Part I: Basis for an effective follow-up and procedures. The practical implementation of the preventive approach, constituting a ‘multifaceted and interdisciplinary endeavour’,54 will have to be informed by knowledge and experience from different backgrounds. A preventive approach will thus often require a change of approach especially for Ombuds institutions when designated as NPMs, which have traditionally been established to receive and react to individual complaints. The preventive approach also requires cooperation and constructive dialogue. The discussions at the workshops held in Vienna and Bristol underlined that NPMs operate under the principle of cooperation and should play the role of a ‘critical friend’ offering constructive advice to the authorities. This includes highlighting positive examples from state authorities as well as others, including best practices from other contexts, where appropriate. The preventive approach implies that NPMs need to seek dialogue with the authorities in a cooperative spirit rather than one of condemnation and confrontation. While violations must be clearly stated and denounced, criticism should always be constructive and accompanied with the offer of advice on how improvements could be made. Best practices potentially identified should be commended and replicated in other places of detention. The dialogue and cooperation must not only involve the competent authorities in a broad sense, including the legislative and judiciary, but there could also be a role for relevant domestic civil society actors as well as international actors, in particular the SPT, as will also be outlined in more detail below.55 A preventive approach is consequently complex and challenging, whether in understanding the situation and its underlying causes, in drafting reports and recommendations or in the communication and cooperation with the authorities and other relevant stakeholders. A specific aspect of this complexity is the need to find an adequate balance between a trustful and cooperative relationship with the authorities on the one hand, and being an impartial, critical observer on the other hand. This difficult task requires constant (self-)reflection in the light of the main purpose of NPMs: to best contribute to the prevention of torture. 3.2 Independence A fundamental principle for the effective functioning of NPMs is that they must be ‘functionally independent’.56 In practice this means that NPMs must be capable of working without hindrance or interference from state authorities and other actors. The members of NPMs must be independent experts with the appropriate qualifications and expertise to carry out their mandate.57 NPMs must have control over all aspects of their mandate and functioning such as how, where and when they conduct visits to places of detention;58 how they spend their budget;59 and the appointment of staff. Independence is essential to ensure the overall effectiveness and credibility of NPMs. The SPT has produced guidance for the establishment of NPMs and self-assessment tools that can be used to facilitate and assess independence.60 When applied to the issue of follow-up on recommendations specifically, functional independence implies that the findings of the NPM are based on factual evidence and the recommendations made are justifiable, credible, reliable and legitimate. These are crucial factors that can influence the overall impact of the recommendations made by NPMs. 3.3 Transparency There was consensus among those consulted during the workshops that transparency is one of the key principles governing the NPM’s work. This was underlined in a number of ways. Firstly, the concept of preventive monitoring implies that closed institutions are ‘opened up’ to independent scrutiny. Secondly, it is presumed that an NPM will engage in constructive dialogue with the relevant authorities and this 56 SPT, UN Doc CAT/OP/12/6, para 5(i). See arts. 11, 1(b) and 20(f) OPCAT; see also Part II, Chapters 2.3 and 2.5. See arts 17, 18, 19, and 20 OPCAT. 57 Art 18(2) OPCAT. 58 Art 19(a) OPCAT. 59 Art 18(3) OPCAT. 60 See SPT, UN Doc CAT/OP/12/5; SPT, UN Doc CAT/OP/1. 54 55 - 29 -