Best Practice Guide Inter-Agency Community-Based Complaint Mechanisms Protection against Sexual Exploitation and Abuse
Inter-Agency IASC Standing Committee
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Word-Cloud: The front cover of this Best Practi ce Guide features a cloud of words associated with CBCMs. During the Best Practi ces Workshop conducted in Kigali for the IASC’s PSEA CBCM Pilot Project (2–6 November 2015), parti cipants were asked to name a word or phrase that symbolizes a CBCM to them. The results were compiled to form the word-cloud, where the size of a word or phrase corresponds to the number of individuals who listed that term.
© 2016 Inter-Agency Standing Committ ee (IASC)
The CBCM Best Practi ce Guide is based on the lessons learned from an IASC pilot project to establish inter-agency complaint mechanisms, and was produced in coordinati on with the project’s Global Steering Committ ee members: Internati onal Medical Corps (IMC), Internati onal Rescue Committ ee (IRC), Save the Children, UNICEF, UNHCR and the Co-chair and Coordinator for the IASC Task Team on Accountability to Aff ected Populati ons and PSEA.
This guide is provided by the Inter-Agency Standing Committ ee for general distributi on. All rights are reserved. Reproducti on is authorized, except for commercial purposes provided that IASC is acknowledged. Suggested citati on: Inter-Agency Standing Committ eeInter-Agency PSEA-CBCM Best Practi ce Guide (2016).
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FOREWORD
Sexual exploitation and abuse by humanitarian workers and other actors engaged in assisting the most vulnerable populations directly contradicts the principles upon which humanitarian action is based.
Sexual exploitation and abuse inflicts indelible harm on the very people seeking protection from armed conflict and natural disasters.
Despite humanitarian principles and commitments to counter these abhorrent acts, instances of abuses committed by aid workers have occurred. As such, much high-level attention has been directed at effectively fighting sexual exploitation and abuse over the past decade, and the international humanitarian community has been actively engaged in efforts to eradicate it. These include initiatives to establish clear guidelines and global standard operating procedures to strengthen responses to sexual exploitation and abuse allegations, by individual organizations and collectively. This Community-Based Complaint Mechanism Best Practice Guide is a compilation of lessons learned from an Inter-Agency Standing Committee pilot project, coordinated by the International Organization for Migration on behalf of the Committee and carried out by the United Nations High Commissioner for Refugees and Save the Children in Ethiopia and the Democratic Republic of the Congo. The project was a key objective of the Inter-Agency Standing Committee Task Team on Accountability to Affected Populations and Protection from Sexual Abuse and Exploitation in 2014-15, and the resulting tools were endorsed by the Committee Principals in June 2016. This Guide demonstrates a significant step forward in strengthening systems at the field-level for protection against sexual exploitation and abuse. It provides instructions on how to set up and run an inter- agency community-based complaint mechanism to handle reports of abuse by humanitarian aid workers and to provide victim assistance.
Building on the substance of international commitments, as well as lessons learned from previous research and complaint mechanisms in various countries, the Guide aims to turn high-level commitment into useful instruction. Experience has shown that the community- based complaint mechanism is a vital and effective component of a comprehensive response to sexual exploitation and abuse in an emergency operation.
Humanitarian organizations, coordinators, country teams, clusters and donors – all have a responsibility to report sexual exploitation and abuse incidents and to mainstream protection measures into every aspect of humanitarian assistance programming.
In the words of United Nations Secretary-General Ban Ki-moon “We must all be resolved to create a United Nations that lives up to the public’s trust and that combats any form of sexual exploitation of abuse. We must model a spirit of respect, dignity, equality and other universal ideas that we hope to instill in society.”
In keeping with the core responsibilities outlined in the Secretary-General’s Agenda for Humanity launched at the World Humanitarian Summit, the Inter-Agency Standing Committee Principals have affirmed their international commitment to actively respond to incidents of sexual exploitation and abuse and achieve a true system of collective accountability necessary to eradicate this wrongdoing. ii Foreword
Together, we can help the communities, families and individuals we serve to be stronger and safer.
Stephen O’Brien William Lacy Swing Under-Secretary-General Director General for Humanitarian Affairs and International Organization for Migration Emergency Relief Coordinator and IASC Champion on PSEA
Filippo Grandi Helle Thorning-Schmidt United Nations High Commissioner Chief Executive Officer for Refugees Save the Children International iii
ACKNOWLEDGEMENTS
This Best Practice Guide was a collective endeavor of many agencies and individuals. The Guide is based on the lessons learned from an IASC pilot project to establish inter- agency complaint mechanisms in order to compile best practices and address a gap in the collective response to prevent and address sexual exploitation and abuse. The initiative was spearheaded by the IASC Task Force on PSEA1, and supported by the IASC Principals and Working Group. The Principals’ endorsement of this Guide will help promote the good practices found within and contribute towards ensuring that inter-agency complaint mechanisms are systematically developed in all humanitarian response operations.
Large thanks are due to the Director General of the International Organization for Migration (IOM), Ambassador William Lacy Swing. He has been a staunch advocate of inter-agency collaboration in his role as the IASC Champion on PSEA since 2011. Particular gratitude is extended to Mr. Stephen O’Brien, Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinator, and Ms. Valerie Amos, former Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinator, under whose leadership the PSEA pilot project was carried out.
The main contributing authors of this Guide were Alexandra Hileman (IOM) and Tristan Burnett (IOM), the project’s Global Coordinator. Significant appreciation is extended to Mohammed Abdiker, Director of IOM’s Department of Operations and Emergencies for his continued support throughout the duration of the project, and the pilot’s Global Steering Committee members International Medical Corps (IMC), International Rescue Committee (IRC), Save the Children, UNICEF, UNHCR, and the Co-chair and Coordinator for the IASC Task Team on Accountability to Affected Populations and PSEA, who provided guidance and oversight throughout the life-span of the project and who reviewed the Guide. Particular thanks goes to the CBCM member agencies in Ethiopia and the Democratic Republic of the Congo, especially the programme managers in Dollo Ado, Restituta Cang (UNHCR), Eric Dentor (IMC) and Rocky Oyoo (IMC); and in North Kivu, Anita Exantus (Save the Children). Substantial contributions and support were provided by the IASC Task Team Coordinator, Astrid De Valon, who facilitated the Best Practices Workshop in Kigali, Rwanda in November 2015, by the IASC Secretariat, particularly Christelle Loupforest, and by the IOM Special Liaison Office in New York, especially Lea Matheson. Special gratitude is extended to the IOM Publications Department for its outstanding assistance on the design and editing, notably Valerie Hagger and Mae Angeline Delgado. Finally, a note of thanks is extended to all individuals who devoted substantial time and effort to design the pilot project, especially David Derthick (IOM) and Manisha Thomas.
The pilot project was made possible through the generous financial support of the United States Department of State, Bureau of Population, Refugees, and Migration (PRM) and the European Commission’s Humanitarian Aid and Civil Protection department (ECHO).
1 The IASC Task Force on PSEA is now the IASC Task Team on Accountability to Affected Populations and PSEA.
v
TABLE OF CONTENTS
FOREWORD...... i
ACKNOWLEDGEMENTS...... iii
ACRONYMS ...... vii
KEY TERMINOLOGY...... ix
INTRODUCTION...... xiii What to expect in an inter-agency PSEA-CBCM...... xiii Development of international PSEA commitments...... xiii Previous work done and what this guide seeks to do...... xv Importance of inter-agency coordination...... xvi How to use this guide...... xviii
CHECKLIST FOR SETTING UP AN INTER-AGENCY PSEA-CBCM...... xxi
THEMATIC AREAS
SECTION A. Ensuring support and active engagement in the CBCM...... 1 Chapter 1. Humanitarian agencies...... 3 Securing agency involvement...... 3 Commitment of human and monetary resources...... 5 Improvement of internal policies and procedures...... 7 Coordinate with other agencies...... 10 Chapter 2. National NGOs, CBOs, and community structures...... 12 Chapter 3. Host governments...... 16 Chapter 4. Affected communities...... 19
SECTION B. Structuring and establishing an inter-agency CBCM...... 27 Chapter 1. Setting up the CBCM infrastructure...... 28 Link to existing mechanisms...... 29 The organizational structure...... 30 Standard operating procedures...... 34 Chapter 2. Scope of the CBCM: SEA-specific or not?...... 36 Pros and Cons ...... 36 Bottom line...... 39 Chapter 3. Safe and accessible channels for reporting SEA...... 41 Reporting channels for the affected community...... 41 Staff reporting...... 45 A look at one channel – The suggestion box...... 46 Rumours...... 48 New channels and technology...... 49 vi Table of contents
Chapter 4. Intake and review of complaints ...... 52 Complaint intake – Principles...... 53 Complaint intake – Protocols ...... 55 Special concerns for child complainants...... 56 Follow-up with the complainant...... 57 Assess the complaint for referral...... 58 Next steps...... 59 Chapter 5. Referring SEA allegations for investigation and follow-up...... 62 CBCM’s role after referral...... 65 Criminal acts of SEA...... 68 Feedback to survivors – closing the feedback loop...... 69 Chapter 6. Ensuring a sustainable mechanism ...... 74 Sustainability barriers...... 74 Sustainability solutions...... 75 Special note on common Codes of Conduct ...... 80
SECTION C. PSEA Awareness-Raising...... 83 Chapter 1. Humanitarian staff: Training and capacity-building...... 84 Training for all staff...... 85 Additional training for managers...... 89 Training for agency CBCM focal points...... 90 Training for implementing partners...... 92 Chapter 2. Affected communities...... 94
SECTION D. Protection and Assistance...... 103 Chapter 1. Ensuring quick and appropriate assistance to complainants and victims...... 104 Service mapping...... 106 Assistance services...... 107 Feedback to the complainant/victim...... 109 Chapter 2. Prevention activities and policies...... 112 Developing and circulating internal policies...... 113 Raise staff awareness and ensure proper supervision...... 113 Awareness-raising for the affected community...... 114 Recruitment and vetting...... 114 PSEA clauses in contracts...... 115 Special note on livelihoods ...... 118
SECTION E. Monitoring and evaluation of the CBCM...... 123 Chapter 1. Monitoring and evaluation with programme adjustment...... 124 Areas to monitor ...... 125 What to do with data trends ...... 131
ANNEXES ...... 135 vii
ACRONYMS
CBCM Community-Based Complaint Mechanism
CBO Community-Based Organization
CHS Core Humanitarian Standard on Quality and Accountability
GBV Gender-Based Violence
HC Humanitarian Coordinator
IASC Inter-Agency Standing Committee
IP Implementing Partner
MOS-PSEA Minimum Operating Standards for PSEA
NGO Non-Governmental Organization
PSEA Protection from Sexual Exploitation and Abuse
SEA Sexual Exploitation and Abuse
SOC Subject of the Complaint
SOPs Standard Operating Procedures
TOR Terms of Reference
UN United Nations
ix
KEY TERMINOLOGY
Beneficiaries of A person who receives assistance as part of either emergency Humanitarian Assistance relief or development aid through assistance programmes (en mass: “the affected population,” or “the affected community”). Persons under this title include refugees, internally displaced persons and other vulnerable individuals, as well as host community members. Sexual exploitation or abuse of a beneficiary is SEA, but the individual need not be in a vulnerable position; a differential power or trust relationship is sufficient to establish SEA.
CBCM Stakeholders CBCM stakeholders are agencies which have committed to participate in joint complaint mechanisms. They should include organizations which provide humanitarian assistance in the implementation site (UN agencies, international and national non-governmental organizations (NGOs), international organizations and their implementing partners/contractors), as well as community-based organizations and relevant host government agencies.
CBCM Standard The Standard Operating Procedures (SOPs) for an inter- Operating Procedures agency CBCM outline the protocols that all CBCM Stakeholders agree to in running the CBCM. SOPs for CBCMs will vary in content as they will be tailored to fit the specific needs/structures on site, but they should always facilitate the joint actions of Stakeholders by detailing the roles and responsibilities of actors and timelines for actions. CBCM SOPs should be based upon the Global SOP template to simplify drafting and to ensure that procedures are in-line with stakeholder’s SEA reporting and data-protection procedures.
Code of Conduct A set of standards for behaviour that staff of an organization are obliged to adhere to.
Community-Based A Community-based complaints mechanism (CBCM) is a Complaints Mechanism system blending both formal and informal community tructures, built on engagement with the community where individuals are able and encouraged to safely report grievances – including SEA incidents – and those reports are referred to the appropriate entities for follow-up.
Complainant A person who brings an allegation of SEA to the CBCM in accordance with established procedures. This person may be an SEA survivor or another person who is aware of the wrongdoing. Both the survivor and the complainant, if different from the survivor, should be protected from retaliation for reporting SEA. Where there is any conflict of interest between the survivor and another interested party, the survivor’s wishes must be the principle consideration in x Key terminology
case handling, particularly when there is a risk of additional physical and/or emotional harm.
Concerned Agency The agency or organization that employs the Subject of the Complaint. It may be a UN agency, intergovernmental organization, NGO, Community-based organization (CBO), implementing partner, or any organization involved in the provision of humanitarian or developmental aid. This is the organization responsible for investigating allegations of sexual exploitation and abuse (SEA) and taking appropriate follow-up action, to which the CBCM will send the complaints it receives.
Gender-Based Violence Gender-based violence (GBV) is an umbrella term for any harmful act that is perpetrated against a person’s will and that is based on socially ascribed differences between males and females (i.e. gender). It includes acts that inflict physical, sexual or mental harm or suffering, threats of such acts, coercion, and other deprivations of liberty.1
Humanitarian Aid Worker For the purposes of this Guide, this term encompasses all persons involved in providing protection and/or assistance to affected populations and who have a contractual relationship with the participating organization/partners, including incentive workers from target communities. It refers to all staff of humanitarian agencies and organizations, including UN agencies, IGOs, NGOs, implementing partners, and relevant CBOs including paid staff, volunteers, contractors, incentive workers, and anyone performing a task on behalf of any humanitarian agency or organization, regardless of the type or duration of their contract.2
Incentive Workers Individuals who receive non-monetary compensation for work or representation for an organization, and are frequently members of the affected community. They are considered as humanitarian workers for the purpose of determining SEA.3
Implementing Partners Entities or organizations that operate at country level, in accordance with established UN, IO or NGO procedures, to provide services and deliver humanitarian assistance. Staff of, and all those employed by, an implementing partner are “humanitarian aid workers” for the purposes of this Guide.
1 Inter-Agency Standing Committee, Guidelines for Integrating Gender-Based Violence Interventions in Humanitarian Action – Reducing Risk, Promoting Resilience and Aiding Recovery(2015) [hereinafter IASC GBV Guidelines (2015)]. 2 International Council of Voluntary Agencies, “Building Safer Organizations Guidelines: Receiving and Investigating Allegations of Abuse and Exploitation by Humanitarian Workers” (2007) [hereinafter ICVA BSO Guidelines (2007)], Inter- Agency Standing Committee’s Task Force on Protection from Sexual Exploitation and Abuse, “Guidelines to implement the Minimum Operating Standards for Protection from Sexual Exploitation and Abuse by UN and non-UN Personnel” (2013) [hereinafter IASC Guidelines to Implement the MOS-PSEA (2013)], and Inter-Agency Standing Committee Task Force on PSEA, “Model Complaints and Investigations Procedures and Guidance Related to Sexual Exploitation and Abuse” (2004) [hereinafter IASC Model Procedures (2004)]. 3 ICVA BSO Guidelines (2007). PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms xi
Sexual Exploitation and Particular forms of GBV that have been reported in Abuse (SEA) humanitarian contexts, specifically alleged against humanitarian workers.
Sexual Exploitation: Any actual or attempted abuse of a position of vulnerability, differential power, or trust, for sexual purposes, including, but not limited to, profiting monetarily, socially or politically from the sexual exploitation of another.4
Sexual Abuse: The actual or threatened physical intrusion of a sexual nature, whether by force or under unequal or coercive conditions.
Staff For the purposes of this Guide, “staff” of an organization is any person who works for or represents that organization, whether or not s/he is compensated monetarily and regardless of the type or duration of their contract.
Subject of the Complaint Once a complaint has been filed, the alleged perpetrator of SEA is referred to under these terms.
Survivor A person who has SEA perpetrated against him/her or an attempt to perpetrate SEA against him/her. For the purposes of this Guide, a Complainant who reports SEA committed against him/herself is treated as a Survivor for the purposes of security and needs assessments (i.e. assistance is not dependent on the proof of a Complainant’s allegation).
Whistleblower For the purposes of this Guide a whistleblower is a type of complainant, not the survivor, who is a humanitarian aid worker making a report of SEA. Organizational whistleblowing policies encourage staff to report concerns or suspicions of misconduct by colleagues by offering protection from retaliation5 for reporting, and clarify the rules and procedures for reporting and addressing such cases. Therefore the definition, scope, and protection measures may differ between organizations. CBCM principles (e.g. confidentiality) apply to whistleblowers as they would to any complainant, and internal agency policies shall protect whistleblowers on SEA from retaliation, so long as the report is made in good faith and in compliance with internal agency policies.6
4 The definitions for both Sexual Exploitation and Sexual Abuse are contained in the United Nations Secretary-General’s Bulletin, “Special measures for protection from sexual exploitation and sexual abuse” ST/SGB/2003/13 (9 October 2003) [hereinafter Secretary-General’s Bulletin on SEA (2003)]. 5 Statement of Commitment on Eliminating Sexual Exploitation and Abuse by UN and Non-UN Personnel” (2006, updated 2011) [hereinafter Statement of Commitment (2006)] #5, “Take appropriate action to the best of our abilities to protect persons from retaliation where allegations of sexual exploitation and abuse are reported involving our personnel.” Note: ST/SGB/2005/21 requires also that the report be made “as soon as possible and not later than six years after the individual becomes aware of the misconduct. The individual must […] submit information or evidence to support a reasonable belief that misconduct has occurred”. 6 UN SGB Protection against retaliation for reporting misconduct and for cooperating with duly authorized auditsor investigations ST/SGB/2005/21 (19 December 2005) §2.1. xii Key terminology
Distinctions
Agency Both are entities formed by treaty or other institutional document with a versus particular mandate and internal governance. While often used Organization interchangeably, within the UN system an “agency” usually implies an independent, specialized organization with increased autonomy. This Guide uses the term “agency” throughout rather than “agency/ organization,” purely for brevity. This usage is not meant to imply any difference in responsibilities among humanitarian actors. Whether an entity is an “agency” or an “organization,” their commitments and responsibilities as CBCM Stakeholders remain the same.
GBV SEA can be seen as a form of GBV, as victims of SEA are often abused versus because of their vulnerable status as women, girls, boys, or even men SEA (in some circumstances). The guidance in this document specifically applies to SEA prevention and response, but CBCM stakeholders – especially those working directly with beneficiaries – should be trained to recognize SEA as opposed to GBV survivors, and should be aware of the role PSEA plays in larger GBV protection campaigns. Guidance can be found in the IASC GBV Guidelines (2015).
Sexual Harassment SEA occurs against a beneficiary or member of the community. Sexual versus harassment occurs between personnel/staff, and involves any SEA unwelcome sexual advance or unwanted verbal or physical conduct of a sexual nature.* While the two acts are factually different, the prevalence of Sexual Harassment can be an indicator of gender power imbalances and/or indicate a sense of impunity on site that can lead to SEA. It is important for the CBCM to keep the distinction between these two forms of misconduct clear, as both the affected population and staff can potentially confuse them and be unclear about their rights and reporting options/requirements. Because agency reporting procedures for sexual harassment may be the same as for reporting SEA complaints, it is important that agency policies and staff trainings include specific instruction on the procedures to report each.
Survivor Like “Survivor,” “Victim” is also intended to reflect a person who has SEA versus perpetrated or attempted against him/her, and is often used Victim interchangeably with “Survivor.”** This Guide uses the term “Survivor” for consistency. However, as much literature on assistance provision that was sourced for this Guide uses the “Victim” terminology, the Guide will follow in kind when discussing Victim Assistance. Neither designation is in any way meant to imply a lack of strength, resilience, or capacity to survive.
* Sexual harassment is covered by the UN Secretariat “Administrative Instruction Procedures for dealing with sexual harassment” ST/AI/379 (29 October 1992), and UNSG Bulletin “Prohibition of discrimination, harassment, including sexual harassment, and abuse of authority” ST/SGB/2008/5 (11 February 2008).
** See IASC Guidelines to Implement the MOS-PSEA (2013), and IASC GBV Guidelines (2015) Part I Introduction, p.1: “the terms ‘victim’ and ‘survivor’ can be used interchangeably. ‘Victim’ is a term often used in the legal and medical sectors, while the term ‘survivor’ is generally preferred in the psychological and social support sectors because it implies resiliency.” xiii
INTRODUCTION
What to expect in an inter-agency PSEA-CBCM This Guide gives instructions on how to set up and run an inter-agency community-based complaint mechanism to handle reports of sexual abuse and exploitation by humanitarian aid workers. A Community-Based Complaint Mechanism (CBCM) is a system rooted in community input so that the structure is both culturally and gender-sensitive, maximizing its safety and effectiveness. The primary concern of the mechanism is to aid known and potential SEA survivors, facilitate SEA reporting and allegation referrals, and to fulfill a prevention function through training and awareness-raising. The inter-agency aspect entails that the mechanism can receive complaints against actors from multiple organizations, and that the complaints will be referred to the proper unit within each organization for follow-up. Altogether, the CBCM is a relevant and efficient means of comprehensively responding to SEA in an emergency response operation.
