to measure if
the unemployment rate has changed by ¼ per cent (Kish, 1971).
Acknowledgment
I wish to acknowledge the cooperation, including provision of documents and discussions, received
from U.N. officials at HR/New York, UNDP, UNICEF, UNFPA, UN Statistics Division , and UN
Population Division. The views expressed are my own and not those of the offices or their officials.
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ABBREVIATIONS USED
CCA:
CEDAW :
DHS :
EPI :
ILO :
MICS:
UN :
UNICEF :
UNDP :
UNFPA :
UN/HR :
UN/HR/NY :
UNESCO:
UNPopDiv :
Common Country Assessment
UN Committee on the Elimination of Discrimination Against Women
Demographic and Health Surveys
Expanded Programme on Immunization
International Labour Organisation
Multiple Indicator Cluster Surveys
United Nations
United Nations Children’s Fund
United Nations Development Programme
United Nations Population Fund
United Nations Office of the High Commissioner for Human Rights
Office of the High Commissioner for Human Rights, New York
United Nations Educational, Scientific and Cultural Organization
United Nations Population Division
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UNStat :
U.S. OMB :
WFS :
WHO :
United Nations Statistics Division
United States Office of Management and Budget
World Fertility Surveys
World Health Organization
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