When implemented properly, a PSEA-CBCM will increase awareness of SEA in both the affected population and humanitarian staff, including how to report SEA incidents. This means that a well-run CBCM may actually increase the number of reported SEA incidents in the target area. In fact, reports should increase. Increasing complaints after the inception of a CBCM does not necessarily mean an increasing SEA problem. SEA is already a problem. Rather, increased complaints can indicate community acceptance of the mechanism, and its use facilitates the streamlined referral of complaints to agencies’ investigative units so that appropriate action can be taken on staff misconduct. Conversely, the absence of SEA reports should not be interpreted as an absence of SEA. Given current reports of SEA incidents across the globe, lack of reports may be a warning that there are inadequate mechanisms on site that the affected population can safely access. Development of international PSEA commitments
The international fight against SEA has For more on the development of international PSEA been ongoing since the offense was first commitments, see the Introduction to the Global Standard Operating Procedures on inter-agency cooperation in recognized in 2002, after scandals emerged CBCMs, in Annex 3. in West Africa. Since then the international community has produced several commitments to eradicate these injustices. The four instruments below include key agency commitments that the CBCM should be familiar with and keep on hand as a reference:
PSEA commitments
UN Secretary-General’s Bulletin on SEA (2003): Outlines a zero-tolerance policy toward SEA, incorporates the IASC’s Six Principles on PSEA,* obliges UN staff to report incidents of abuse, and is binding on all UN staff, including all agencies and individuals who have cooperative agreements with the UN.
* The Six Core Principles relating to SEA are found in the Statement of Commitment (2006) in Annex 2. xiv Introduction
Statement of Commitment Eliminating Sexual Exploitation and Abuse by UN and Non- UN Personnel (2006): Broadened the international commitment to fight SEA by establishing standards of conduct that are applicable to all personnel at all times, including when off duty and on leave.
Minimum Operating Standards for PSEA (2012): Provides guidance and specific indicators on how organizations can set up internal structures to fulfill their PSEA commitments.
IASC Statement on PSEA (2015): Reaffirms commitments to eradicate SEA and actively respond to incidents, including concrete action points to translate PSEA commitments into operational change.
In addition to PSEA-specific commitments, other humanitarian principles also provide a framework from which organizations must take concerted actions to protect the affected population from harm. The 2013 IASC Statement on the Centrality of Protection reaffirms that humanitarian decision-making and response must take into account the protection of all affected and at-risk individuals and communities. Furthermore, the commitment to mainstream protection in all humanitarian action requires the incorporation of protection principles and promoting meaningful access, safety and dignity in humanitarian aid.7 In addition the Core Humanitarian Standard – commitments to improve assistance provision subscribed to by more than 250 organizations – requires that “Communities and people affected by crisis are not negatively affected and are more prepared, resilient and less at-risk as a result of humanitarian action.”8 These provisions should include taking steps to prevent humanitarian workers from sexually exploiting and/or abusing members of the affected community whom they are charged to assist.
Despite these commitments, an unacceptable level of sexual exploitation and abuse against beneficiaries continues to occur. The 2013 Report to the UN Secretary-General on IASC progress to prevent SEA since 2010 noted an underreporting of SEA cases and lack of punishment of perpetrators. The perceived impunity in the current system increases the likelihood of repeated abuses and deters reporting. The international community needs to establish systems that will ease reporting for the affected population, while ensuring that those complaints reach the agencies’ investigative units to encourage follow-up.
Strengthening the humanitarian community’s fight against SEA in order to achieve a true system of collective accountability requires a philosophical shift in the way that senior management and field staff approach sexual exploitation and abuse. PSEA activities and systems cannot be viewed through a project-based lens, dependent on external funds and carried out during a specified time-frame. Rather, they must be an ongoing effort that commences at the start of a crisis and continues throughout all phases of a humanitarian response operation. SEA is a protection violation committed by members of the humanitarian community, and the impetus falls upon us to develop the systems to prevent and respond to such cases in every environment where we provide assistance. This is not only an ethical responsibility; In line with UN and IASC commitments on PSEA, and central to protection, it is the responsibility of all humanitarian actors to minimize risks and actively protect members of the affected population(s) from being subjected to abuse by those who are charged to assist and protect them.
7 Global Protection Cluster, “Protection Mainstreaming Training Package” (2014) p.20. 8 Core Humanitarian Standard: Commitments, Actions and Responsibilities #3. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms xv
Previous work done and what this guide seeks to do
Much high-level attention has been put on effectively fighting SEA over the past decade, and international commitment to eradicate the abuse is at an all-time high. This Guide builds on the substance of international commitments, as well as lessons learned from previous research and complaints mechanisms in various countries,9 with a goal of turning that high- level commitment into useful instruction. A 2010 Global Review on PSEA commissioned by the IASC identified many protection gaps that this Guide seeks to fill in, including lack of clear PSEA directives from agency Headquarters to the field, and the use of ineffective awareness- raising strategies. The 2012 Compendium of CBCM Practices was instrumental in exploring good practices to follow, and a solid starting place for this Guide. This Guide also draws from model procedures and guidelines in complaints mechanisms developed by the IASC and other inter-agency networks.
PSEA resources
• IASC Global Review of Protection from SEA (2010) • IASC Compendium of Practices on Community-Based Complaints Mechanisms (2012) • IASC Model Complaints and Investigation Procedures and Guidance Related to SEA (2004) • ICVA Building Safer Organizations Handbook (2007) • ECHA/ECPS UN and NGO Task Force on PSEA’s SEA Victim Assistance Guide (2009)*
* The ECHA/ECPS UN and NGO Task Force on Protection from Sexual Exploitation and Abuse was the early forum responsible for promoting global policy and guidance on PSEA for humanitarian actors. In 2011 the work of the Task Force was taken up by the Inter-Agency Standing Committee (IASC) PSEA Task Force, which merged with the IASC Task Force on Accountability to Affected Populations in 2014.
This Guide provides new material on inter-agency coordination to establish and maintain PSEA CBCMs. The best practices and specific recommendations listed throughout this Guide are primarily derived from lessons learned during a 2-year project carried out on behalf of the IASC to pilot inter-agency CBCMs in two distinct humanitarian situations.10 The project established CBCMs for IDPs and refugees in a fluid, open, and remote setting with ongoing displacement due to conflict and a Chapter VII peacekeeping force (Democratic Republic of the Congo), and for refugees in the closed and controlled environment of a camp (Ethiopia). As a result, the recommendations contained in this Guide can be applied in diverse response scenarios. While both project sites were humanitarian response settings – given the role the IASC plays as the key forum for humanitarian partners on coordination, policy, and decision- making – international PSEA commitments are not restricted to the humanitarian context and the recommendations in this Guide may also be applicable in transition and development contexts.
The goal of the project was to establish an effective inter-agency system to receive and address SEA cases, gather lessons learned, and contribute to a broader vision where the humanitarian community is able to ensure that complaints are received safely, victims are protected and assisted, and appropriate follow-up is ensured. Because the focus of the project was inter-
9 In addition to the two Pilot Project countries, this Guide is built on lessons contained in single- and inter-agency CBCM evaluations in Thailand, Haiti, Kenya and by CARE. 10 Objective 3.2 of the IASC Task Team on Accountability to Affected Populations and Protection from Sexual Exploitation and Abuse Workplan for 2014-2015. xvi Introduction
agency cooperation, this resulting Guide is Agencies looking for institutional guidance to establish targeted toward CBCM stakeholders as a or strengthen internal procedures to fight SEA are group to provide guidance on how CBCMs can encouraged to see agency-targeted Guides, such as InterAction’s Step by Step Guide to Addressing Sexual be run as a joint effort, rather than instructing Exploitation and Abuse (2010). one agency how it can independently fulfill its PSEA commitments. This Guide does not address internal agency issues, such as investigations, for which stakeholders must adhere to their own internal procedures. Importance of inter-agency coordination The reasons why the international community needs PSEA-CBCMs is clear and basically unquestioned: A complaint mechanism is a basic accountability tool in humanitarian response, needed to air grievances from those we owe protection. They are a mandatory step as outlined in the Secretary-General’s Bulletin on SEA (2003) and a routine feature of many organizations for quality assurance.
It is the multi-agency coordination inherent in an inter-agency CBCM that has presented challenges in the past. Given the disparate policies and procedures of agencies operating in any one response site, as well as data protection and confidentiality principles that impede cross-institutional information sharing, implementing inter-agency complaint handling mechanisms has been understandably fraught with difficulties.11 Add to this resistance the fact that more time is always required to achieve consensus in a group; an inter-agency CBCM must expect from the beginning that every action will take longer than anticipated.These are the hurdles that the IASC Pilot Project sought to find means to overcome, and the obstacles that this Guide aims to help address.
Studies are reinforcing time and again the need for collective action against SEA, and agency commitments reflect this good practice.12 Despite the additional coordination needed, inter- agency CBCMs have proven an increasingly effective response to SEA. Some of the concrete benefits are:13
Benefits of inter-agency mechanisms
• One joint mechanism is easier for communities to understand and to safely access. It offers the beneficiary complainant (or even a staff complainant) the option of reporting SEA to an agency which does not itself employ the alleged perpetrator of the misconduct, reducing fear of reprisal. • The referral system also ensures that the complaint will arrive at the appropriate agency when a beneficiary cannot or does not distinguish which agency employs the offending staff member.
11 See concerns raised in Humanitarian Accountability Partnership, “Do Complaints Mechanisms Work? Report on the HAP PSEA Conference 2014”. 12 Inter-Agency Standing Committee, “Minimum Operating Standards: Protection from Sexual Exploitation and Abuse by own Personnel” (2012) [hereinafter MOS-PSEA (2012)] #5 Indicator 1: “The HQ urges its field offices to participate in community based complaint mechanisms that are jointly developed and implemented by the aid community.” Internal agency policies are also recognizing the importance of joint field-based complaint mechanisms. An inter-agency approach is also aligned with the Core Humanitarian Standard on Quality and Accountability. 13 Expanded from findings in the Inter-Agency Standing Committee, “Protection from Sexual Exploitation andAbuse: Compendium of Practices on Community-Based Complaints Mechanisms” (2012), and the Evaluation of the IASCPilot Project. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms xvii
• One mechanism on site maximizes resources, and is easier to maintain. Efforts costing both financial and human resources will not be duplicated where they are coordinated. Capacity-building events become more cost-effective and efficient when agencies harmonize activities and procedures and maintain a consistent stance on messaging re: staff misconduct. • An inter-agency approach allows individual agencies to contribute their own good practice and experience where it exists, increasing learning and buy-in while improving practices. It allows agencies to jointly discuss CBCM issues and envisage possible adjustments together. • As a symbolic gesture, agencies working collaboratively on one issue offers a strong message to both the affected population and staff of the importance placed on PSEA. As reported in the Evaluation of the IASC Pilot Project, “Both interagency pilot projects benefited from the presence of CBOs, national and Government agencies. This encouraged beneficiaries to relate to the PSEA pilot in a more meaningful manner. As one woman pointed out during the household survey, seeing their local staff working with international staff and all having Codes of Conduct for PSEA was a novel idea.” Inter-agency coordination presents the image to the community (and field staff) that PSEA is a collective, all-important issue.
Global SOPs: Filling in the cooperation gap
In an effort to promote the establishment of inter-agency PSEA-CBCMs and to provide global- level guidance on agency coordination in joint complaint mechanisms, the IASC set up a team to draftGlobal Standard Operating Procedures on inter-agency cooperation in CBCMs.* Based on collaborative discussions with sixteen agencies and endorsed by the IASC Principals in 2016, these Global SOPs fill a major gap in field level coordination by providing Headquarters- agreement on many of the procedures that have hindered joint CBCMs in the past. These Global SOPs provide a template for drafting CBCM-specific procedures – minimally tailored to reflect the local context and account for existing structures – by showing CBCM stakeholders how they can share For more guidance on drafting CBCM SOPs, see this Guide’s information while respecting their internal SEA reporting Chapter on “Setting up the and data-protection policies. When setting up a CBCM, CBCM Infrastructure”. stakeholders should use these Global SOPs in conjunction with this Guide to set up a CBCM that is both procedurally and practically effective.
* The Global Standard Operating Procedures on inter-agency cooperation in CBCMs were developed based on an IASC Principals decision on 21–22 May 2015 and endorsed by the same body at their biannual meeting on 7 June 2016. For more on the drafting history, see the Introduction to the Global SOPs in this Guide’s Annex 3. xviii Introduction
How to use this guide This is a user-friendly troubleshooting guide for developing and maintaining inter-agency PSEA-CBCMs in humanitarian settings. It identifies the practices and goals a CBCM should follow grouped by thematic areas – colour-coded for clarity – with explanations whythe practice should be followed and the likely consequences if it is not. The Guide anticipates some of the specific challenges an inter-agency CBCM is likely to face, and attempts to address each with targeted recommendations for success, listed at the end of each Chapter.
Within the main text, the Guide includes text boxes to alert the reader to key pieces of information:
Best Practice Best Practice box is a short statement of the practice to be discussed within that Chapter.
Information Information box highlights key information or provides additional information to complement the ideas in the main body of the text.
Example Example box provides an example or a Lesson Learned from a CBCM in executing the practices found in the text.
Be Aware Be Aware box introduces a key hurdle faced by CBCMs in the past, or a PSEA issue that is currently unresolved.
Essential to Know Essential to Know box includes especially vital information.
Tips Tips box is a short tip to complement the guidance found in the text.
Tools Tools box provides tools and/or guidelines that can be accessed to implement the practices found in the text. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms xix
The Guide is arranged around key steps that must be taken to establish an inter-agency CBCM, beginning with engaging the necessary stakeholders, through setting up and running CBCM activities, and finishing with monitoring and programme adjustment. The organization of the Guide should not be seen as a timeline. Many steps covered in this Guide will continually overlap; for example, both consulting with humanitarian agencies and conducting monitoring and evaluation (the first and final Chapters) should be done throughout the life of the mechanism. For this reason, each of the Chapters can be read alone out of order (although a familiarity with the whole Guide is recommended for a comprehensive view of CBCM issues). For quick review and cross-referencing of practices and desired outcomes, there is a Summary Chart in Annex 1 of this Guide.
The Guide is a living document, and it will be updated regularly to reflect developments and new tools in PSEA. Country teams, PSEA/CBCM Coordinators, and anyone using this Guide are encouraged to add local and regional practices and policies into this Guide’s binder. It should be noted that this Guide is a direct output from lessons learned during the IASC Pilot Project, which was limited to two African countries and did not represent response to a natural disaster. While the authors have attempted to make the recommendations in this Guide universally applicable, local and regional solutions are highly encouraged and future editions of this Guide will benefit from further lessons.
In order to make the guide more comprehensive, we invite you to make suggestions of Best Practices or relevant PSEA documents that we can add/annex to later editions of this Guide. If you would like to make a submission, please contact [email protected] or [email protected]. If appropriate, please include a short story about how this Best Practice or guiding document was used by your organization/team.
Finally, if CBCM stakeholders at any time need further assistance than what is provided in this Guide, they are invited to contact the IASC AAP-PSEA Task Team’s helpdesk at helpdesk- [email protected].
xxi
CHECKLIST FOR SETTING UP AN INTER-AGENCY PSEA-CBCM
This checklist can be used to make sure that all the necessary steps that are covered in the Guide are completed when setting up an inter-agency community-based complaint mechanism for protection from sexual exploitation and abuse. It isnot a timeline. Many steps will continually overlap throughout the life of the mechanism.
Engage with key actors Secure early participation of, and regularly consult with: The Humanitarian Coordinator; Humanitarian agencies providing aid on site, e.g. Humanitarian Country Teams; National NGOs, CBOs, and Community Structures; The host government(s); The affected community.
Design and implement the CBCM The process of creating the CBCM was collaborative with all the key actors, and took into account the following considerations: Setting up the organizational structure took into account local culture, linked topre- existing mechanisms, and followed the principles governing an effective complaints mechanism. Writing the procedures that govern the mechanism (“CBCM SOPs”) was a collaborative process among all participating agencies and was based on theGlobal Standard Operating Procedures on inter-agency cooperation in CBCMs so that they align with agency policies. Deciding whether the CBCM is designed to handle a range of different types of complaints, or only handle SEA complaints. Creating reporting channels that meet the needs of the whole community. Having documented and transparent processes for receiving and reviewing SEA allegations. Having agreed-upon protocols for referring SEA allegations to the concerned agency for potential investigation and follow-up, including feedback, as well as methods to transfer non-SEA complaints to the relevant agency/Cluster. Taking steps to ensure that the mechanism is sustainable. xxii Introduction
Awareness-raising Educational activities on PSEA and the CBCM reflect the policies of all participating agencies, and promote behaviour change and capacity-building both for: Staff, including all humanitarian staff and with specially targeted trainings for Managers, CBCM Focal Points, Key Cluster Leads and Implementing Partners; Affected communities.
Protection The CBCM is linked to existing victim assistance systems that are educated on PSEA and services are provided immediately, without waiting for the outcome of the complaint. A wide range of SEA prevention measures are implemented throughout the programme, with the goal of stopping SEA before it occurs.
Monitoring and evaluation and programme adjustment The CBCM consistently monitors its performance and makes responsive adjustments to ensure a culturally relevant, safe and effective mechanism. SECTION A
Ensuring Support and Active Engagement in the CBCM
3
SECTION A. Ensuring Support and Active Engagement in the CBCM CHAPTER 1 HUMANITARIAN AGENCIES
Best Practice Humanitarian agencies participating in a PSEA CBCM must be committed to and actively engaged in creating and maintaining the CBCM for it to be effective and proactively fight sexual exploitation and abuse. A CBCM will falter without the regular investment of resources and efforts by its members.
Active engagement from the agencies participating “That is why we need to work in the CBCM is absolutely vital to the success of together. SEA is one agency’s issue, the mechanism. Initially agencies need to commit but every agency’s problem.” to participating in the conception, design, and Quote from Best Practices Workshop, implementation phases. Just as important however, Kigali 2015 is the continued active involvement by committing the necessary resources – particularly staff time – to partake in CBCM activities, an ongoing willingness to coordinate with other agencies, and taking steps to ensure that PSEA activities are carried out in their own organizations. A CBCM will not be sustainable without the continued hands-on support of the member agencies, because they are the entities in the best position to make real progress in the fight against SEA.
Essential to Know The buck stops here: Recent media reports on SEA are scandalous not only due to the SEA incidents that are occurring, but because of the lack of follow through afterwards. Survivors are shuffled through the humanitarian infrastructure withno single entity ensuring that the proper person is held responsible, nor that appropriate institutional changes are made to improve protection to beneficiaries and deterrence to future offenders. Agency buy-in to the CBCM is crucial because they are the only entity that has the authority to hold individuals responsible for SEA and end the culture of impunity, and agencies have committed to do this through multi-agency commitments.*
* Inter-Agency Standing Committee, “Statement on Protection from Sexual Exploitation and Abuse,” (11 December 2015) [hereinafter IASC Statement on PSEA (2015)], MOS-PSEA (2012), Statement of Commitment (2006).
Securing agency involvement The first step is getting humanitarian agencies to commit to participate in the CBCM. While many agencies have already committed to the creation of PSEA-CBCMs in general,1 they have not all explicitly committed to an inter-agency cooperative model. Humanitarian Coordinators, when advocating for an inter-agency CBCM under their newly integrated
1 MOS-PSEA (2012) #5 (“Effective community based complaints mechanisms”) and Statement of Commitment (2006) #4: “Ensure that complaint mechanisms for reporting sexual exploitation and abuse are accessible and that focal points for receiving complaints understand how to discharge their duties.” 4 CHAPTER 1 Humanitarian Agencies SECTION A. Ensuring Support and Active Engagement in the CBCM
PSEA responsibilities, should approach agencies on the benefits of collective action and how participating in joint CBCMs relates to many agencies’ broader commitments on PSEA.2
Information Important steps when approaching humanitarian agencies to ensure engagement with the CBCM: For what to expect in an • Encourage buy-in to the CBCM at the local level and inter-agency CBCM, see this discuss with local heads of office on what to expect from Guide’s Introduction. participation in the mechanism. • Encourage all targeted agencies to consult their headquarters about their institutional commitments on PSEA and to secure agreement to join the CBCM. Headquarters commitment for participation in a joint CBCM is vital on a practical level because investigation and disciplinary actions are usually carried out by agencies’ headquarters. • Inform the IASC Task Team on AAP/PSEA on the CBCM initiative so they can maintain a comprehensive understanding at the global-level of country-based activities. This step also allows for Task Team members to advocate within their own organizations to ensure their respective agency’s Headquarters cooperation in the CBCM. Engaging humanitarian staff at the headquarters level, through the Task Team, will help ensure that agencies’ PSEA commitments are communicated to and carried out at the field level.
Tip Engaging management: Senior Management of agency field offices are key points of contact, because they are the persons responsible for ensuring that CBCM Focal Points have guidance and support to fulfill their PSEA duties.*
* MOS-PSEA (2012) #6 (“Effective recruitment and performance management”) and Statement of Commitment (2006) #4.
Spotlight on the IASC AAP/PSEA task team
The Task Team was developed to assist the IASC in achieving its priority objectives related to Accountability to Affected Populations, including Protection from Sexual Exploitation and Abuse. The Task Team aims to create a system-wide “culture of accountability” through institutionalization of AAP, including PSEA. They are the inter-agency body at the global level tasked with monitoring local initiatives and maintain a comprehensive view of PSEA issues so as to promote system-level cohesion, coordination, and learning.*
* IASC Task Team on AAP/PSEA Terms of Reference, 21 January 2014. For more, see the Task Team page on the IASC website at https://interagencystandingcommittee.org/accountability-affected-populations-including-protection- sexual-exploitation-and-abuse.
Engaging non-members It is important for the CBCM to reach out to local agencies even if they choose not to participate in the CBCM. All humanitarian actors on site should ideally be encouraged to engage with the CBCM and create/strengthen their own PSEA policies. At a minimum, they should receive awareness-raising on PSEA and the CBCM’s role in referring complaints and providing victim
2 Collective commitments to prevent SEA include MOS-PSEA (2012) Pillar 1 to engage in Cooperative Arrangements, and Statement of Commitment (2006) #10: “Engage the support of communities and governments to prevent and respond to sexual exploitation and abuse by our personnel.” In particular, MOS-PSEA (2012) #5, Indicator 1 encourages agencies’ headquarters to urge their field offices to participate in CBCMs that are jointly developed and implemented by the aid community, and to provide guidance to the field in how to design such CBCMs. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 5
For more on referring assistance, even if they do not engage with the mechanism. The allegations to non-member CBCM should expect to receive complaints about actors employed agencies, see this Guide’s by entities outside the CBCM, and must have procedures in place Chapter on “Referring SEA sllegations for investigation for referring such allegations. It will benefit the CBCM to have a and follow-up”. professional working relationship with all humanitarian actors operating in the CBCM implementation site. Be Aware Engaging implementing partners: There are some challenges to engaging all agencies on site – including implementing partners – to become participating members of the CBCM. Increased participation does mean more actors on site with clear and explicit PSEA roles and responsibilities. However, where both the lead agency and implementing partner are CBCM members, the question of which agency has investigative and follow-up responsibilities following an allegation referral can become confused. Lead agencies have expressed concern that if their IP becomes an active member of a CBCM, they will lose the ability to oversee the PSEA obligations of their contract partners. The responsibility of an IP to inform its lead agency of a received SEA allegation is a contractual issue for parties to decide between themselves. It is not the role of a CBCM to enforce PSEA contractual clauses between an agency and its implementing partner or contractor. A good practice for SEA prevention is to encourage all agencies on site to participate in the CBCM while having clear contractual language between partner agencies on PSEA responsibilities if an incident is reported (see sample PSEA language in Partnership Contracts in Annex 4). Regardless of the challenges, the CBCM must process and refer all complaints it receives, and CBCM SOPs should clearly determine which agency shall receive allegations in the above scenario.
Member agencies are the driving force behind a CBCM. For this reason, agency representatives must take an active role in the setup and design of the CBCM, ensuring that cooperation and referral procedures complement their internal policies, agreeing on structures for inter-agency communication, etc. Agencies must be fully involved to ensure their buy-in to the CBCM in order to maximize effectiveness. PSEA is a key facet of Accountability to Affected Populations – responsibility for their staff’s behaviour is one of the most important accountability commitments of every organization. Commitment of human and monetary resources
One means by which an agency actively supports the CBCM is by nominating Focal Points to work with and support the CBCM on PSEA.
PSEA focal points International standards recommend that all humanitarian agencies dedicate an institutional PSEA Focal Person at Headquarters to have the overall responsibility for the development and implementation of the agency’s PSEA policy and activities, as well as to regularly report to his/her senior management on PSEA progress.3
CBCM focal points At the operations level, agencies should also nominate individuals to engage in PSEA activities in each humanitarian response operation, including inter-agency efforts such as PSEA networks
3 International instruments, such as the MOS-PSEA (2012), commit many agencies to selecting and supporting PSEA Focal Points. See the MOS-PSEA #3, Indicators 1-4. 6 CHAPTER 1 Humanitarian Agencies SECTION A. Ensuring Support and Active Engagement in the CBCM
and CBCMs. An active CBCM Focal Point in the field, with sufficient decision-making authority and who can represent his/her agency in the CBCM and For more on the roles and responsibilities SEA prevention activities, will contribute to the exchange of CBCM Focal Points, see this Guide’s of experiences and best practices during implementation, Chapter on “Setting up the CBCM monitoring and evaluation, and programme adjustment. infrastructure”.
Information While selection of CBCM Focal Points is an internal agency decision, the CBCM should advocate for staff with the following criteria: • Proven integrity, objectivity, and professional competence • Demonstrated sensitivity to cultural diversity and gender issues • Ability to maintain confidentiality (i.e. trained in data protection) • Fluency in relevant languages • Demonstrated experience working directly with local communities • Proven communication skills
Ideally, at least one male and one female Focal Point should be selected in each member agency. Agencies should also be encouraged to consider a “decentralized” structure by nominating a Focal Point in each sub-office to mainstream PSEA activities throughout agency programming.
To effectively participate in the CBCM, member agencies should ensure that adequate support from senior management is extended to their Focal Point(s) so that they may devote the necessary time to attend CBCM coordination meetings, trainings to understand his/her CBCM functions, awareness-raising events for the community, and other CBCM activities. Ideally, agencies should integrate CBCM functions into their operation plans so that PSEA is a planned responsibility, not additional. The CBCM should advocate that PSEA responsibilities are imbedded in the Focal Point’s job TORs. Consistent and strong participation by agency Focal Points is critical for maintaining CBCM activities, and ensures that information flows between the CBCM and its member For more on integrating PSEA and the CBCM, see the agencies. Where a Focal Point’s time is stretched too thin, section on mainstreaming s/he may de-prioritize working with the CBCM in daily activities, in this Guide’s Chapter on “Ensuring a sustainable becoming a passive observer at inter-agency meetings or, worse, mechanism”. not appearing at all.
Essential to Know Putting PSEA in TORs of key CBCM member agency representatives: CBCM stakeholders should recognize that CBCM activities will be in addition to the rest of an agency Focal Point’s job. Their TORs should make PSEA responsibilities and time commitments explicit within their entire job description so that they can participate in an effective and meaningful manner. Having PSEA activities explicit in Focal Points’ TORs avoids a potential conflict of interest for PSEA actors in managing their duties.
Tool Use Sample Terms of Reference as templates (see samples in Annex 4).
Financial resources Member agencies will also need to commit financial resources to the CBCM to keep it functioning. While a CBCM should reduce its operating costs by linking with existing complaints/feedback mechanisms and victim assistance programmes in each site, designing PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 7 and implementing a CBCM requires investment in, e.g. staff For more on linking with training, maintaining entry points for receiving complaints (e.g. a existing mechanisms, see hotline if appropriate), as well as providing facilities (e.g. meeting this Guide’s chapters on “Setting up the CBCM rooms, computer(s), etc.). Agencies are encouraged to integrate infrastructure” and “Ensur- PSEA into their operational planning and budgets so that PSEA ing quick and appropriate activities and focal points are not add-ons to a programme, but assistance for complainants and victims”. rather the work on PSEA is planned from the outset.
Tip In seeking to secure funds, CBCM stakeholders should See also this Guide’s remind agencies that establishing a complaint mechanism is a chapter on “Ensuring a mandatory step to ensure accountability as outlined in the UN sustainable mechanism” for Secretary-General’s Bulletin on SEA (2003). Allocating the necessary Donors’ role in linking PSEA resources for establishing and maintaining a complaint mechanism commitments to funding. is an investment in accountability and quality. From a cost-benefit perspective, a CBCM can be cost-effective as it constitutes an organized system for interacting with the affected population. The integration of indigenous methods of revealing information renders the system even more efficient, resulting in increased SEA allegations reaching the appropriate investigation units for follow-up and potential disciplinary and/or criminal sanctions against staff. Investing in an inter-agency CBCM is an important way of reducing potential future costs, both financial and reputational, incurred by an individual agency – as well as by the humanitarian community at large – after a staff member is found to have committed SEA.
Improvement of internal policies and procedures Agency engagement in a PSEA-CBCM is more than a commitment to join, but also requires internal institutional action. It is the responsibility of the CBCM to advocate for and educate stakeholders on PSEA best practices. Potential members should be informed of the practical implications of participating in a PSEA-CBCM, and be encouraged to devote the appropriate resources before agreeing to participate.
Information The CBCM should develop and/or disseminate information resources on PSEA, which will help colleagues to better understand the issue and stimulate informed involvement with the CBCM. This could include holding workshops for Clusters or general members of the humanitarian community on PSEA, accountability systems, and complaint mechanisms. Agency policies are public documents, and the CBCM can instigate its own information campaign at the sub-office level.
Internal policies that the CBCM should advocate be in place for all For more on the importance participating agencies include: of internal policies, see this Guide’s chapter on “Prevention activities and � Standards of conduct which include PSEA: Ideally an agency policies.” will have a stand-alone PSEA policy with a clear articulation of prohibited conduct, reporting procedures, and disciplinary actions for when employees violate the policy. Failing this, the agency’s Code of Conduct should explicitly reference the prohibition of SEA, and include a Workplan for implementing the Code.4 The Code should incorporate the Six Principles of PSEA laid out by the IASC.
4 MOS-PSEA (2012) #1: “Effective Policy Development and Implementation” Indicator 1: “A policy stating standards of conduct, including acts of SEA, exists and a work plan to implement the policy is in place.” 8 CHAPTER 1 Humanitarian Agencies SECTION A. Ensuring Support and Active Engagement in the CBCM
Example Tip Due to lobbying by staff in the Melkadida CBCM The CBCM in Ethiopia, four operational agencies modified their should inform targeted Codes of Conduct to include the Six PSEA principles. agencies that do not yet have a Code of Conduct that the CBCM is � Internal complaint mechanism: A participating agency available to provide should have an internal complaint mechanism in place, so that technical support to there is clear procedure develop Codes that For more on the necessity of internal when it receives an complaint mechanisms, see this Guide’s include PSEA, as well allegation referred by the chapter on “Referring SEA allegations as reinforce capacity to inter-agency mechanism. for investigation and follow-up”. monitor and implement them. � PSEA in performance reviews: Participation in Code of Conduct trainings (or similar) that include PSEA should be part of employee supervision and performance appraisals. Senior Management appraisals should include adherence to the commitment of creating and maintaining an environment which prevents SEA.5 Imbedding PSEA in employee evaluations serves to demonstrate that the organization takes the issue seriously, and may reveal potential SEA-risks before they become full violations.
� Whistleblower policy: Agency whistleblower policies should explicitly welcome good faith reports of SEA, offering both anonymous and non-anonymous whistleblowing channels. Agencies should make clear to their staff that no action will be taken against any worker who makes such an allegation in good faith.6
Example The evaluation of the IASC Pilot Project determined that whistleblower protection was weak in both pilot sites. Policies were either not in place, or not trusted by the staff. CBCM member agency representatives reported it is especially difficult for female staff to report. Because Whistleblower protection is directly linked to the accessibility and therefore the usefulness of a CBCM, stakeholders have a strong interest in advocating for increased implementation of such policies.
� Recruitment and vetting: Human resources departments of participating agencies should have a system in place to avoid the re-recruitment of past SEA-offenders.7 At a minimum, agencies should have an articulated process for checking return employees (i.e. employees who left the agency in the past and are seeking reemployment) against previous allegations and/or investigations relating to SEA.
� PSEA contractual clauses: Participating agencies should include a paragraph or clause on PSEA in their contracts with implementing partners and/or sub-contractors, and outline the legal consequences if the contracting agency violates the provision.8 Furthermore, agencies should take concerted steps to enforce these clauses.9
5 MOS-PSEA (2012) #6, Indicators 3 and 4. 6 Statement of Commitment (2006) #5: “Take appropriate action to the best of our abilities to protect persons from retaliation where allegations of sexual exploitation and abuse are reported involving our personnel.” 7 MOS-PSEA (2012) #6, Indicator 2: “Each organisation commits to improving its system of reference checking and vetting for former misconduct.” Statement of Commitment (2006) #3: “Prevent perpetrators of sexual exploitation and abuse from being (re-)hired or (re-) deployed.” IASC Statement on PSEA (2015) #3: “Strengthen investigation and protection responses to SEA allegations […] This also requires concerted efforts to operationalize the recommendations for preventing the re- recruitment of individuals disciplined for SEA”. 8 MOS-PSEA (2012) #2 Indicator 1: “SG’s Bulletin (ST/SGB/2003/13) or respective codes of conduct are included in general contract conditions.” 9 IASC Statement on PSEA (2015) #3: “[E]nforce PSEA contractual clauses with implementing partners.” PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 9
Example Prior to the PSEA CBCM in Ethiopia, none of the operational agencies had PSEA clauses in the contracts with their refugee incentive workers, which are considered "humanitarian workers" under the IASC definition. This left a protection gap in that abuses by incentive workers had no PSEA oversight or professional repercussions. The CBCM in Ethiopia targeted this issue by advocating with member agencies to include PSEA in all their contracts, and by explicitly including incentive workers in the CBCM’s Code of Conduct.
Communicating policies Participating CBCM agencies must have a system in place to disseminate their internal policies to all staff persons, including short-term staff and volunteers at the field level. The best-written PSEA policy is of little practical use if field staff do not know if and how it applies to them. Findings from the 2010 Review of Protection from SEA indicate that while progress has been made on establishing internal PSEA policies, this has not translated into managerial and staff understanding and acceptance of these policies.10 One component of agency engagement with a CBCM is to ensure that its institutional policies and procedures on PSEA are communicated to all field staff in an emergency response operation, are made with sufficient authority, and include technical guidance and clear direction on reporting obligations and methods.11
Example
The evaluation of the IASC Pilot found that field For more on the content teams compensated for lack of guidance from headquarters of staff trainings, see through collaboration and resource-sharing including training this Guide’s chapter on “Humanitarian staff: Training and outreach, data-sharing (where appropriate), and explicitly and capacity-building”. defining the roles and responsibilities of CBCM member agency representatives. Internally, agencies can better communicate their policies through ongoing staff trainings, and by ensuring that all new recruits, volunteers, and contractors read and sign the Code of Conduct before being offered a contract.*
* MOS-PSEA (2012) #6, Indicator 1.
Enforcing policies Engaged CBCM participation also means agency implementation and enforcement of internal policies. This includes taking swift and appropriate administrative sanctions, and developing and sharing best practices on enforcing Code of Conduct breaches. While for the vast majority of humanitarian agencies, enforcing the Code of Conduct and issuing administrative sanctions will take place at the Headquarters level, CBCM representatives should understand their role in streamlining SEA allegations and thus contributing to reaching these standards.
Be Aware The 2010 IASC Global Review of Protection from SEA found that implementation of internal policies has been patchy, poor, or non-existent. The CBCM should advocate among its member agencies at the field level, whose managers can in turn engage with their headquarters to fully implement their institutional commitments and policies on PSEA.
10 Inter-Agency Standing Committee, “Global Review of Protection from Sexual Exploitation and Abuse by UN, NGO, IOM and IFRC Personnel” (July 2010). 11 MOS-PSEA (2012) #1 Indicator 2: “The policy/standards of conduct have been conveyed to current staff and senior management (at HQ and field level) on repeated occasions (such as inductions and refresher trainings).” 10 CHAPTER 1 Humanitarian Agencies SECTION A. Ensuring Support and Active Engagement in the CBCM Coordinate with other agencies Active participation in a CBCM requires a commitment towork For more on sharing together with other participating agencies, particularly on information between information sharing, programme strategizing and adjustment, agencies, see this Guide’s chapter on “Referring SEA and cross-institutional trainings. For a CBCM to be most effective allegations for investigation in monitoring SEA trends and conducting targeted awareness and follow-up”. campaigns and prevention activities, agencies should be encouraged to provide feedback to the CBCM on the status and outcome of case investigations after an allegation has been referred. Inter-agency communication on specific cases is limited by internal data protection policies and confidentiality procedures, which safeguard due process and protect the safety of the survivor. However, sharing generalized information for the purposes of providing feedback to survivors and targeting SEA prevention activities should be encouraged,12 and is in-line with international commitments on information sharing.
Tool Existing agency PSEA commitments, including the Global Standard Operating Procedures on inter-agency cooperation in CBCMs, provide information-sharing protocols that the CBCM can reference when requesting agency feedback. PSEA Commitments and SOPs are found in Annexes 2 and 3.
Beyond formal communication procedures, an effective CBCM also includes a network of support and knowledge-sharing for Focal Points. Open communication between member agency staff can greatly benefit the sustainability of the mechanism by reducing the detrimental effects of staff turnover and limited resources. The knowledge lost when staff leave an operation site is one of the biggest hurdles in For solutions to the challenges of staff turnover, see this maintaining PSEA momentum, and fostering an informal network Guide’s chapter on “Ensuring amongst Focal Points to share processes and best practices on site a sustainable mechanism”. can bolster the effects of formal trainings and meetings.
Information A CBCM should foster a close and trusted working relationship between member agency representatives, so that inter-agency meetings are viewed as a safe space in which to discuss and coordinate on PSEA issues. Where agency representatives are invested in knowledge sharing, and have a firmly established trust in their CBCM colleagues, as well as a common goal, they are more likely to develop innovative ways to address challenges. On the informal side, Focal Points are also more likely to reach out to colleagues who have missed meetings or other PSEA activities, to ensure that they remain active in the CBCM.
Example At the 2015 CBCM Best Practices Workshop in Kigali, involving field representatives from both the Ethiopia and Democratic Republic of the Congo mechanisms, several participants noted that the workshop was the first time they had been able to fully communicate with their counterparts in other sites, even within the same agency. Many commented that after the workshop they no longer felt like they were “alone in the fight against SEA”. Cross-CBCM workshops and trainings may be a means of wider information sharing in the future, as inter-agency CBCMs become more common.
12 The level of feedback will be determined by, and must be in compliance with, the investigating agency’s internal data protection policy. ENGAGING HUMANITARIAN AGENCIES
Challenge Recommendation
X The CBCM has no authority over agencies, neither to join nor to force member agencies Advocate with participating agencies to fulfill their existing PSEA commitments, including participation in joint to actively engage (including share information, enforce PSEA contract clauses, or mechanisms. The CBCM can cite the specific commitments noted in this Chapter. actually investigate and – if substantiated – discipline their employees for SEA).
X Ineffective dissemination of PSEA policies and commitments by member agencies’ CBCMs should educate their member agency representatives on international agency commitments to develop PSEA Headquarters to the field can leave country sub-offices without instruction and create policies, including the dissemination of guidance on those policies. Representatives should then advocate that their misunderstanding and misinterpretation on PSEA roles and responsibilities. headquarters develop technical guidance on their own policies, and share it with field offices. Agencies have already committed to - at a minimum - a “passive approach to SEA” (e.g. signing Codes of Conduct, including PSEA clauses in partnership contracts). It is time to advocate for an active approach that involves disseminating and enforcing existing commitments. The CBCM can cite the specific commitments noted in this Chapter.
X Heads of agencies have competing priorities and are often overwhelmed. Many will Advocate that agencies include PSEA as a strategic priority to ensure that PSEA responsibilities are prioritized and de-prioritize PSEA as it is not considered as “life-threatening” as other immediate internal funding is allocated to PSEA-related activities. concerns. This can lead to senior management not providing guidance or support to their CBCM Focal Points, nor monitor that they fulfill their PSEA duties, as instructed under international commitments.
X The CBCM must communicate with agencies at the field level, while the decision to In addition to advocating best practices with local agency offices, the CBCM should actively encourage field offices to participate in a CBCM – as well as the necessary decision-making on PSEA Policies, communicate with their Headquarters to support participation in the CBCM and ensure that their internal policies are in investigation procedures and resources, etc. – sits at the Headquarters level. The line with international commitments. The AAP-PSEA Task Team can also foster coordination at the global level. engagement and buy-in a CBCM gains with agencies at field level with not necessarily translate to Headquarters-level buy-in. The HCs’ new PSEA responsibilities include establishing complaint mechanisms and reporting regularly to the ERC on PSEA in humanitarian operations. Agency cooperation and buy-in challenges can be included in the HC updates, and conversely the HC reports will encourage Headquarters-level buy-in.
X Information sharing is limited by internal data protection and confidentiality Develop country-specific Standard Operating Procedures for the CBCM that explicitly include procedures for inter-agency procedures, as well as CBCM member agency representatives’ lack of clarity on their information sharing and Focal Point responsibilities. own institution’s procedures.
X Focal Points are rarely (if ever) PSEA-funded positions but rather staff focused on Hold regular trainings for agency CBCM Focal Points on their expected participation in the CBCM, and advocate with administration or programming in an emergency response operation. They often agencies to embed PSEA responsibilities in their Terms of Reference and Job Descriptions. perceive PSEA activities as supplementary to their regular job performance, and not a prioritized requirement, leading to a lack of motivation and/or an inability to fully engage because of other programme responsibilities.
X Even when CBCM Focal Points are motivated to prioritize CBCM activities, inter-agency The Focal Points, along with the CBCM Coordinator, should brainstorm innovative ways to ensure that Focal Points who meetings can receive poor attendance due to distance concerns or Focal Points going cannot physically attend meetings do not miss out on the opportunity for inter-agency communication. Ideas can include on R&R. status update memos circulated by the Coordinator, or teleconferencing where available.
X Staff turnover can be a major problem, as staff leave with the agency’s institutional Part of a PSEA Focal Point’s responsibility should be regular feedback to his/her agency on CBCM engagement, and to memory on PSEA. This gap results in agency difficulty to maintain uninterrupted reproduce PSEA trainings for agency staff. An enhanced internal agency understanding of the CBCM’s role and purpose continuation of PSEA and CBCM activities. will mitigate the impact of staff turnover and institutional memory loss.
X Translation of Codes of Conduct into local languages is not easy - it can be difficult to To ensure that Codes of Conduct have been translated in a manner that accurately conveys an agency’s PSEA policy, capture the true concept and meaning of SEA in a local language. agencies should always field test translated materials, and then ensure their consistent use. 12
SECTION A. Ensuring Support and Active Engagement in the CBCM CHAPTER 2 NATIONAL NGOS, CBOS, AND COMMUNITY STRUCTURES
Best Practice A CBCM should engage with national NGOs, CBOs, and community structures in the implementation and running of an inter-agency complaint mechanism. Achieving the support and buy-in of local organizations before beginning programme activities is essential to developing a culturally sensitive and sustainable CBCM, because they are the link between international organizations and members of the affected community.
National organizations and community leadership structures Tip are the bridge between affected communities and larger These groups organizations. Though they vary in size, mandate, and structure, will know if cultural CBOs often enjoy great trust within communities and can taboos exist in the provide the link that agencies, especially larger international local community that organizations, need to deliver aid or assistance. Given their limit open discussion close work with, or leadership positions within the community, of sexual activity. They they are ideally situated to help identify relevant entry points may be able to offer to the complaint mechanism, to incorporate traditional forums useful ideas for raising for dispute resolution, and to understand the social and cultural awareness in a manner that respects local dynamics that must be taken into account in designing an beliefs. appropriate and relevant mechanism.
Regional structures are also vital for passing on messages to the community.
Tip Local media services can participate in community sensitization of PSEA andbe instrumental in promoting attitude change through mass campaigns. Engaging the support of local media can help spread awareness and may reduce advertising costs. Having the engagement of local structures is vital here, so that the international community is not perceived as infiltrating local media.
Before designing the CBCM, members of the humanitarian community – specifically the PSEA network or task force if it exists – should carry out a mapping exercise within the community, involving local structures. The exercise can be informal – just talking to people – it does not have to be an expensive process. The outcome of the assessment should identify the local and/or regional support networks the CBCM can liaise with, and inform stakeholders which organizations will be helpful contacts. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 13
Failure to achieve high-level support and involvement from local structures has been an ongoing detriment of CBCM Tip projects in the past. CBOs, by virtue of having grown or When seeking emerged from affected communities themselves, often enjoy to engage identified more trust by the vulnerable members of those communities local structures, sending than do NGOs, INGOs, or UN agencies. A strong working a formal letter of relationship between local and humanitarian assistance invitation to participate organizations increases the sense of community ownership in the CBCM can be over a CBCM, which in turn facilitates sustainability. In a sign of respect and addition, their close involvement with the design and commitment to a operation of a CBCM will encourage these local structures working partnership. to continue PSEA momentum after larger humanitarian organizations leave the site.
Consulting community structures helps ensure that the CBCM is For more on selecting reporting channels, see this effective and relevant. For example, they are an excellent resource Guide’s chapter on “Safe to consult when choosing the different reporting channels to and accessible channels for set up in the CBCM. They will also have invaluable knowledge reporting SEA”. about local security matters, which can be a particular issue in volatile and rapidly changing humanitarian situations. Engagement with local leadership on the causes and effects of heightened security issues can ensure the continuation of planned activities through the development of day-to-day action plans. In the same vein, lack of buy- in from community structures can result in the CBCM not addressing the factors contributing to risk of SEA in a given community, and behavioural change is unlikely to result without such understanding.
Be Aware A note on local justice systems: While it is Information on mandatory absolutely necessary that community-based justice reporting laws and the role mechanisms be respected and involved in the CBCM, of national judicial systems is addressed this Guide’s stakeholders should be aware that in some cultures, chapter on “Referring SEA there may be a substantial difference between traditional allegations for investigation justice measures and the best interests of the survivor and follow-up”. under international standards. Some cultural practices may compound the hardship felt by an SEA survivor. For example, the CBCM Pilot Site in the Democratic Republic of the Congo found that some SEA case investigations were halted when the survivor’s family and the Subject of the Complaint negotiated a private livestock or monetary settlement or, if the survivor was pregnant, marriage to the alleged offender. While traditional dispute resolution mechanisms should always be respected, stakeholders need to be aware of these potential cultural practices and educate as appropriate for the best interests of the survivor. 14 CHAPTER 2 National NGOs, CBOs, and Community Structures SECTION A. Ensuring Support and Active Engagement in the CBCM
Essential to Know A note on responsibilities: Respecting traditional justice systems does not negate the CBCM’s responsibility to refer all SEA complaints it receives to the concerned agency for follow up. The agency then has the obligation to investigate all viable complaints,* which it must do as long as it has enough information to proceed, even if a parallel local process is taking place.** Whether the complainant has reported – or subsequently reports – his/her complaint to the local system does not affect these procedures (although the complainant’s refusal to participate may make agency investigation practically more difficult).
* Statement of Commitment (2006) #6: “Investigate allegations of sexual exploitation and abuse in a timely and professional manner” and MOS-PSEA (2012) #8, reinforced by the IASC Statement on PSEA (2015). ** The issue of duplicative process is irrelevant here, because the traditional process is designed to bring interpersonal justice (i.e. between the offender and the survivor, his/her family, community, etc.), while any disciplinary action by the agency will be for violating the contract between the offender and the agency (i.e. the agency’s Code of Conduct).
Two-way communication Because local infrastructures are one of the CBCM’s connections to the community, they should be kept regularly updated on the policies, procedures, and implementation strategies of the CBCM. Their understanding of the goals and intents of the CBCM will therefore be conveyed to the community to demystify PSEA and inter-agency cooperation in CBCMs. National NGOs, CBOs, and leadership structures should be fully informed on the Codes of Conduct and PSEA policies of the CBCM member agencies, and where appropriate they should nominate community Focal Points to engage with the CBCM and receive staff trainings along with the rest of the CBCM agency representatives. All CBCM Focal Points and engaged community members should be familiar with good conduct and behaviour through regular capacity-building sessions.
Tools
• PSEA toolkits and CBCM training materials can be shared with local organizations/community structures to engage their participation in and understanding of the CBCM. • Clear PSEA messaging on flyers, posters, etc., in languages that communities easily understand will help engage community structures in the CBCM. • Member agencies’ clear internal PSEA policies and commitments are valuable tools to share with local structures to communicate an agency’s commitment to the fight against SEA. Confused and vague policies will hamper local understanding of the CBCM’s mission and discourage engagement.
Just as the local structures should be trained on the CBCM and PSEA issues, community members should receive awareness-raising on the national NGOs and local CBOs that are engaged in the mechanism. Informing the affected population on the vision, mission, and mandate of the local partners will make the mechanism more accessible to the community, while re-engaging the local bodies through their direct involvement in the mechanism’s activities. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 15 Recommendation Even if NGOs/CBOs avoid participation in the initial implementation of the in the initial implementation participation if NGOs/CBOs avoid Even ensure to be diligent must CBCM leadership engaged, Once NGOs/CBOs are the CBCM between and open dialogue should be encouraged A respectful voices should women’s structures, community the traditional While respecting with the CBCM should involvement structures’ local confidentiality, ensure To CBCM, continue outreach efforts as local organizations will be encouraged to encouraged will be organizations as local efforts outreach CBCM, continue to effectiveness and commitment its when the CBCM demonstrates participate on behalf of the community. work more require may Smaller organizations mobilized. are all stakeholders that engaged. remain their members ensure to contact regular be discussed and prioritized, issues can SEA so that leaders and community devise in the discussion to leaders community Involve than suppressed. rather strategies. awareness-raising appropriate community where dialogues. In circumstances in community be encouraged the CBCM should seek out input of women, engagement lacks leadership in designing and running the CBCM. of women and engagement should members Local other partnership. any like just process be a contractual of sharing on the dangers and be instructed agreements sign confidentiality would. member staff as a humanitarian just information, complaint sensitive
ENGAGING NATIONAL NGOS, CBOS, AND COMMUNITY STRUCTURES COMMUNITY AND CBOS, NGOS, NATIONAL ENGAGING Challenge Community structures and smaller local organizations may choose may organizations and smaller local Community structures many populations, attitudes of and influences Under the cultural not raised are voices women’s that concern is a prevailing There lack well- that structures leadership CBOs and community not to integrate with the CBCM for a variety of reasons, chief of chief of reasons, a variety with the CBCM for integrate not to of NGOs/CBOs. Smaller organizations which is the under-funding to spare. resources the staff have they not feel may topic. In taboo discussion a considered often issues are SEA the ban on be perpetuating may leaders community cases, many abuse issues. discussion of sexual women do particularly when structures, community in traditional in a lack of result This can decision-making role. a formal not have and issues. rights about women’s advocacy policies may protection Codes of Conduct and data formulated information. complaint breaches of sensitive confidentiality lead to complainants, of survivors/ the safety jeopardize can Such breaches in potential or retaliation of repercussions fear creates of the CBCM. and undermines the integrity complainants,
X X X X 16
SECTION A. Ensuring Support and Active Engagement in the CBCM CHAPTER 3 HOST GOVERNMENTS
Best Practice Government consultation, support, and approval are basic necessities for the implementation and maintenance of an effective and sustainable CBCM.
Engaging local governmental structures early on is absolutely necessary for the success and sustainability of the CBCM. The CBCM will have to work with the government throughout the life of the mechanism, whether it be the need for permission to operate a CBCM, the receipt of security clearances or further official declarations so that humanitarian staff may travel, or when the CBCM receives an SEA allegation against government staff. As sovereign, the government is entirely autonomous and the CBCM has no authority to dictate its behaviour. Therefore, the government’s participation in the CBCM is wholly dependent on their buy-in into the mechanism and the good-will generated by CBCM stakeholders.
Essential to Know Never operate or implement a CBCM without government approval.
During the design of the CBCM, stakeholders should consult the appropriate government officials on logistical issues (e.g. location of the mechanism), as well as work to ensure the relevant officials’ thorough understanding of the purpose and scope of the CBCM as well as the roles and responsibilities of CBCM member agencies.13 The host government may have its own PSEA policy, which the CBCM will need to consider and work with as it would any stakeholder policy. CBCM stakeholders should be fully transparent about what the expected role of the government will be in the implementation and running of the CBCM. Officials may be naturally reluctant to embrace a mechanism that will put their own staff under potential liability, so the key to establishing a good working relationship is to be candid and frank about what they can expect from having the CBCM in their territory. One of the worst scenarios a CBCM can find itself in is to receive continued resistance from the government. Open discourse with and support from state actors can minimize this pushback.
Be Aware Governmental resistance can result in any scenario from daily reticence to provide information, to full dissolution of the CBCM. The CBCM and its member agencies should be clear and forthcoming with state actors about the goals and scope of the CBCM. Clarify and specify the expected roles and responsibilities of the government from the inception of the CBCM, and do not make promises that cannot be kept.
13 “Appropriate government officials” will vary based on the local context and may include members of the office coordinating refugees, IDPs, and migrants; military and/or law enforcement figures; or any other state actors whose roles and responsibilities intersect with beneficiaries of humanitarian assistance. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 17
Resistance from host governments may include concern over why PSEA efforts are necessary in their territory and apprehension Tools over how the CBCM will address potential cases involving their own staff. Clarification of the roles and responsibilities • Studies and statistics of the CBCM Focal Points can also lessen concerns, especially on the prevalence as CBCMs will be able to clarify that they do not take on an of SEA in the local investigative function absent explicit request by the entity area, as a basis of discussion. employing the alleged offender. Discussion of these parameters • Fully formed CBCM with government officials can help convey the benefits of an Operating Procedures, inter-agency CBCM to prevent and mitigate SEA and enhance to familiarize the accountability of humanitarian agencies, while relieving some of government with the the government’s concerns. expected processes of the CBCM. In addition to early engagement, the CBCM should offer regular training and awareness-raising to state actors to foster ownership and increase understanding of the mechanism. Establishing Tool government buy-in is crucial for both the everyday smooth running and long-term sustainability of the mechanism. As the PSEA training materials CBCM continues, government support can mean the difference made applicable to between programmes being halted or continuing during volatile state actors. security contexts (e.g. elections, protests, etc.).
Example In the Melkadida CBCM under the IASC Pilot Project, the host government demonstrated support and buy-in to the mechanism by sending a representative to a Best Practices and Lessons Learned workshop for local and international participants. The representative engaged in the process by sharing the perspective ofthe government, and took the substance of the workshop discussions back to the host government.
Two-way communication A large part of consulting with the government is to understand relevant reporting requirements, their procedures for meetings and communications, and estimate their intended level of involvement with the CBCM. Initial consultations may indicate that the government will wish to – for example – have final approval of all Workplans and to receive status updates on a regular basis. The CBCM should keep these requirements in mind when designing CBCM procedures, bearing in mind that such approval and updates can take significant time and effort.
Example The host government of one CBCM insisted on being present for the opening of complaint boxes and for all high-level stakeholder meetings. Both these circumstances led to delays in complaint processing and missing deadlines set out in the CBCM protocols, as government officials frequently postponed PSEA events when they conflicted with other obligations. In such a case, the CBCM should reach out and educate the government on the importance of efficient and timely complaint processing, and attempt to build a working relationship in which compromise can be reached. 18 CHAPTER 4 Affected Communities SECTION A. Ensuring Support and Active Engagement in the CBCM Recommendation To receive support to implement the CBCM, provide the government with evidence- the government the CBCM, provide implement support to receive To liaison, who acts as government for a a position in the CBCM creating by buy-in Encourage to encourage of the CBCM operation in design and throughout the government Involve While the Secretary- commitments. PSEA its own make to the government Encourage new to all trainings PSEA by offering turnover staff the impact of government Minimize at a – that to ensure actors governing all local to engage The CBCM should attempt based information about why the PSEA programme is needed and the least-invasive is needed and the least-invasive programme the PSEA about why based information disciplinary Clarify action is an internal that the community. to of accountability method carried out based upon the and is concerned organization to the process administrative on constraints of the political aware be Always policy(ies) on misconduct. organization’s negative about the potential concern government’s the local and recognize actors, state impact on their reputations. government. within the local Point Focal PSEA a designated actors. state with relationships and working buy-in to humanitarian Principles apply PSEA Six Core and IASC’s on SEA Bulletin General’s prohibit to commitments independent make can governments and not states, agencies in and engage workers, government by and IDPs refugees of abuse and exploitation sexual concerns). SEA local and standards PSEA trainings on staff activities (e.g. PSEA staff. to lack of understanding. of the CBCM due will not impede the efficiency minimum – they
ENGAGING HOST GOVERNMENTS HOST ENGAGING Challenge The CBCM may face government reluctance to to reluctance government face The CBCM may Their the government. A CBCM has no authority over and/ staff of government CBCM, turnover In a long-term endorsement/buy-in/participation Securing government participate because the CBCM is seen as infringing upon the CBCM is seen as infringing because participate national as causing perceived be may role, their sovereign is occurring, SEA that acknowledging by embarrassment to the necessity of CBCM. as is skepticism or there own. is their cooperate continually decision to established interrupt may of office changes or political relationships. working is no there be difficult or impossible where may state). in place (e.g. a failed government established
X X X X 19
SECTION A. Ensuring Support and Active Engagement in the CBCM CHAPTER 4 AFFECTED COMMUNITIES
Best Practice It is critical to establish and maintain community trust so that affected populations actively participate in and feel ownership over the CBCM. A strong means of securing trust is through early and ongoing consultations with the community on the design and maintenance of the CBCM.
“We are international NGOs or local NGOs from a slightly different area – we are not from the community and there may also be the perception of outside influence being thrust upon the camps. We are outsiders and yet we are asking people to share very sensitive information with us (information that is not only personally sensitive if the complainant is the victim, but also could have implications on their safety, their ability to receive aid, etc.). It is a challenge to build trust especially to the level needed to be able to discuss these issues.”
Quote from Best Practices Workshop, Kigali 2015
Consultations with the affected community are necessary to create a culturally sensitive and effective CBCM. Being a truly “community-based” complaint mechanism adds efficiency to the reporting mechanism by incorporating local solutions into the system. Community members are best-situated to inform CBCM stakeholders on how to best structure the mechanism so that it will be used by community members, taking into account local culture, beliefs, attitudes, and preferences. Meaningful community consultation offers a unique means to understand and build trust within communities, as well to gain critical understanding of the real effectiveness of the CBCM in monitoring and evaluation. Engaging the community in programme design, adjustment, and monitoring of the CBCM will help identify aspects of the CBCM that must be adjusted and sustainable solutions owned by the community.
Example In the Democratic Republic of the Congo CBCM, Save the Children conducted 84 community consultation sessions on the design of the CBCM alone. This was in addition to the KAP and assessment process, and consultations with NGO and humanitarian agencies. In the subsequent evaluation of the Project, beneficiary satisfaction with the CBCM rated high, with 79% of people surveyed reporting a greater feeling of safety from SEA than one year prior.
Beneficiary input is critical in identifying and/or developing: • The best complaint intake channels; • Location of physical reporting channels; • How to structure awareness-raising events (combining or separating men from women, time of day/week, etc.); • Language and/or literacy logistics; • Local perceptions of complaining generally and to “outsiders”; 20 CHAPTER 4 Affected Communities SECTION A. Ensuring Support and Active Engagement in the CBCM
• Local perceptions of speaking about sexual abuse matters generally, to another sex, or to “outsiders”; • Vulnerability factors common in the community.14
Consultations with the community are especially helpful in designing targeted responses and PSEA campaigns. For instance, if the site has a “culture of acceptance” over sexual abuse and exploitation, large-scale sensitization and/or behavioural change may be required.
Essential to Know Efforts in behaviour change among the community should always be carried out with the understanding that the primary cause of SEA lies with the individuals who commit it.
Ensuring trust – Meaningful consultations Ensuring community trust in the CBCM is absolutely vital to the effectiveness and sustainability of the mechanism. A lack of community acceptance or trust in the CBCM will result in the affected population choosing not to report through it. Lack of community ownership will lead to community members not taking on responsibilities for the mechanism, which will diminish the long-term sustainability of the CBCM, because the mechanism will dissolve when humanitarian agencies leave. Additionally, lack of community support can endanger CBCM member agency staff if their work is not accepted or welcomed by the community.
Essential to Know Warning: SEA is a provocative issue. The CBCM should be on the lookout for unintended consequences of beneficiary participation in the mechanism in societies where stigma and shame may further victimize SEA survivors. In such an environment, individuals may become targeted due to mere association with the “taboo” issue, and the participation of the community might endanger its members as opposed to empowering them. The CBCM must at all times be aware of the perception and role of SEA in the community where it is working, and make CBCM adjustments accordingly.
The 2012 Compendium of CBCM Practices indicated that there is still insufficient meaningful consultation with the affected Tool community in the establishment of CBCMs, especially in the Clear early stages of an initiative, and most notably in inter-agency Codes of Conduct in mechanisms. While many agencies and programmes engage in place that include consultations, they are insufficient to guide the design ofthe proper behaviour CBCM to the needs to the community using it and to engender when consulting with communities. the trust necessary for operating it. Engaging participation, not just speaking to community members when setting up complaint mechanisms, is of utmost importance to ensure their buy-in from the start of the project. Once the community experiences ownership of the project, they will more easily engage in designing a complaint mechanism with which they feel comfortable and trust. Their full participation will reveal any preferences and successful practices in the community that need to be linked in and built upon at the inter-agency level.
14 While community members will be informed on the prevalence of poverty, LGBTI issues, child-headed households, etc., an objective evaluation should be used to determine how these factors equate to SEA risk-factors in the given area. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 21
Example Pilot success story: In the PSEA CBCM in the Democratic Republic of the Congo, four suggestion boxes were destroyed by unknown persons. The damage was reported to the CBCM by members of the community. After member agencies carried out consultations to determine the root of the problem and learn what reporting system the community would prefer, community members themselves took action and rapidly replaced or repaired the boxes. This level of investment in the CBCM shows a strong engagement in the complaints process, and indicates a transferring of oversight of this aspect of the mechanism to the community.
Ways to enhance community participation • For the general population, conduct semi-structured discussions with different groups of women, girls, boys, and men on what type of complaint mechanism works for them and use their input to inform the CBCM development.
• For groups with specific needs (single women, children that are heads of household, older persons, persons with disabilities, etc.), hold targeted focus groups to understand their attitudes around revealing sexual abuse and to identify the environments in which they feel most comfortable reporting it.
Tip For more on Community Two-way communication: Let the community know how Feedback tools, see this Guide’s chapter on “Safe their contributions informed the final complaint mechanism and and accessible channels for create opportunities for them to give the CBCM feedback on how reporting SEA”. the mechanism is working.
Focus group discussions
Focus groups are a great tool to reveal topics that are difficult Tool to discuss. Participants will become more comfortable and open up if these topics are addressed indirectly. For example, the Community Consultation guides, starting point for the conversation could be the ways in which such as The UNHCR an emergency situation has made people feel more vulnerable, Tool for Participatory their needs, and the ways in which they can feel protected. Once Assessment in an atmosphere of group trust is created, participants will find it Operations, can be easier to open up about individual and more delicate concerns like helpful in designing SEA. Discussion groups should be formed considering factors such community discussion as the sex and age of participants, based on the composition that groups. community consultations have identified will make participants feel most comfortable.
Tip To ensure that all segments of the population are engaged, communications must use a wide range of media (posters, radio, print, etc., depending on the context) and be available in appropriate local languages and/or through visual representations. 22 CHAPTER 4 Affected Communities SECTION A. Ensuring Support and Active Engagement in the CBCM
Targeting specific groups for buy-in Evaluations of CBCM efforts show a recurring lack of community consultations that target groups in the community most relevant to the issue or who hold positions that are key to implementing an effective and sustainable CBCM. For instance, consultation with groups working with vulnerable women and girls can enable implementing agencies to devise or build-on appropriate channels for reporting. Other groups, such as surrounding or hosting communities, can be involved in the design of the project, to minimize potential resistance or tension towards the project, or other obstacles jeopardizing the initiative entirely. Additionally, while consulting with the community leadership is critical to obtaining buy-in, it is by itself insufficient as they do not fully represent all perspectives of the affected communities. Expanding consultations into communities is particularly important in circumstances where leaders or community representatives may themselves be involved in exploitative practices.
Ensuring access by vulnerable groups
The CBCM must ensure that vulnerable persons actively participate in the design of and have full access to the inter-agency CBCM. Such persons have a special place in the CBCM, because they are especially at-risk of SEA: Marginalized persons are at once most likely to be victimized and traditionally face the most barriers in accessing information and the channels to report abuse. Therefore, consideration of their needs should be paramount when designing the CBCM, and they should play an active role throughout the life of the programme so that the mechanism works for them and they are engaged within it.
Identify vulnerable groups by: • Discussions with community leaders; • Community consultations; • Cross-checking with Cluster/agency vulnerability lists and/or mapping exercises, although it is important not to come to the community with pre-conceived notions of which groups are marginalized in order to avoid biased conversations.
Engage vulnerable groups by: • Organizing community consultations specifically targeting vulnerable persons; • Tailor PSEA awareness events toward the particular issues of vulnerable groups, both for the benefit of those persons and to raise awareness in the whole community. Discover through consultations if members of different groups would like to participate in group activities designed just for them, community-wide events, or a combination of both; • Solicit their involvement in designing and promoting CBCM activities; • Solicit information on their preferred reporting channels.
Cultural barriers faced when engaging vulnerable groups are the same encountered when engaging the whole community. However, be prepared that some – such as speaking openly about gender or sexual issues – may be more pronounced.
While community outreach is essential for buy-in before For more on consulting implementing the CBCM, it is also necessary to continue local structures, see that dialogue and to develop and grow trust throughout the this Guide’s chapter on “Engaging national NGOs, programme. A successful complaints mechanism will ensure the CBOs, and community full participation of the community by integrating formal and/ structures”. or informal community structures. CBCM stakeholders need to work with existing trusted structures as an entry point to the communities and then continue to work with, support, and strengthen them throughout the project in order to increase sustainability. If there are no suitable community structures, CBCM member agencies need to work with the community to establish an appropriate network to support PSEA efforts and SEA survivors. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 23
Effective management Encouraging maximum community participation must be balanced against the reality that consultation with the appropriate groups in the affected community can be constrained by project deadlines, funding constraints, and unanticipated local delays (such as changing community power dynamics). It is crucial that CBCM members design a consultation schedule and tactics which have clearly defined objectives, and are coordinated with partners across the CBCM so that processes are not duplicated. Lack of coordination and duplication of efforts can result in both NGO fatigue and losing community buy-in through bombardment with repetitive questioning.
Tools
• Beneficiary Satisfaction and Beneficiary Perception surveys can be used to assess whether the community believes that the mechanism is developed and implemented in an appropriate and relevant way. • The use of Knowledge, Attitude and Practices (“KAP”) surveys can be informative in understanding local processing of sensitive information. Such a survey should be included in any project to ensure that the programmes developed are appropriate for the community in question.
Two-way communication In addition to receiving input from the community on the design and maintenance of the CBCM, the CBCM should also be candid with the community about its scope, purpose, and limitations. Throughout the running of the mechanism, a CBCM should aim to maintain effective communication and transparency with the community, most especially with persons who have personally interacted with the complaint mechanism.
Managing expectations From the beginning, CBCM stakeholders must endeavour to manage community expectations on what the CBCM can and cannot do for them. Communities should have a clear and detailed understanding of the CBCM’s objectives, activities, and expected results. It is especially important to explain the full scope of CBCM activities as well as what is excluded (e.g. complaint investigation, and any other functions that are the responsibility of the concerned agency). This clarity will allow the CBCM and member agencies to better manage community expectations and reduce or eliminate potential misunderstandings, which could result in decreased trust if communities feel that the CBCM is not delivering what it promised.
Feedback to build trust One way to sustain community trust is through the proper maintenance of the complaint system itself. Every effort must be made to ensure that complaints, both SEA and non-SEA, are responded to in a timely manner so that complainants feel listened to and the trust in agencies’ accountability is maintained. 24 CHAPTER 4 Affected Communities SECTION A. Ensuring Support and Active Engagement in the CBCM
Be Aware The CBCM may face challenges in providing See the section “CBCM’s feedback to the community due to the dynamics between role after referral” in the CBCM and the agencies that investigate complaints. this Guide’s chapter on “Referring SEA allegations Once a complaint is referred to an agency for investigation, for investigation and the CBCM’s knowledge of details on the investigation, its follow-up”. outcome, and any disciplinary measures instituted isentirely at the discretion of the investigating agency. For more on feedback to survivors and managing A CBCM may not be able to provide feedback expectations, see this Guide’s chapter on to a complainant on the status or outcome of “Referring SEA allegations for investigation a case, simply because it does not have the and follow-up.” See also the Global SOPs on inter-agency cooperation in CBCMs on agency information to share. Lack of follow-up can commitment to share basic case data. lead survivors/complainants to feel as if their complaint has been forgotten, leaving a sense of dissatisfaction with the CBCM that can spread to the community at large. The CBCM must advocate with member agencies to share information on the status and outcome of the case where their internal policies allow, and in particular ensure that survivors/complainants understand the impact of agencies’ institutional policies on the level of feedback provided.
One means for the CBCM to have some control over feedback is to remain vigilant about reporting the information it does have back to the survivor/complainant. Acknowledging that the CBCM has received the complaint, sharing when it has referred the complaint to the concerned agency, and checking back with the complainant for follow up are all within the control of the CBCM, and should be done in a timely manner to indicate that the mechanism takes the complaint seriously. ENGAGING AFFECTED COMMUNITIES
Challenge Recommendation
X Cultural traditions may raise difficulties in initiating community consultations. For Always be aware of the cultural context during consultations. Discuss with example beneficiaries may be reluctant to discuss the sensitive topic of humanitarian implementing partners, other local actors in the camps, and community abuse with outsiders. In some situations women do not feel comfortable speaking up members themselves to identify the appropriate people to meet with, the in the presence of men. Children’s voices are often under-represented in community groups that should be engaged, and how to best approach the sensitive consultations despite children representing a high percentage of SEA survivors. issue.
X Community consultations can be burdensome for community members where agencies Design clear consultation objectives and coordinate responses with all fail to communicate with each other and repeat the same questions. This duplicative CBCM partners, so as not to duplicate efforts and waste community, process also wastes valuable agency time and money. agency and CBCM time.
X The CBCM has limited power to put pressure on agencies to effectively investigate To counter the lack of action and/or feedback from the concerned agency, SEA complaints, discipline the offender where appropriate, or provide feedback to the CBCM will need to manage expectations of survivor/complainants complainants on their case status. Where the beneficiaries see that their complaints are and have an effective feedback system of its own, whether through consistently not followed through or are left uncertain whether action has been taken, formal CBCM procedures, through community meetings, or some other they will lose faith in the system. means. The mechanism should share all relevant information possible with the survivor/complainant (e.g. available assistance services, when the allegation was referred to the investigating agency) – putting special emphasis on confidentiality and the safety of the survivor/complainants. A CBCM must ensure its own timely and effective review and referral of allegations, and inform the survivor/complainant after doing so.
The CBCM should inform the survivor/complainant that the level of feedback (if any) that will be provided to them on the start and outcome of an investigation is fully dependent upon the investigating agency’s internal policy. The CBCM should advocate with participating agencies to provide feedback to victims and share the investigation outcome and disciplinary action taken with the CBCM.
X For communities to trust in the CBCM, humanitarian staff behaviour should be beyond Staff trainings should emphasize the Code of Conduct and proper manners reproach, especially CBCM member agency representatives. It can be very difficult for engaging with community members. All CBCM representatives should to police the behaviour of humanitarian workers, especially in the more volatile and receive the message that they should be on exemplary behaviour both in complex environments and where host-country laws are not in line with international their professional and private lives, because their perceived behaviour by norms (e.g. legal age of marriage). the community directly feeds into the community’s trust in the CBCM.
SECTION B
Structuring and Establishing an Inter-Agency CBCM 28
SECTION B. Structuring and Establishing an Inter-Agency CBCM CHAPTER 1 SETTING UP THE CBCM INFRASTRUCTURE
Best Practice An inter-agency CBCM should be designed following essential principles and in accordance with the specific needs of the community. Designers must consider all the cultural issues, logistical constraints, and pre-existing complaint and victim assistance structures on site when structuring the CBCM. The Humanitarian Coordinator should be fully engaged in the design and establishment of a CBCM.
The goal of a CBCM is to allow individuals to report concerns in a safe, effective, and culturally appropriate manner. The CBCMs’ design must take into consideration the key characteristics of effective complaint mechanisms: safety, transparency, confidentiality, and accessibility. It must account for practical concerns such as the local culture, language, and literacy levels in order to strengthen its effectiveness, and must be developed to ensure access by targeted vulnerable groups. The design must be a joint effort, taking into account the perspectives of all the participating entities: HC and humanitarian country teams (HCTs), humanitarian agencies, local structures, government, and community members.
Essential to Know International commitment to institutionalize PSEA response systems inall emergencies: Through the IASC Statement on PSEA (2015) the IASC Principals reaffirmed their commitment to eradicate SEA and strengthen the humanitarian community’s fight against SEA and achieve a true system of accountability. They also affirmed the role of the Humanitarian Coordinators and Humanitarian Country Teams to implement this commitment in all humanitarian response operations.* Under this commitment, efforts should be made to establish a CBCM and SEA prevention strategies at the onset of an emergency.
* The IASC Statement on PSEA committed to three action points in order to fulfill PSEA commitments, including to “[R]einforce the responsibilities on PSEA for the Humanitarian Coordinator role, in order to ensure that PSEA has a clear place in the humanitarian architecture and IASC system-wide responsibility for developing PSEA strategies and action plans is institutionalized. […] this would include developing complaints mechanisms, ensuring that survivors have access to appropriate immediate and longer-term assistance, coordinating inter-agency allegation referrals…” IASC Statement on PSEA, 11 December 2015, action point II.
Principles Keeping in mind the purpose of the CBCM, stakeholders should construct a mechanism that incorporates key principles. The following are essential, critical elements for any effective complaint mechanism15:
15 From InterAction’s Step-by-Step Guide to Addressing Sexual Exploitation and Abuse (June 2010). PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 29
� Confidentiality: The CBCM restricts access to/sharing of information, and helps create an environment enabling survivors/complainants to submit allegations and receive appropriate assistance without stigmatization. � Accessibility: The CBCM is available to be used by as many people as possible in its operational area, has special access measures in place for vulnerable groups, and informs communities on how to report SEA and encourages complaints as necessary. � Safety: The CBCM considers potential dangers and risks to all parties, incorporates ways to prevent injury and harm, offers physical protection and addresses potential retaliation to survivors/complainants, and offers a safe space for reporting. � Transparency: Members of the affected community know the CBCM exists, may offer input into its development, and know how to access it.
Practical questions Responses to these questions will affect the design of the CBCM: • If in a camp, is the setting closed or open? • How many beneficiaries are present? • How many aid agencies are operating? How many aid workers (including volunteers and contractors)? • What complaints and feedback mechanisms already exist? • What victim assistance pathways and services already exist? • Are there agencies working in the area that have not committed to working on PSEA and with the CBCM?
The name of the mechanism can have a strong effect on how it is perceived. While a primary purpose of the CBCM is to receive and refer complaints against humanitarian staff, highlighting this role may not be the most effective way to approach actors at the site. When faced with resistance from humanitarian agency staff or leadership, governments, etc., during preliminary consultations, the CBCM should emphasize the CBCM’s role in securing victim access to assistance, and consider not using the name “complaint mechanism” and instead introduce it as a “feedback and referral mechanism”. Link to existing mechanisms Design of a PSEA-CBCM should be coordinated with pre-existing complaints and feedback structures on site so as to 1) not duplicate efforts, and 2) meet the needs of the community. To avoid creating parallel processes, CBCM designers in a particular setting are advised to map the existing complaint mechanisms from individual agencies, including local and international NGOs, to ensure that the design of the CBCM will naturally align with those mechanisms, and thus facilitate the receipt and referral of complaints. Feeding into existing systems also fosters ownership of the CBCM with local organizations and the host government, which in turn benefits sustainability.
Information A CBCM needs to take community reporting preferences into account. Special note should be taken of any pre-existing indigenous complaint systems, whether formal or informal. These systems should be carefully assessed, built upon, and linked to the CBCM to avoid making it an “outsider-owned” system. For example, research in Kenya suggests that communities used various processes to complain – including local government channels and traditional methods of dispute resolution – and did not always go first to NGO-run complaint mechanisms. 30 CHAPTER 1 Setting up the CBCM Infrastructure SECTION B. Structuring and Establishing an Inter-Agency CBCM
Inter-agency benefits One of the greatest advantages of an inter-agency CBCM is that it facilitates access for affected populations to file complaints, because it relieves the need for survivors to determine which agency their perpetrator works for and then identify the appropriate complaint mechanisms through which to submit allegations. The integrated referral system also minimizes the potential hardship on complainants, e.g. travel costs, language barriers, potential stigmatization, and confusion on reporting procedures and mechanisms. By coordinating efforts, the inter-agency CBCM can provide a “one-stop-shop” for complainants that will encourage reporting and maximize beneficiary comfort and safety with the process.
Linking to GBV partners Design of a CMCB should also be coordinated with existing efforts to address and mitigate gender-based violence (GBV). “PSEA is an important aspect of preventing GBV and PSEA efforts should therefore link to GBV expertise and programming – especially to ensure survivors’ rights and other guiding principles are respected.”16 Because SEA is a form of GBV, CBCM stakeholders should promote a common Tool understanding of the different responsibilities within the PSEA The IASC in-country network and the GBV coordination mechanism, and GBV Guidelines the willingness to work cooperatively. It is important that the (2015) discuss factors GBV sub-cluster Coordinator knows and promotes the key PSEA that distinguish SEA principles and standards of conduct. The CBCM is responsible for from other forms of ensuring that GBV sub-cluster Coordinators are apprised of local GBV, which can be reporting procedures and processes for SEA allegations in order helpful when training GBV actors on SEA. to facilitate case referrals.
Essential to Know
Perhaps most importantly, PSEA in-country networks For more on mapping should work with GBV coordination mechanisms to ensure that assistance providers, see SEA survivors have access to services. PSEA networks have a this Guide’s chapter on “Ensuring quick and responsibility to ensure that victim assistance mechanisms are appropriate assistance for in place for survivors, which should ideally build upon existing complainants and victims”. GBV services and referral pathways in order to harmonize service provision and avoid creating parallel SEA-specific service structures. A preliminary mapping exercise should be carried out to determine the existing assistance infrastructure, including medical and psychosocial services. GBV actors working with the PSEA-CBCM and/or with SEA survivors should receive training on the distinction between GBV and SEA, as the particular needs of SEA survivors may require different treatment.
The organizational structure While each inter-agency CBCM will vary in organizational structure, based on consultations with the community and available resources, the following roles are key for efficient CBCM functioning:
Tool See the Global Standard Operating Procedures on inter-agency cooperation in CBCMs in Annex 3, defining the roles, responsibilities, and limits of actors, as well as the process to manage complaints and the inter-agency relationships that have been agreed upon between agencies at the Headquarters level.
16 IASC GBV Guidelines (2015). PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 31
Humanitarian coordinator The IASC Statement on PSEA (2015) reaffirmed the role of the Humanitarian Coordinators and Humanitarian Country Teams to implement PSEA commitments in all humanitarian response operations. It also reinforced the responsibilities of the Humanitarian Coordinators, coherent with existing responsibilities as Resident Coordinator,17 on PSEA including: developing complaint mechanisms, ensuring that survivors have access to appropriate immediate and longer-term assistance, coordinating inter-agency allegation referrals. As such, it is critical that efforts to establish a CBCM should be carried out in close coordination with the acting HC.
Steering committee This body is comprised of the high-level management (i.e. head of office or sub-office) of participating agencies at the country or sub-office level to guide and support thedesign, implementation and monitoring of the CBCM activities. Steering Committee members facilitate the identification or nomination of Focal Points from their respective agencies, actively participate in coordination meetings, take PSEA-related decisions on behalf of their agencies, implement accountability and quality standards, and work collectively to develop prevention strategies and mobilize resources to support the CBCM. As the senior-most body overseeing the CBCM, the TORs of these members should spell out regular inter-agency meeting times to report on progress, identify gaps in the CBCM programming, andfind solutions (see sample TORs in Annex 4). The Steering Committee must be established before the CBCM becomes operational to ensure that there is oversight and ownership by senior management at the field level.
Steering committee members have the responsibility:
� To ensure that all staff within his/her agency read, understand, acknowledge, and adhere to his/her agency’s internal SEA complaint handling procedures, including the institutional Code of Conduct, internal reporting mechanism, victim assistance and support policy and procedures, and complaint management for staff. Staff involved in prevention of and response to SEA should in particular understand and sign a Code of Conduct (or similar)18 that adheres to international standards on PSEA. � To raise SEA awareness among staff through induction trainings for new personnel and refresher trainings for current staff on PSEA, the Code of Conduct, the importance of complying with SEA policies, and procedures to report incidents. � To support CBCM Focal Points and ensure they have direct access to the head of office (sub-office and country office) and agency headquarters to execute their functions:
• Ensure that both human resources and programmatic sides are engaged in PSEA; • Ensure that the designated focal points are actively engaged in the inter-agency PSEA CBCM, and allotted the staff time to regularly participate in theCBCM meetings; • Incorporate PSEA responsibilities into their performance evaluation reports.
17 The UN Resident Coordinator is responsible for ensuring that a network of focal points exists to implement the provisions in the Secretary-General’s Bulletin on SEA (2003), and for supporting the development and implementation of a country-level action plan to address PSEA issues. The RC, in consultation with relevant actors, also designates a lead person(s)/entity(ies) in-country to establish and coordinate SEA and victim assistance responses. (UNDP, UN Resident Coordinator Generic Job Description, 29 January 2009). 18 Staff should sign their respective agencies’ Code of Conduct, or a Common Code of Conduct if developed by the CBCM. See this Guide’s “Special Note on Common Codes of Conduct.” 32 CHAPTER 1 Setting up the CBCM Infrastructure SECTION B. Structuring and Establishing an Inter-Agency CBCM
� To promote agency adherence to SEA prevention procedures, including but not limited to:
• Due diligence to prevent re-recruitment of offenders; For more on SEA • Ensuring that victim assistance services are provided; prevention, see this Guide’s chapter on “Prevention • Forestalling retaliation for whistleblowing on SEA activities and policies”. allegations; and • Requiring adherence to PSEA clauses in cooperative agreements.
� To raise the PSEA awareness and capacity of implementing partners (IPs) from the moment they are selected, including but not limited to: • Ensure that IPs have a clear understanding of what SEA means and what their duties and responsibilities are in preventing and reporting cases;19 • Encourage IPs to engage with the CBCM and create/ For more on PSEA trainings for Implementing Partners, 20 strengthen their own PSEA policies; and see this Guide’s chapter • Include IPs in PSEA trainings, as much as possible, to on “Humanitarian staff: Training and capacity- ensure adherence and commitment to PSEA. building”.
Example The Evaluation of the IASC Pilot Project found that the Steering Committee members also provided an accountability function. In the absence of a protocol that requires agencies to provide feedback on case investigation to the CBCM, the Steering Committees in both Pilot sites used their peer-to-peer influence to encourage their fellow agencies to follow-up investigations with appropriate information sharing. Field staff also reported that there is a certain social pressure to interact with affected populations using the highest professionalism when the head of one’s agency is a PSEA Steering Committee member.
CBCM focal points For more on desired criteria These are field agents appointed from within CBCM member for CBCM Focal Points, see agencies whose role it is to collect and record complaints. this Guide’s chapter on “Engaging humanitarian They are also responsible, when proactively approached by agencies”. complainants, for receiving in-person complaints and recording the information using a standard Incident Report Form (see the sample Incident Report Form in Annex 4). They provide support in conducting community consultations, awareness campaigns, training, and complaint monitoring. Technical-level CBCM member agency Focal Points must be trained, committed, regularly participate in meetings, and respect the confidentiality of SEA allegations.
Example Regular meeting times for agency Focal Points should be determined early in the design of the CBCM, and maintaining the schedule should be included in the Focal Points’ TORs. The Evaluation of the IASC Pilot Project found that only roughly half of all designated Focal Points would come to most meetings in one site due to holidays, R&R/leave, travel constraints, and competing programme obligations. Such irregular attendance directly impacts the efficiency of the individual Focal Points, and through them their agencies and the CBCM itself.
19 PSEA duties and responsibilities for IPs can be made explicit and binding by including a PSEA clause in partnership agreements. Sample PSEA Contract Clauses are provided in Annex 4. See also the IASC Statement on PSEA (2015), which calls for stronger enforcement of such clauses, and the “Section PSEA Clauses in Contracts” in this Guide’s Chapter on “Prevention Activities and Policies.” 20 Whether or not implementing partners become members of the CBCM, all complaints received by the CBCM must be processed and referred. For more on referring SEA allegations to non-participating entities, see this Guide’s Chapter on “Referring SEA Allegations for Investigation and Follow-up.” PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 33
PSEA/CBCM Coordinator – Complaint review role One of the functions of the PSEA/CBCM Coordinator is to For more on the many review the complaints received through the CBCM for referral functions of the PSEA/ to the concerned agency and victim assistance. Independent CBCM Coordinator, see review and referral of complaints is one of the most important this Guide’s chapter on “Ensuring a sustainable functions of the CBCM: As the bridge between the community mechanism”. and the agency responsible for follow-up (i.e. employing an alleged SEA perpetrator), the CBCM must assess the nature of each complaint and refer each complaint under objective standards to remain accountable to both parties. Having complaints reviewed by an independent individual reinforces the all-important perception of neutrality and objectivity of the complaint mechanism. It also enables complaints to be evaluated by a single set of standards as opposed to agencies applying discrete criteria to the receipt of a complaint. Finally, limiting review to one person reduces the risk of leaking sensitive information and encourages timely complaint processing.
Information As described fully in the Chapter on Referring SEA Allegations, the Coordinator determines whether the complaint alleges SEA, makes the appropriate referral (if SEA) or transfer (if non-SEA), and records the complaint for monitoring. Neither the PSEA/ CBCM Coordinator nor the CBCM Focal Points investigate complaints.
The Coordinator’s TORs must clearly outline his/her complaint assessment role for the sake of transparency to all parties (complainants, participating agencies, Tip etc.). The Coordinator will also follow up Given that PSEA responsibilities, on referred cases and facilitate feedback including developing complaint mechanisms and to the survivor/complainant, so the referring SEA allegations, has recently been procedures by which the Coordinator reinforced for the Humanitarian Coordinator will communicate with the investigating role, the PSEA/CBCM Coordinator should keep the agencies must be clear and explicit in HC fully informed of the activities carried out in the CBCM SOPs. allegation referral.
Example The PSEA CBCM in Ethiopia chose to use a “Clearinghouse” structure to review complaints, a body made up of each of the participating agencies’ CBCM Focal Points. Regular Clearinghouse meetings were used as a means for agency representatives to meet and discuss SEA trends and issues in the community, and strategize PSEA activities. To review complaints, 2-3 members would be selected on a rotating basis to limit exposure to sensitive information. The Clearinghouse served as both a means of independent complaint review, and a venue for (non-sensitive) information sharing between agencies. Since the finalization of the Pilot Project, agencies’ legal departments have indicated that their internal policies will not support a multi-agency complaint review structure. Rather, the CBCM Coordinator will perform the complaint review and allegation referral, in order to limit the knowledge of case details to one individual.(see the sample Complaint Handling Flowchart in Annex 4). 34 CHAPTER 1 Setting up the CBCM Infrastructure SECTION B. Structuring and Establishing an Inter-Agency CBCM
Peer-review element of CBCM review Independent complaint review through the inter-agency CBCM acts as an agency accountability tool. The PSEA/CBCM Coordinator is in position to follow up on the complaint with the agency that employs the Subject of the Complaint, encouraging action if none is being taken to stop the exploitation or the abuse which is occurring. While the ability to follow-up with the concerned agency will be based upon the agency’s cooperation and case handling/data protection procedures, the existence of the independent reviewing structure can act as a symbolic oversight. Standard operating procedures Specific protocols, procedures, roles and responsibilities, and methods of communication and coordination between participating agencies in each CBCM must be clearly outlined in Standard Operating Procedures (SOPs), and be endorsed by the CBCM’s Steering Committee in the early stages of its design. Having an explicit document that clearly outlines the workings of the CBCM increases the safety and efficiency of the mechanism, as well as encourages transparency and accountability to all actors involved. SOPs must complement the internal policies of all participating agencies, should incorporate information from community consultations, and take into account the safety and security issues particular to the response site. The SOPs should be based on the Global SOP template and tailored to the local context to reflect, e.g. the affected population, the assistance infrastructure, and the member agencies operating in that humanitarian setting.
Essential to Know Global SOPs: Global Standard Operating Procedures on inter-agency cooperation in CBCMs (found in Annex 3) have been developed and endorsed by the IASC in order to clarify how agencies can cooperate in joint complaint mechanisms while adhering to their internal policies. These procedures, agreed-upon by the international humanitarian response For background on the Global SOP initiative, see agencies, should facilitate the development of country- this Guide’s Introduction. specific SOPs.
CBCM SOPs: The following must be included in each CBCM’s SOPs: • Roles and Responsibilities of the CBCM representatives (Steering Committee members, Focal Points, etc.) and meeting schedules. • Protocols for complaint review and referral of all SEA allegations received (including those that involve an implementing partner, a non-CBCM member agency, and anonymous complaints) as well as non-SEA complaints received. • Contact information for the units within each participating agency that receive and investigate SEA allegations. • Procedures for assessing complaints and referring SEA survivors to victim services on site, including identifying the actor(s) responsible for conducting the needs assessment and relevant on-site service providers. • Timeframes the CBCM will work under, e.g. deadlines for communicating feedback to the complainant/survivor and for referring allegations to the concerned agency. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 35 provide a template for for a template provide Recommendation Procedures written to govern the CBCM should be explicit about roles and explicit about the CBCM should be govern to written Procedures role and to clarify the CBCM’s GBV, from SEA distinguishes that trainings Institute attendance devise e.g. meeting low to address solutions as a group Develop in CBCMs cooperation The Global SOPs on inter-agency responsibilities of the CBCM actors, and very clearly define the day-to-day processes day-to-day the very clearly define and of the CBCM actors, responsibilities part in designing the active take agencies should of the mechanism. All participating of the mechanism. the same understanding share all stakeholders CBCM so that feedback mechanisms. This and complaints existing it from and distinguish scope, confusion. without together work to for mechanisms is necessary distinction an establish meeting, for making decisions outside a physical methods alternative making decisions and/or out meetings carrying for quorum requirement agreed-upon status regular provide and required), agencies five from representatives instance, (for oversight. for Committee Steering the high-level memos to update joint complaint mechanisms that is aligned with agencies’ SEA reporting and data and data reporting SEA is aligned with agencies’ mechanisms that complaint joint developing and when staff by field should be used policies. The procedures protection context, to the local catered be must CBCM. CBCM SOPs a country-specific maintaining on site. service providers existing given vary may pathways referral example for
SETTING UP THE CBCM INFRASTRUCTURE CBCM THE UP SETTING Challenge While there is substantial literature and guidance on literature is substantial While there consists While SEA and GBV: SEA between Confusion meetings point focal in CBCM participation Inconsistent cooperate can they how often unclear are staff field Agency developing community-based complaint mechanisms, there mechanisms, there complaint community-based developing for coordination on inter-agency practices is a lack of best CBCMs. Without such joint and maintaining establishing in handling SEA agencies amongst guidance, cooperation has been piecemeal. complaints by of beneficiaries abuse and exploitation of sexual and gender on sexual focuses GBV workers, humanitarian by all (including beneficiaries based violence against create may concepts These themselves). beneficiaries as they design and role-delegation, in programme confusion closely linked. are Points Focal of the individual impacts the efficiency directly and the CBCM as a whole. their mechanisms while adhering to complaint in joint case handling. reporting and SEA policies on institutional
X X X X 36
SECTION B. Structuring and Establishing an Inter-Agency CBCM CHAPTER 2 SCOPE OF THE CBCM: SEA-SPECIFIC OR NOT?
Best Practice CBCM member agencies must decide on the primary scope of the complaint mechanism, taking into account both logistical concerns and the safety and desires of the community.
One of the first steps in designing a CBCM is deciding whether the mechanism should be focused solely on receiving SEA allegations, general staff misconduct complaints, or on broader humanitarian assistance/programming issues. There are pros and cons to each model, and the important concept to remember is that there is no “right” approach – the right design is the one that offers a safe and accessible avenue for the affected population and works with the realities of the humanitarian situation on site, e.g. humanitarian staff capacity, the presence of pre-existing complaint mechanisms, level of literacy, the community’s culture of dealing with grievances.
Information The scope of a CBCM is a decision to be made by the Steering Committee in consultation with communities at the field level, so that the CBCM is adequately catered to the local context, meets the site/country-specific needs, and integrates with other reporting/feedback mechanisms.
A good lesson to keep in mind is that simpler is better. The CBCM should not confuse the affected population and stakeholders by creating a bureaucratic and overly complicated and/ or duplicative system. Rather, the CBCM should be a mechanism that facilitates reporting avenues for beneficiaries, and streamlines the referral of SEA allegations received to the appropriate agencies’ investigation For more on linking with existing mechanisms, see units. This will limit beneficiary confusion by not overwhelming this Guide’s chapter on them with complaint intake options, and save CBCM budget and “Setting up the CBCM staff efforts by integrating with pre-existing mechanisms rather infrastructure”. than starting from scratch.
Pros and Cons The following are pros and cons to consider among three different scopes for a CBCM: SEA-specific mechanism The CBCM only receives complaints on SEA incidents: PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 37
Pros: • Focusing only on SEA issues allows stakeholders to devote all their attention and resources to this one issue, allowing further efforts to be devoted to related prevention activities and more streamlined monitoring and project adjustment. • It is simple: Beneficiaries will know exactly where to go for SEA complaints, which can encourage reporting. • The importance of PSEA stands out with its own stand-alone mechanism. • CBCM stakeholders only have to align the PSEA-relevant agency policies and procedures to facilitate inter-agency coordination.
Cons: • Setting up exclusively PSEA CBCMs – and advertising them as such –may discourage reporting by the affected population for fear of stigmatization and retaliation. Anyone seen accessing the complaint mechanism becomes associated with SEA and is therefore at-risk of direct reprisals from aid workers or community members, social stigma, or community disapproval. Visibly accessing such a mechanism in itself can jeopardize the much-needed confidentiality and discretion in disclosing such abuses. • Separating PSEA from other issues makes it more difficult to mainstream PSEA into general humanitarian assistance programming. • Physical reporting channels (e.g. suggestion boxes) are more likely to be destroyed when they deal with one sensitive and/or socially charged issue, which further jeopardizes the CBCM’s ability to create safe and accessible reporting channels. • Creating separate mechanisms for each type of humanitarian programming and staff misconduct issue is confusing for community members and staff, is resource- intensive (both human and financial), is duplicative, and risks inconsistent response rates which jeopardizes the credibility of the humanitarian community and their ability to adjust programming.
Staff misconduct mechanism The CBCM receives complaints on SEA, Fraud, Corruption and other misconduct issues: Pros: • Having one mechanism to deal with all staff misconduct can make reporting simpler by limiting the number of reporting options. • A mechanism that focuses solely on staff misconduct rather than broad accountability issues allows for a more targeted response by working on one thematic issue of staff accountability. • Grouping SEA with other staff misconduct issues can ease mainstreaming of PSEA.
Cons: • The risk of stigmatization and retaliation that potential complainants face remains similar to when accessing an SEA-specific CBCM, as both staff and the community know the complainant is reporting on staff misbehaviour. • A mechanism that receives some complaints from beneficiaries, but not all types, may cause confusion as to where one goes to report each type of complaint. • The CBCM may receive lack of support from humanitarian staff, who are threatened by a mechanism that is perceived to oversee and inform on their behaviour. This can also create tensions between humanitarian response staff on site and CBCM Focal Points, who may be perceived as judging their peers’ behaviour. • Attempting to address multiple issues may decrease staff efficiency, requiring CBCM Focal Points to learn special skills/expertise on all staff misconduct issues. 38 CHAPTER 2 Scope of the CBCM: SEA-Specific or Not? SECTION B. Structuring and Establishing an Inter-Agency CBCM
• By increasing the reach of the CBCM, it increases the variety of applicable agency Codes of Conduct and other relevant policies, making inter-agency coordination more difficult. • Without its own mechanism, SEA may be “overshadowed” by other complaints.
Broad accountability and feedback mechanism The CBCM receives complaints on SEA, staff misconduct, and other programme-related complaints (WASH, shelter, protection, NFIs, etc.): Pros: • Risk of stigmatization and retaliation against SEA survivors/complainants decreases. • Simplicity in having all programme-related complaints together – the affected population need not be confused by multiple choices on where to lodge complaints. • CBCM is strengthened by sharing resources of other projects’ accountability measures, and a broader mechanism may be easier for donors to fund in general. • Grouping SEA with other programmatic issues can ease mainstreaming of PSEA. It can be easier to integrate PSEA where it is not treated as an isolated issue; making SEA a part of a broad accountability mechanism allows PSEA to be part of the overall programming discussion.
Cons: • Risk of conflicting internal agency policies on accountability increases, making inter-agency coordination and complaints management more difficult. • Abundance of issues may reduce CBCM efficiency, and the amount of community feedback to assess in order to identify SEA allegations may cause delays. • Risk that SEA may be “overshadowed” by other complaints and missed is increased.
Experience from past PSEA programmes indicates that the scope of a CBCM’s complaint- handling should be broad so as to maximize safety and trust in accessing the mechanism. Reports from agencies represented at the HAP 2014 “Do complaints mechanisms work?” conference suggests that complaint mechanisms designed specifically for SEA work less well than complaint mechanisms set up to receive complaints on organizations’ service delivery, as well as the conduct of its representatives. The 2012 Compendium of CBCM Practices also notes that it is “good industry practice” to integrate PSEA into a broader complaint mechanism and that limiting a complaint mechanism to SEA or staff misconduct alone is to be avoided.
Practical concerns
In addition to weighing the pros and cons above, basic logistics will also factor into how broad a scope the CBCM should have. For example:
• How many agencies are participating in the CBCM (impacting joint Focal Point capacity)? • How large is the entire humanitarian response (affecting how busy a broad programming accountability mechanism could get)? • How pervasive is SEA on site, from early indications? • What is the community’s attitude about discussing sexual abuse issues and reporting to outsiders? PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 39
Bottom line The scope of the CBCM is ultimately the choice of CBCM stakeholders, factoring in the wishes and needs of the affected community and local practical concerns. Whether the CBCM is designed to handle only SEA complaints or is broadened to accept further misconduct and accountability issues, three practices must be followed: 1. The mechanism should not advertise itself as “an SEA compliant mechanism.” Practice has shown that beneficiaries are less inclined to make a complaint through a reporting channel focused solely on a sensitive issue such as SEA for fear of social stigma, safety concerns, and a host of other barriers. 2. Awareness-raising activities for the affected community and training for CBCM member agency staff must be clear on the scope and capacities of the CBCM. Beneficiaries and agency staff must understand what the CBCM is and isnot designed for, and what type of complaints that can be submitted. 3. Regardless of the intended scope of the complaint mechanism, the CBCM cannot control the types of complaints that beneficiaries submit. Practice demonstrates that the majority of complaints submitted will be about non-SEA issues. Therefore, a CBCM must have a means For more on recording non- SEA complaints – including to record and transfer broader programme-related tracking – see this Guide’s complaints to the relevant agency or Cluster, e.g. to chapter on “Monitoring WASH, shelter, etc., for follow up, otherwise it will lose and evaluation, with programme adjustment”. credibility in the eyes of the affected population.
Tools
• Consultations with communities, as described in this Guide, will identify the typeof complaint mechanisms that the local population is comfortable using. • PSEA literature, such as the 2012 Compendium of CBCM Practices and the report on the 2014 HAP Conference “Do Complaint Mechanisms Work?” offer detail on the experiences of past CBCMs in determining the scope of complaints they would hear. • Minimum Operating Standards on PSEA and the Core Humanitarian Standard on Quality and Accountability include commitments to work collectively, which can aid stakeholders in securing buy-in to a broader mechanism. 40 CHAPTER 2 Scope of the CBCM: SEA-Specific or Not? SECTION B. Structuring and Establishing an Inter-Agency CBCM Recommendation Design and implement a system to transfer complaints, regardless of the intended of the intended regardless complaints, transfer to a system Design and implement should be clearly SEA system, complaint an overall into is integrated SEA Where accountability a broad in creating coordinate to resistance agency When facing scope of the CBCM, to the appropriate agency/cluster/accountability forum for for forum agency/cluster/accountability the appropriate of the CBCM, to scope and quality of the level monitor to the capacity up. If the CBCM lacks follow are expectations that ensure the complainant, to provided and feedback follow-up and limitations. role of the CBCM’s is aware and the complainant managed Focal can be made, and all CBCM that complaint as a specific type of established Conduct PSEA-specific SEA. and address recognize to be trained must Points of reporting include the importance that and trainings events awareness-raising making a from be expected can and what of SEA incidents or suspected known complaint. jointly work to commitments agency internal mechanism, the CBCM should look to and on PSEA Standards such as the Minimum Operating projects, on accountability Standard. Humanitarian the Core
DESIGNING THE CBCM SCOPE CBCM THE DESIGNING Challenge Regardless of the designated focus of a CBCM, affected of a CBCM, affected focus of the designated Regardless more and address efficient be more may scope While broader on a broader collaborate to reluctant be more can Agencies populations will bring a wide variety of complaints, including complaints, of variety will bring a wide populations etc. resettlement, distribution, food will complaints SEA that is a danger needs, there beneficiaries’ or de-prioritized. be overshadowed coordinating the difficulty in mechanism because accountability policies increases. agency internal
X X X 41
SECTION B. Structuring and Establishing an Inter-Agency CBCM CHAPTER 3 SAFE AND ACCESSIBLE CHANNELS FOR REPORTING SEA
Best Practice Safe and accessible reporting channels are necessary to enable and encourage complainants to come forward and report confidentially, without fear of retaliation or stigmatization. A proper design will give all complainants equal access to report and overcome cultural, social and physical barriers.
A CBCM must be set up so that complainants feel free and safe to bring complaints to the CBCM. One of the most important components of a CBCM’s design is to establish avenues for complainants to submit SEA allegations. Reporting channels for the affected community
First and foremost, the CBCM must establish multiple reporting channels in order to provide a wide range of options for the affected population to submit complaints. • Direct in-person reporting should be one entry point, such as to an agency’s CBCM Focal Point, staff at a GBV/Women’s Centre or medical facility, or to community members/leaders trained on PSEA. • Beneficiaries must be able to report SEA verbally or in writing, including submitting anonymous complaints,21 such as through a suggestion box. • The CBCM should explore the potential use of information technology (when available) i.e. through SMS, phone hotlines, or email.
A CBCM will need to identify early-on the barriers to complaining and to find ways to overcome them. Such barriers can be: • Physical: People are prevented access to a humanitarian agency’s office, or are unable access it due to disability or hardship; • Cultural: Complaining might not be acceptable in certain cultures; • Personal safety: People may fear retribution or stigmatization as a result of complaining; • Marginalization: Some groups, such as youth or the illiterate, might be excluded from the mechanism if it is not designed taking their needs into account.
21 While experience shows that affected communities prefer to have a means to submit complaints anonymously, stakeholders should be aware that agencies’ ability to process and investigate anonymous complaints will be impacted and dependent upon the agencies’ institutional investigative policies. 42 CHAPTER 3 Safe and Accessible Channels for Reporting SEA SECTION B. Structuring and Establishing an Inter-Agency CBCM
The importance of multiple channels Tip The lack of safe and accessible reporting channels can be highly The CBCM detrimental to the success of the CBCM. Difficulties in accessing should consult with the mechanism will mean that survivors are vulnerable – or feel the community and vulnerable – to the negative consequences of reporting, e.g. the encourage their real and/or perceived risk of stigmatization if the entry points are active participation not well-situated and confidential. They will not trust the existing in the CBCM, both channels and may fear using them, making the channels effectively during design and implementation, useless. Furthermore, unsafe reporting channels can lead to in order to instill confidential information leaks, which can subject survivors to community buy-in to stigmatization and possible re-victimization, as well as jeopardize the CBCM in general the credibility of the CBCM in the eyes of the community. and the reporting Having a variety of reporting channels can also ease significant channels in particular. practical burdens on complainants, such as the distance a person has to travel to report. When considering options in designing the complaint entry points, agencies should consider interests of anonymity, options for persons lacking mobile phone or internet service, and options for persons who cannot read and/or write. The mechanism should offer the possibility of making both written and verbal complaints, as one over the other may be more comfortable for complainants. Appropriate access to reporting channels also means that there are enough channels physically in place in proportion to the size of the target community. Congestion that limits access to reporting channels could lead to potential complainants abandoning reporting. The number and placement of reporting channels should take into account the distance complainants will need to travel to access the mechanism, weather and other constraints that block access, disabilities making access more difficult, and lack of privacy while making the complaint.
Information Costs for the complainant: It is important to consider how much it “costs” to make a complaint – in terms of money for phone calls or time spent away from other duties – and in what ways the CBCM can offer support to complainants and mitigate such costs. Ideally, efforts should be made to develop a reporting mechanism that does not exact any cost to the survivor/complainant.
Other key components of safe and accessible reporting channels: • They should be culturally appropriate and overcome cultural barriers. For example, while it is universally recommended to have female staff available to speak with survivors of sexual violence or abuse, it is especially necessary that women have the opportunity to report to another woman in cultures that discourage discussion of sexual abuse between men and women. • They must be absolutely confidential. This is vital for the security and safety ofthe survivor/complainant, the due process rights of the accused, and for the continued effectiveness of the CBCM. Confidentiality is the right of the survivor/complainant, the alleged perpetrator, and any witnesses involved. • They should be tailored to overcome language barriers. The CBCM must be able to receive and process complaints in the appropriate local or tribal language. In communities with high illiteracy rates, there must be channels that allow verbal reporting. • They should be based upon community input received during consultations. • They should be supported by information campaigns to ensure that communities understand how and where to access the various reporting channels. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 43
• They should be designed for two-way communication, as the For more on discovering channel used to complain is often the channel that should be the complainant’s feedback used to provide feedback. preferences during Intake, see the section “Taking in- In-person or “face-to-face” reporting to CBCM Focal Points should person complaints” in this Guide’s chapter on “Intake always be an available channel. The human engagement allows a and review of complaints”. relationship to develop and generally provides for more thorough complaint intake. In-person reporting spaces, or “safe spaces,” should be prepared to handle a variety of topics, in addition to SEA. In practice, beneficiaries may bring less-sensitive grievances to a complaint mechanism to “try out” the experience, before raising such a sensitive issue as SEA. The relationship built through in-person reporting can empower a survivor over time to share abuses that s/he would not otherwise feel comfortable sharing with a stranger.
Example Creating a safe space for women in the community to go can encourage reporting over time. Places like Women’s Centres, which act as complaint intake channels but also exist as safe community spaces, can build beneficiary trust and comfort in reporting SEA allegations. In the Ethiopia Pilot CBCM, a safe house was established for women inside an existing health centre. The location meant that survivors were not immediately identifiable from other persons who visited the health centre, and because it was an existing structure that women were familiar with, they felt comfortable visiting. This safe space provided a workable venue for receiving in- person SEA complaints: Of the six SEA allegations received in Ethiopia, three were received through the health centre,* two of which lead to decisive disciplinary action from the agencies concerned. The women described feeling much more comfortable reporting within a safe space and to a trusted person.
* The other complaints were made to suggestion boxes.
Tools
• For in-person reporting, using a standardized Incident Report Form encourages consistent complaint data. • ICVA’s Building Safer Organizations Guidelines include instructions on the sensitive intake of in-person complaints. • Checklists, based on the mechanism’s Incident Report Form, ensure that all necessary information is captured during intake. Checklists can also be shared as awareness-raising tools for staff and the community.
Reporting to community leaders Some complainants may prefer to report abuses committed by humanitarian workers to their community leaders. Where this is the case, the CBCM should identify key community leaders and train them to serve as community PSEA Focal Points. Training should include general PSEA concepts, how to appropriately receive a complaint (confidentiality, maintaining the safety and dignity of the complainant, securing the necessary information), how to refer complaints and what to expect in the referral process, and how to assist survivors in receiving support. Community Focal Points should be instructed to immediately forward complaints to the CBCM so that allegations can be referred to the relevant investigating agency and victims can be assisted. Their role and their relationship with the CBCM must be clearly understood and outlined in the CBCM SOPs, particularly that they should not conduct any evidence gathering or investigation. 44 CHAPTER 3 Safe and Accessible Channels for Reporting SEA SECTION B. Structuring and Establishing an Inter-Agency CBCM
Information Where community consultations reveal a preference to report sensitive issues to community/traditional leaders, and especially if this process is already trusted and used by the affected population, training community leaders on PSEA and CBCM referral procedures may strengthen community protection. However, the CBCM must also weigh the benefit of offering this culturally sensitive reporting channel against the principle of confidentiality, as it broadens the number of individuals who are aware of a complaint. Using community leaders as an entry point may lessen the control the CBCM has over sensitive information. The CBCM should also attempt to account for the fact that community leaders may be involved in perpetuating the attitudes that condone SEA and/ or stigmatize SEA survivors. These counterpoints are moot if beneficiaries are reporting to community leaders regardless of “official” CBCM channels, and educating these persons on CBCM procedures can only help by encouraging a principled process.
Reporting directly to the concerned agency For more on the necessity of internal complaint The CBCM should encourage agencies to establish an internal mechanisms, see this Guide’s reporting mechanism for complainants to report. Many agencies chapter on “Referring SEA have not fully established direct complaint reporting systems, allegations for investigation and follow-up”. despite designation of PSEA Focal Points as required under international commitments.22 Those that are in place can be difficult to access, or may not clarify that they can be used to submit SEA allegations. Having a well-placed reporting system inside participating agencies to receive SEA complaints gives beneficiaries the option to go directly to the concerned agency if they prefer to do so.
Essential to Know One of the advantages of an inter-agency CBCM is that it frees survivors of the need to determine what agency their perpetrator works for and then identify the appropriate complaint mechanisms through which to submit allegations. That said, where the complainant knows the agency employing the alleged perpetrator, reporting directly to the agency should always be an option open to the complainant if they wish to.
Mapping The CBCM should conduct an early assessment to identify existing Tip reporting channels (for example, GBV complaint mechanisms) so For example, that the CBCM can work with existing systems and not duplicate using trusted teaching efforts. The assessment should also make a demographic breakdown staff as community of the community to ensure that all groups – women, children, men, Focal Points may be elderly, illiterate, disabled, etc. – have an accessible channel. Focus an option to meet the group discussions with the community are extremely valuable to needs of school-going learn where the community would prefer to place the entry points. children.
A CBCM should be child-friendly The CBCM should be easily accessible to children, especially in locations where youth have been identified as at-risk for SEA. Setting up entry points for children to submit complaints may require
22 MOS-PSEA (2012) #8 (“Internal complaints and investigation procedures in place”) and Statement of Commitment (2006) #4. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 45 engagement with the Education Cluster or Child Protection sub-Cluster, include outreach to schools and teachers through the Ministry of Education, and involve the recruitment of a Child Rights agency in the design and implementation of the mechanism. Actors with experience in child protection are more likely to understand both child-specific protocols and local legislation that impacts children (e.g. Mandatory Reporting Laws), and should be involved in drafting CBCM guidelines/procedures on interacting with child complainants.
Example The Evaluation of the IASC PSEA-CBCM Pilot Project identified schools and child activity centres as desirable locations for child-accessible entry points to the CBCM. This guidance should be balanced with the knowledge, however, that structures that engage with children (e.g. teaching staff), are in some circumstances the source where the SEA occurs. Special PSEA education should, therefore, be extended to structures that regularly interact with children to ensure they understand their PSEA obligations and how they can best work with the mechanism to protect the children in their care. Protection principles and child safeguarding measures should be in place to avoid the chance of children been put at risk for taking part in the CBCM.
Staff reporting When a humanitarian staff member becomes aware of, or suspects, an incident of SEA, most agency policies require him/her to report directly to their agency’s department in charge of receiving SEA complaints.23 The Secretary-General’s Bulletin on SEA (2003) and many agency policies make reporting concerns or suspicions of SEA via “established reporting mechanisms” a mandatory requirement of staff. These policies frequently prohibit staff from disclosing any case information to other individuals or entities, and stipulate that breaches of this policy can result is disciplinary measures taken against the reporting staff member.
Essential to Know Mandatory SEA reporting for staff: Humanitarian workers have a duty to report any concern, doubt, or allegation of SEA in accordance with the internal policies and procedures of their agency, whether or not the alleged perpetrator is from the same agency. In line with this Mandatory Reporting requirement, agency protection for whistleblowers needs to be robust so that staff are not harmed for fulfilling their duties.
Be Aware While reporting SEA is mandatory for the majority of humanitarian workers, this obligation may in practice conflict with the principles of confidentiality and the right of the survivor to choose how s/he would like to address an SEA incident. CBCM member agencies will need to internally reconcile this potential conflict, balancing both the rights of the survivor and the safety of the broader community, along with the internal policies of participating agencies. One possibility is to inform the survivor of the mandate to report on SEA before proceeding with complaint intake.
23 This department will vary among organizations: For some agencies, SEA reports will be sent directly to the investigation unit. Other agencies require staff to submit reports to other departments, such as Human Resources, Ethics, etc. 46 CHAPTER 3 Safe and Accessible Channels for Reporting SEA SECTION B. Structuring and Establishing an Inter-Agency CBCM
Tip The CBCM should work with participating agencies to learn their individual procedures and promote this information as part of its staff training events. It should maintain a list of the contact information for each agency’s investigation unit (or unit that receives all complaints), and visibly post that list for beneficiaries and staff to access.
Clear contact information While many agencies require staff to report SEA through their internal mechanisms, access to such mechanisms is not always clear to all staff, especially contract and field staff. Lack of direction on reporting requirements and instruction on how to submit those complaints is an ongoing problem in the field. Every humanitarian aid worker should be aware of the proper reporting procedure for when s/he learns of or witnesses an SEA incident in-person, whether the allegation is against a co-worker in the worker’s same agency, or against staff of another agency.
Feedback to the CBCM Where incidents are reported directly to the concerned agency, the CBCM is not involved in intake or review of the complaint. For more on sharing case status information, Member agency headquarters are especially encouraged to share see this Guide’s chapter general case statistics when direct reporting bypasses CBCM on “Monitoring and evaluation, with review, as well as the outcome of investigations, for the following programme adjustment”. reasons:
• Lack of disclosure impacts the perceived neutrality and independence in the eyes of both the affected population and staff. These features can go a long way towards encouraging reporting. • Internal referral of complaints without informing the CBCM does not allow for consistent data tracking and identification and analysis of SEA trends. • Referring complaints directly to the concerned agency without informing the CBCM lacks transparency, particularly if the investigating agency either lacks a protocol on sharing feedback with complainants/survivors, or its SEA policy and procedures prohibit feedback on the outcome of the case. In this instance, the lack of feedback provided to beneficiaries may impact the credibility of the CBCM, as beneficiaries will have no knowledge about whether action has been taken on the complaint.
Tip The CBCM should encourage participating agencies For additional guidance on to share anonymized case status data so that the CBCM can reporting channels for humanitarian maintain a complete view of the prevalence of SEA in a whole aid workers and aligning with site, and to aid it’s targeted response. Procedures that outline internal reporting procedures, see direct staff reporting to their agencies and case status updates the Global SOPs on inter-agency cooperation in CBCMs in Annex 3. to the CBCM should be included in the CBCM SOPs.
A look at one channel – The suggestion box Setting up suggestion boxes as one reporting channel has been a common practicefor complaint mechanisms. They are beneficial in that they allow anonymous complaints and put very little social pressure on a complainant who might not otherwise be comfortable reporting in person. If they are designed and advertised as “general complaints boxes,” they offer low risk of stigmatization of SEA complainants. Additionally, many beneficiaries specifically request having the suggestion box option during consultations. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 47
However, in practice the detriment of using these boxes seems For the basic information to outweigh the benefits, and may actually increase protection needed in an SEA allegation, risks instead of reducing them. If complaints are not retrieved see the “Incident report form” section in this Guide’s discreetly, or if the location is poorly planned, use of the box can chapter on “Intake and put complainants at risk. There are other logistical drawbacks such review of complaints”. as geographic accessibility (i.e. how far the complainant has to travel to use the box) or the need to be literate to submit complaint letters. The lack of a guided in-person interview process also means that complaints submitted in suggestion boxes are often missing vital information needed for the Coordinator to be able to refer the complaint. Under no circumstances should suggestion boxes be the only method for the community to report complaints.
Information Location of physical channels: Physical entry points, such as suggestion boxes, should be placed in areas that are easily accessible to potential survivors, as identified during community consultations and mapping exercises, and not contain any visible references to “SEA.” However, experience from past CBCMs has shown that the placement of Complaints Boxes in open locations – such as markets and schools – is not safe or confidential for complainants. The CBCM should identify locations that are easily accessible but physically secure.
Be Aware One of the greatest problems with using such boxes is the challenge of providing feedback on allegations submitted anonymously or without adequate contact information. Because the CBCM cannot respond directly to such complaints, not even to acknowledge that the complaint was received, documented, and properly referred to the concerned agency, the complainant may have For more on investigating no means of knowing if their complaint was ever received or anonymous complaints, see this Guide’s chapter on acted upon. In addition, investigating anonymous complaints “Referring SEA allegations is inherently difficult. Unless the alleged offender is found for investigation and complicit in SEA and visible disciplinary action is taken – a follow-up”. measure beyond the control of the CBCM, and unlikely without sufficient evidence base – the complainant is likely to perceive the suggestion box as a “black hole” into which complaints or feedback disappears forever. This perception harms the trust in the CBCM and ultimately its effectiveness.
Safety and transparency If suggestion boxes are to be used, the CBCM must take steps to ensure safety and transparency in the opening process to retrieve the written complaints. Each box should have two locks, representatives from more than one agency should hold a key and 2-3 agency representatives should be present at the opening. More than 1 representative ensures the image of an “objective presence,” and also decreases any safety risk to the representatives. More than 2 or 3 individuals is too many persons with access tothe confidential information in the complaints. These protocols must be discussed and made explicit in the CBCM SOPs. 48 CHAPTER 3 Safe and Accessible Channels for Reporting SEA SECTION B. Structuring and Establishing an Inter-Agency CBCM
While accessibility to the sensitive complaints inside the box must remain Example controlled and restricted, the retrieval Lesson from the IASC Pilot Project: itself must be transparent and open so While opening complaints boxes should be that complainants can see that their public so that the community knows that the complaints are being processed. A complaints are being received, staff should not schedule for opening the boxes must wear SEA-branded clothing while retrieving be established and conveyed to the complaints, nor should the boxes be labeled community. with SEA messaging. Such practice links the box to SEA in the eyes of the community, which can be detrimental for reasons noted above.
Example In the IASC Pilot, member agencies in one site carried out extensive consultations after multiple boxes were destroyed, to try to determine the root of the problem and learn what system the community would prefer. Unfortunately, this left the destroyed boxes visibly broken to the community for 4 months, potentially jeopardizing community trust in the mechanism. Member agencies thereafter decided on a new protocol: if a physical reporting channel is destroyed or compromised, the regional head of the lead agency needs to be notified within 24 hours, and corrective action taken within 10 days.
Maintenance of physical channels Where implemented, a suggestion box in many ways represents the face of the CBCM to the community. The community cannot see prolonged neglect of the boxes – or any entry points – or they will lose trust in system through the CBCM’s perceived lack of care and respect. Rumours
One challenge that CBCMs consistently face is the lack of a method for dealing with SEA rumours. A CBCM will have to devise a method, based on the internal policies of participating agencies, on how to respond to “informal” complaints. CBCM representatives will very likely hear rumours of SEA incidents in the site that do not arise to actual reported complaints, especially where the CBCM has successfully integrated into the community. As is often the case with staff misconduct, patterns of abuse often surface first as rumours before being reported by way of an official channel. CBCM member agencies may wish to proactively look into these incomplete allegations, in order to combat potential abuses before they become entrenched in the community. It may be very difficult for CBCM members to have to wait to receive “official” reports of abuse, especially if they have reason to believe the rumours are true.
However, taking any proactive approach to SEA rumours needs to be balanced against the fact that it is the concerned agency’s role alone to investigate complaints, as well as consideration for the due process rights of the alleged offender. An innocent person’s reputation can be destroyed by investigations into unfounded rumours, and unnecessarily place the alleged survivor at risk. When designing the CBCM, member agencies should come to a clear and explicit agreement on how the CBCM will address informal complaints about SEA, as rumours may indicate a deeper or systemic SEA problem, as well as a potential lack of confidence in the CBCM and its reporting mechanisms. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 49
Essential to Know The role of the CBCM is to capture and document complaints or concerns, and trigger a response process to address the concern. The CBCM is not an investigative body.
New channels and technology
Lack of phone and internet service remains a challenge at many operational sites. However, where the technology is available, new reporting channels are being created that offer increased options to affected populations. Using new technologies usually comes with the benefit of allowing complainants to make reports in a manner that shields them from stigmatization, and without the necessity of travelling to an agency or office. A CBCM should make an early assessment of the technological capabilities in a given site, and examine the use of the following options as potential reporting channels:
A note on the following channels
Technology can add a useful dimension as a channel for reporting complaints, but it is important that confidentiality is always assured. In some situations, people feel more comfortable with one-on-one conversations. This is particularly the case where the issue is as sensitive as SEA.
Calls As mobile phones become increasingly common, CBCMs should look into encouraging call- in reporting. Part of information campaigning can be sharing the phone numbers to directly contact agency CBCM Focal Points and the CBCM office.
SMS services New technology is being developed to assist mobile messaging and receive community feedback. The CBCM can look into different apps and software that enable free messaging and incorporate feedback possibilities.
• Frontline SMS is open-source software that enables instantaneous two-way communication to any mobile handset (www.frontlinesms.com/technologies/ frontlinesms-overview/). It has so far been used for wide-scale tracking of protection incidents and also for responding to cases of violence affecting specific vulnerable populations, including children. • The Transparency International mechanism in Kenya uses a two-way technology that allows reporting and receipt of feedback through SMS (www.tikenya.org/ index.php?option=com_content&view=article&id=98&Itemid=101). Complaints can be made by SMS, after which the mechanism gives each complainant a tracking number, also through SMS. The concerned agency can then respond to the complainant using the mechanism’s web-based system and SMS messaging. • Danish Refugee Council (DRC) installed an online Beneficiary Feedback platform in Somalia (http://drc.onlinefeeds.org/). By sending an SMS or voice call, a beneficiary can give feedback about services provided by DRC, including complaints, which is then registered in an online dashboard for monitoring. 50 CHAPTER 3 Safe and Accessible Channels for Reporting SEA SECTION B. Structuring and Establishing an Inter-Agency CBCM
Once the relevant agency has received and followed-up on the comment, an automatic response is sent to the reporting beneficiary. • The International Organization for Migration (IOM) has developed the Community Response Map (CRM) – an online data platform to facilitate direct feedback from beneficiaries using SMS technology (http://communityresponsemap.org/). This platform may be used in conjunction with a site-specific online complaint monitoring platform. • The International Rescue Committee (IRC) developed and piloted a web-based beneficiary feedback mapping app, ServiceInfo, in Lebanon in 2015–2016. The software, as well as guidance and recommendations to assist in using and adapting the tool in other humanitarian contexts, will be made public in late 2016 / early 2017. The app is particularly well suited to work in urban contexts.
Internet Where the affected population can access the internet, the CBCM can provide additional reporting channels by instructing beneficiaries how to report to the agency directly through their website, or by providing email addresses for CBCM member agency Focal Points. The CBCM should assist participating agencies in strengthening their websites to simplify complaint reporting. Access to internet also offers tools to overcome illiteracy as a reporting barrier, through innovative technology such as Internet Voice Recording (IVR).
Hotlines Hotlines are free phone numbers or e-mail addresses available every day and all day (or at minimum for set hours) to allow a complainant to make direct contact with trained personnel employed by an independent third party. Call takers create a record of all calls and report them promptly to a designated person within the agency/mechanism for further review and handling as appropriate.
Tip Resourcing: Using a hotline as an entry point requires financial resources for staffing, unless the CBCM engages in a partnership with a pre-existing hotline focused on broader issues. In this case, call centre staff should receive training on PSEA and on CBCM referral procedures. CREATING SAFE AND ACCESSIBLE REPORTING CHANNELS
Challenge Recommendation
X Economic constraints on potential complainants can limit their ability to travel to reporting channels. It Using a variety and adequate number of well-placed reporting channels, allowing both verbal and written can also impact their access to technology, such as phones or computers. complaints in the local language(s), can solve many of the challenges raised by economic constraints, literacy/language barriers, and infrastructure difficulties. When choosing placement and design of reporting X Language barriers exist if the mechanism does not allow participants to report freely in their mother tongue. channels, the CBCM should consider particular demographic groups that may have more difficulty reporting (e.g. children and disabled persons) and ensure that the channels in place are accessible to them. X Infrastructure constraints may exist, including lack of phone and/or internet network, or heightened security constraints. There may be a lack of roads to access face-to-face channels, or roads may become inaccessible due to weather conditions.
X Low literacy can limit the available reporting channels for many beneficiaries. Any channel that requires a written complaint must include safeguards to protect the confidentiality and physical safety of the complainant, as complainants may use a third party to write down their allegation.
X Lack of community acceptance of the CBCM itself may place staff and community members To counter the lack of action and/or feedback from the concerned agency, the CBCM will need to manage implementing the mechanism – particularly CBCM Focal Points – at risk during face-to-face reporting. Awareness-raising for the affected community should include sensitization on the reporting issue itself to It can also lead to physical reporting channels being destroyed (e.g. suggestion boxes). instill community acceptance of reporting.
X Beneficiaries may lack trust in the person who is receiving complaints if the CBCM has not been fully CBCM Focal Points who receive complaints should endeavour to develop trusted relationships with integrated into the community, or for other inter-personal reasons. community members.
X In-person complaint channels that are identified to the whole community as “places to report SEA” The CBCM should utilize existing mechanisms as reporting channels, for example establishing Focal Points at can stigmatize complainants by branding them as “SEA victims.” Women’s centres and/or health clinics, which will ensure that survivors “blend in” with normal visitors and are not identified as SEA survivors or complainants. This encourages reporting to a safe venue in a preexisting and trusted establishment in the community.
X Anonymous reporting channels may be preferable to some complainants, but these can lead to Where anonymous channels are used, awareness-raising should include the information needed to make incomplete complaints that do not give the CBCM enough information to make a proper referral a complete case so that community members understand what minimal information a complaint needs to (e.g. if the name of the agency is unstated). contain to be followed up on.
X There may be cultural pressure within the community to report complaints to traditional dispute While recognizing that the cause of SEA is the individuals that choose to abuse beneficiaries, the CBCM resolution systems. While these systems can be integrated into the CBCM, it is possible that should also engage in SEA awareness-raising with local structures in an attempt to lessen harmful community community structures themselves are the bodies engendering exploitation and/or harmful attitudes attitudes that can increase the risk of SEA. and practices.
X The CBCM may hear informally about SEA incidents or “problem locations” without receiving an The CBCM should develop a plan to address rumours of SEA in the community, as they may be indicative of a official complaint that it can refer for action. deeper SEA problem, or demonstrate lack of access to or confidence in the established reporting mechanism.
X Failure of CBCMs to provide timely feedback on complaints, even that the complaint was received, The CBCM must ensure that its procedures for complaint intake are transparent, so that at a minimum may jeopardize community trust in the CBCM and potentially lead to communities abandoning its complainants know their complaints have been received and can trust using the reporting channels. Consider how use. technology (i.e. text and phone reporting), can be used to create a two-way dialogue with survivors to provide feedback on the status of the complaints and get survivor input on the quality of services and case handling. 52
SECTION B. Structuring and Establishing an Inter-Agency CBCM CHAPTER 4 INTAKE AND REVIEW OF COMPLAINTS
Best Practice The CBCM must set out procedures for how it will process received complaints, so as to standardize review and ensure fairness and consistency amongst complaints referred to concerned agencies.
One of the preliminary tasks in setting up the CBCM is to establish protocols for how the mechanism will receive and assess complaints in order to identify SEA allegations and refer them to the relevant agency’s investigation unit for follow up. Having one standardized process will ensure that all complaints are treated equally and referred appropriately, which supports the rights and interests of the complainant, the Subject of the Complaint, and the concerned agency.
Be Aware Discrepancy between agencies over what constitutes a “beneficiary” for the purposes of SEA can create a consistency problem on site. Standardized review across a site is one of the benefits of an inter-agency CBCM, because it ensures consistent review of complaints to assess the presence of SEA, providing a unified stance on what is prohibited behaviour to both the affected population and to staff.
The protocols for intake and review of complaints in a CBCM, including SEA allegations, should lay out simple steps for CBCM member agency representatives and/or the PSEA/ CBCM Coordinator to follow. They should include: • Key humanitarian principles guiding interaction with beneficiaries for in-person receipt of complaints. • The messages that must be conveyed to complainants. • A clear description of the Coordinator’s role and responsibilities in assessing the complaint for referral, and • An outline of the standard procedure for complaint assessment.
Receiving a complaint Complaint handling is a limited process that must be clearly outlined so that the CBCM does not exceed its scope (e.g. dismissing complaints rather than referring; conducting fact-finding or evidence gathering). The only intake and review procedures that a CBCM performs are: • Receiving the initial complaint; • Determining the immediate protection and assistance needs of the victim/ complainant; PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 53
• Establishing the nature of the complaint; • Identifying to which agency to refer the allegation; • Referring the allegation; • Notifying the complainant that his/her complaint was received (if not taken in-person); • Referring the survivor to access appropriate victim protection services.24
Complaint intake – Principles
All complaints must be received under the following Key Principles: Confidentiality Complainants and subjects of a complaint (SOC) both have a right to confidentiality. Anyone with access to sensitive complaint information must sign confidentiality arrangements developed by the CBCM for this purpose.25 Records should be stored securely to avoid accidental or unauthorized disclosure of information. Information kept for tracking purposes must be anonymized to the fullest extent possible. Confidentiality is an especially important principle in SEA complaints, as submitting an SEA allegation can render a complainant vulnerable to retaliation.
Information Measures to protect confidentiality: Specific measures must be taken in order to safeguard confidentiality at all times. Hard copies of Incident Report Form and Complaint Referral Form shall be stored in a locked cabinet, with access strictly limited. Electronic databases used to record and track case information must have restricted access and persons with the access must be required to sign confidentiality undertakings in accordance with their organization’s internal policies. Individual complaints should be assigned a tracking number to anonymize monitoring and follow-up. The CBCM SOPs should detail procedures for how to handle both physical and electronic complaint information in case of emergency.
Tip Innovative idea: In the medical field, anyone conducting sensitive research must take a mandatory online data protection course, designed to ensure patient confidentiality. This model can be applied for any CBCM representatives who work with sensitive SEA complaints – the preliminary course would enhance understanding of the importance of confidentiality measures and the effect of breaching confidentiality in SEA cases.
In some instances it will not be possible to guarantee confidentiality, For more on e.g. when the complaint is referred to national authorities under mandatory reporting mandatory reporting laws. Best practice is to inform the complainant laws, see the section “Criminal acts of of expected procedures on the complaint, so that s/he can make an SEA” in this Guide’s informed decision to report. CBCM procedures will need to clearly chapter on “Referring outline how the participating agencies intend to ensure confidentiality SEA allegations for investigation and while abiding by relevant mandatory reporting laws and policies. follow-up”.
24 For more on referral to assistance services, see this Guide’s Chapter on Ensuring Quick and Appropriate Assistance for Complainants and Victims. 25 See the example Confidentiality Clause language in Annex 4. 54 CHAPTER 4 Intake and Review of Complaints SECTION B. Structuring and Establishing an Inter-Agency CBCM
Tip Never promise a complainant “complete confidentiality,” as this may create impossible expectations. Instead, be candid with the complainant about the importance the CBCM and agencies place on confidentiality, as well as the potential mandatory reporting requirements, and allow him/her to make an educated decision.
Confidentiality of identities: The names of all parties to a complaint are confidential. The identity of the Subject of the Complaint must be protected, out of considerations of due process, potential retaliation, and presumption of innocence. It is imperative that the name of the survivor or complainant not be released to the Subject of the Complaint. In certain circumstances, a survivor’s name may be revealed by the investigating agency – never the CBCM – to select persons under clear justification, for example to the administrative body conducting disciplinary review if there is insufficient corroborative evidence to pursuean agency investigation without his/her testimony.26 In such cases CBCM member agencies, in consultation with agencies’ investigative units, may take additional reasonable measures to shield the survivor/complainant from potential retaliation or stigmatization.
Safety It is essential that the CBCM conduct a risk assessment for each survivor, and developa security/protection plan if necessary based on individualized needs. The safety of the survivor should be a primary consideration at all times during reporting, investigation, and thereafter. Complaint mechanisms must consider potential dangers and risks to all parties (including the survivor, the complainant if different,27 the Subject of the Complaint, and the organizations involved), and incorporate ways to prevent additional harm. This includes offering physical protection when necessary and with the informed consent of the survivor, and pre-emptively addressing potential retaliation against all complainants.
Information A CBCM is not able to guarantee a survivor/complainant’s safety itself - this is the responsibility of local security bodies. However, the CBCM should endeavour to build a strong working relationship with local security, and be candid with the complainant about potential security measures and the limits of the CBCM’s capacity to protect.
Health and psychosocial The survivor is never to blame for SEA. Frequently, both humanitarian actors and members of the affected community will categorize certain types of exploitation or abuse as ‘harmful coping mechanisms’ (for example, engaging in transactional sex), dismissing the harm inflicted upon the victim. This label should never be used to undermine the responsibility of the humanitarian staff person who committed the act, or diminish the survivor’s need for assistance services.
26 Different organizations might have different standards of proof that need to be met. For example, a UN Administrative Tribunal decision states that no disciplinary measures can be taken solely on the basis of anonymous testimony. See Judgment No. 2010-UNAT-087 (27 October 2010): Liyanarachchige v. Secretary-General of the United Nations. 27 Potential retaliation against non-victim complainants – e.g. whistleblowers - is one of the reasons why immediate assistance should be available not only to victims, and be based on personalized needs assessment. For more on need assessments for all complainants, see this Guide’s Chapter on “Ensuring Quick and Appropriate Assistance for Complainants and Victims.” PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 55
Example CBCM Focal Points in the the Democratic Republic of the Congo Pilot site faced the problem that the local community did not consider sexual exploitation to be “real” abuse. Recognizing that denial of the harm done can compound the survivor’s psychological trauma, the Focal Points increased trainings on the proscription of this form of SEA for staff, community and service providers.
The CBCM must keep the psychosocial well-being of the survivor in mind during any case follow up. For instance, when drawing up a security/protection plan, the PSEA/CBCM Coordinator and Focal Points must consider the potential for some SEA survivors to be ostracized due to local cultural beliefs. The actions and responses For more on Health & of all organizations shall be guided by respect for the choices, Psychosocial needs, see this Guide’s chapter on wishes, the rights, and the dignity of the survivor. The survivor “Ensuring quick and should be given access to support groups and/or crisis counselling appropriate assistance for to help deal with feelings of fear, guilt, shame etc. complainants and victims”. Complaint intake – Protocols Taking in-person complaints There are standard protocols for interaction with beneficiary complainants during in-person complaints,28 including:
• Treat the complainant with respect and make him/her as comfortable as possible. • Address issues of confidentiality, explaining that there are limits to ensuring confidentiality to the extent that agency staff are obliged to report complaints, while reassuring the complainant that information will only be shared on a “need to know” basis. • Avoid asking too many questions. Ask only the number of questions required to gain a clear understanding of the complaint so that it can be referred to the appropriate agency’s investigation unit. Reporting should not be rushed and complainants should be allowed to fully articulate the situation in their own words before clarifications are sought. • Ask only relevant questions. For example, the status of the virginity of the survivor is not relevant and should not be discussed. • Ensure that all information is well-documented during the in-person interview, so that the allegation can be immediately referred to the investigating agency. A CBCM Focal Point should not conduct multiple interviews, as this can contribute to further traumatization and can jeopardize the investigation by potentially tainting evidence. • Ask the complainant how s/he would prefer to receive further communications from the CBCM. • For female survivors, always try to conduct Tools interviews with female staff, including translators. The Building Safer For male survivors able to indicate preferences, it Organizations Handbook (2007) is best to ask if he prefers a man or a woman to and IASC Model Complaints and conduct the interview. Investigation Procedures and • Make a written record of the complaint using a Guidance Related to SEA (2004) standard Complaint Intake Form developed by the include guidance on taking in-person complaints. CBCM for this purpose.
28 Complaints not received in person (i.e. through SMS or a suggestion box) will not include this personal interaction and therefore these concerns do not apply. 56 CHAPTER 4 Intake and Review of Complaints SECTION B. Structuring and Establishing an Inter-Agency CBCM
The incident report form Information that is captured during intake needs to be as clear and detailed as possible, because it may be used in subsequent disciplinary or legal action. Complete records on intake also help ensure that the complainant will not have to be subjected to repeated questioning on the incident. The interview should record as much relevant information as is possible, while recalling that this is not part of an investigative process. Minimum intake questions should capture: • The correct names of all persons/agencies involved, the identity numbers of witnesses where appropriate, and if possible photo records of the alleged offender; • Times, locations, and dates given by the complainant; • A description of any visible sign of abuse or other injuries including a body map, if helpful (Note: A Focal Point does not conduct an exam, this is strictly performed by a medical clinic); • An accurate account of what was said by the complainant in his/her own words; • Any relevant observations made by the person receiving the complaint; • Whether anyone else knows or has been given the reported information.
Spotlight on the Common Reporting Platform
The Common Reporting Platform (CRP) is an online complaints repository developed for the IASC Pilot Project on PSEA CBCMs. The Platform standardizes intake by the use of a common Incident Report Form, and tracks case handling from the moment that a complaint is received, including the type of complaint (SEA or non-SEA), when and to whom the allegation is referred, and the victim assistance service provider(s). It also collects the anonymized data in both a dashboard and map feature to assist in monitoring trends. Confidentiality is ensured through password protection – only authorized users have access to sensitive data, For further introduction to the CRP, see A Glance at the Common and only the site administrator may decide who may be Reporting Platform in this Guide’s granted access. The CRP is available to be developed for Annex 5. CBCMs in additional operational sites.
Anonymous complaints The fact that a complaint is made anonymously does not automatically mean that it bears less substance than one in which the complainant identifies him/herself and is prepared to give evidence. Anonymous complaints should be treated as seriously as "named" complaints and referred in the same manner to the relevant agency’s investigation unit. However, referral and investigation may be more difficult where the identity of the survivor and/or the alleged offender are unknown. In the worst-case scenario an anonymous complaint can be so incomplete that the Coordinator is unable to identify enough information to refer the complaint for investigation.
Be Aware The CBCM will need to consider, on discussion with participating agencies, how it can facilitate anonymous referrals.
Special concerns for child complainants
When the complainant is a child, s/he must be given all the information needed to make an informed decision using child-friendly techniques that encourage the child to express PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 57 him/herself. A child’s ability to provide consent on the use of the information and the credibility of the information will depend on Tool his/her age, maturity, and ability to express him/herself freely. The BSO When drawing up operating procedures, the CBCM should develop Handbook and IASC Model Procedures guidelines on how to interact with children complainants by (referenced earlier involving persons who are trained to handle the special needs of in this chapter) also child survivors of sexual abuse and who are familiar with national include guidance on laws and policies relating to the protection of children. the needs of child survivors during intake. Parental involvement A specific issue relating to child survivors is whether or not to inform parents of the open complaint. Best practice generally dictates that parents (or guardians/caregivers) should be informed as they are in the best position to provide support and protection to the child. In some circumstances however, it may be in the best interest of the child not to inform the parents, e.g. where a parent is suspected of facilitating the SEA; the child could be subjected to retaliation, including physical or emotional abuse, expulsion from home, or have his/her well-being compromised; the child does not want parental involvement and is competent to take such decision; or the child is unaccompanied. The CBCM must allow for these special considerations in the case of child survivors of SEA by, for example, writing Terms of Reference that spell out which CBCM representatives may be involved in child-survivor cases (see the sample TORs in Annex 4).
Tip The above considerations and procedures may also apply to complainants/survivors with mental health issues or intellectual disabilities. As in all cases, the wishes ofthe complainant/survivor must be respected as far as reasonably possible.
Follow-up with the complainant All complaints taken in person, and to every extent possible those received otherwise, must receive feedback and follow-up. First and foremost this means informing the complainant that his/her complaint is received and will be followed up on. This simple acknowledgement that s/he has been heard and the complaint is being addressed is a strong accountability tool that will build trust, as long as the complaint is fully processed and feedback continues to be provided to the complainant. However, the CBCM must also ensure that complainants are fully informed that the decision to investigate, the outcome of the investigation and disciplinary measures taken, and the level of feedback provided, is dependent upon the investigating agency and its internal procedures.
Other necessary communications following the complaint are: • Informing the complainant on the potential social and security impact of his/her complaint. For instance, in cases involving the abuse of a minor, the parents may question whether to address the case through a traditional dispute resolution method of accepting money as compensation, as opposed to pursuing alegal case. This decision will have an impact on the family, as well as endanger the credibility of the CBCM and/or the investigating agency if family members claim to have been pressured to take a specific course of action. • Informing the complainant what s/he can expect next for the complaint (assessment, potential referral process, and anticipated time frames) given the different procedures among participating agencies. This information should also include the potential outcomes that the complainant can expect, including: 58 CHAPTER 4 Intake and Review of Complaints SECTION B. Structuring and Establishing an Inter-Agency CBCM
◦ The allegation is confirmed, and disciplinary actions are put in effect. ◦ Possible referral to national authorities for criminal prosecution. ◦ The Subject of the Complaint is cleared of wrongdoing and the complaint is closed. ◦ The complaint is insufficient to proceed to investigation, and the agency will need more information. • Managing complainants’ expectations, by conveying what the CBCM can and cannot do regarding the complaint. For example, the CBCM cannot conduct investigations, but it will make itself available to answer the complainant’s questions where it can, and will report all feedback it receives from the investigating agency. The level of feedback, however, is dependent upon the investigating agency’s internal policy.
Staff training All people who will receive complaints through any medium must receive in-depth training and regular refresher trainings to ensure that complaints are handled appropriately. This includes training on the principles of confidentiality and safety of complainants/survivors, and on the case management procedures of each of the CBCM member agencies so as to manage expectations and accurately convey what to expect from referral of complaints. They must be trained on how to receive in-person complaints, including how to be sensitive to complainants, how to handle any distress the complainants may be experiencing, and where to refer complainants for appropriate services. Anyone who will conduct intake for the CBCM must know how to properly document the complaint so that the CBCM procedures do not interfere with a subsequent administrative review by an agency, and/or a criminal case. It is also recommended that they receive some training in evidence gathering, not because they will be investigating, but so as to not For more on principled investigation procedures, interfere with agency investigations (i.e. understand the impact see ICVA’s Building Safer of evidence on an investigation, the potential for evidence to Organizations Guidelines become tainted and not usable in an administrative action, etc.). (2007).
Assess the complaint for referral
Once the CBCM has received the complaint, explained the next steps to the complainant, and referred the survivor to immediate health services, the in-taking CBCM Focal Point must ensure that the complaint is sent to the For more on referral to PSEA/CBCM Coordinator for assessment. It is not the responsibility services, see this Guide’s chapter on “Ensuring quick of any CBCM member agency representative to determine and appropriate assistance whether or not the complaint is true. It is his/her responsibility for complainants and to gather the relevant information from the complainant and victims”. enter it into the CBCM’s Incident Report Form, and follow CBCM procedures to ensure that the Coordinator can refer the SEA allegation to the unit mandated with investigations in the concerned agency to determine if potential administrative follow- up or investigation is advisable.
Essential to Know The CBCM must outline the protocols for complaint review in their CBCM SOPs for the sake of transparency. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 59
The Coordinator must answer three questions in order to refer the complaint: 1. Does the complaint potentially allege SEA? 2. Is there enough information to refer the complaint? 3. Who is the concerned agency?
All complaints must be assessed under strict conditions of confidentiality. The Coordinator, as the person designated to assess complaints to determine their nature and refer them to the appropriate agency (or Cluster/Sector/accountability mechanism if non-SEA) for follow up, must sign confidentiality undertakings.
1. Does the complaint potentially allege SEA? SEA complaints will be assessed to determine if they appear prima facie to have been made in good faith and allege conduct falling within the scope of the SEA definition. Such an assessment is necessary as most complaints received by a CBCM will be non-SEA in nature, but this assessment is not in any way a fact-finding procedure. This step is not to determine whether the SEA allegation is valid, but only to determine if the complaint constitutes an SEA allegation (as opposed to, e.g. a shelter or WASH complaint).
2. Is there enough information to refer the complaint? If there is not enough information to make a full complaint (for example, the alleged offender is not identified in any way, either individually or by affiliated agency) the Coordinator is responsible for getting further information to fill out the complaint if possible. The Coordinator should work with the concerned agency, if known, to determine how to proceed with the incomplete complaint. Under no circumstances should the CBCM withhold complaint information from a known agency, nor decide on its own to dismiss the complaint. Where the concerned agency is known or knowable, the Coordinator must notify it of the received complaint.
The CBCM does not carry out investigations, including interviews beyond necessary complaint intake or any evidence gathering, unless the concerned agency explicitly asks for follow-up assistance.
3. Who is the concerned agency? In order to refer the complaint the Coordinator must identify See the text box on the agency concerned with investigation. Primarily this will be “Engaging Implementing the agency which the alleged offender or SOC is working for. The Partners” in this Guide’s chapter on “Engaging answer may become more complicated when dealing with partner humanitarian agencies”. agencies and sub-contractors, however, or agencies that are not members of the CBCM. Regardless, the Coordinator must ensure that the complaint makes it to the unit within the proper agency that receives SEA complaints, based on inter-agency agreements in place in the CBCM to facilitate this referral.
Next steps For referral procedures, When the Coordinator receives an SEA allegation with enough see this Guide’s chapter on “Referring SEA allegations for information to refer to the identified agency, s/he must doso investigation and follow-up”. following outlined procedures. All SEA allegations will be directly forwarded by the Coordinator to the unit mandated with the investigative function within the agency where the Subject of the Complaint is employed to carry out further action, including 60 CHAPTER 4 Intake and Review of Complaints SECTION B. Structuring and Establishing an Inter-Agency CBCM
assessing the actionability of the complaint, investigating, and providing feedback tothe survivor/complainant in accordance with its internal policies.
A complaint that does not involve an SEA allegation, but rather a broader humanitarian assistance issue, will be forwarded to the relevant agency29 or Cluster/Sector coordinating that response (e.g. shelter, MEAL, etc.), so that the complaint can be transferred to the relevant agency for follow up. The For more on complaint records, see this Guide’s chapter on CBCM should record the receipt and referral/transfer of both “Monitoring and evaluation with SEA and non-SEA complaints for follow-up and monitoring. programme adjustment”.
The maximum processing time for a complaint before referral to the concerned agency should be as soon as reasonably possible and clearly stated in the CBCM’s SOPs. From the time the complaint is received, referral shall take no more than 48 hours. In the same vein, the CBCM must notify the complainant For more on referral and where possible (if not taken in-person) that his/her complaint feedback timeframes, see the has been received and how the CBCM dealt with it. Time frames Global SOPs on inter-agency for feedback from the CBCM to the complainant should also be cooperation in CBCMs in Annex 3. outlined in the CBCM SOPs.
Example The Evaluation of the IASC Pilot found that in both Project sites, complainants reported feedback arriving to them anywhere from 2 weeks to 4 months from the time they accessed the mechanism. Recognizing the sensitive nature of SEA, 4 months is too long for a survivor to wait to learn their complaint has been heard. While the CBCM has no direct control over how swiftly the concerned agency investigates the complaint or whether it takes adequate disciplinary measures, the CBCM is directly responsible for acknowledging that a complaint has been heard, which itself is a valuable piece of information to a beneficiary.
To ensure that the allegation was received by the appropriate unit in the concerned agency, the Coordinator should include with the referral a request to confirm receipt within two business days that 1) the allegation was received, and 2) that no further action is required by the PSEA/CBCM Coordinator.30 This request is a necessary step for the Coordinator, as acknowledgement by the concerned agency allows the CBCM closure of its own referral duties.
29 If the concerned agency is clearly indicated, reports should be transferred directly to them rather than through the relevant Cluster in order to minimize the number of persons involved in case handling, as some non-SEA complaints may be equally sensitive or have protection implications. 30 The procedure of requesting acknowledgement and encouraging the concerned agency to respond are contained in the Global Standard Operating Procedures that have been agreed upon between agencies at the Headquarters level. The Global SOPs encourage that the concerned agency send an acknowledgement of receipt – even if only a standardized form letter – within two business days. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 61 Recommendation To alleviate the clash, the CBCM should always inform the complainant of the effects of of the effects the complainant inform the clash, CBCM should always alleviate To to needed and the CBCM should include information on SEA Awareness-raising being made, it should are complaints false that the CBCM is concerned Where making the complaint, so that s/he can make an informed decision. The CBCM should, an informed make s/he can so that making the complaint, procedures develop laws, of local and in consideration agencies along with all relevant in is performed review and intake complaint so that handle such a situation to on how all complaints. the same manner for with enough information complaints the CBCM receives so that case, a complete make up. follow for agency the proper to refer to refer still the CBCM must However, concerned. the agency to these concerns report the to determine role of the CBCM it is not the because information, all complaint complaint. legitimacy of the
INTAKE AND REVIEW OF COMPLAINTS OF REVIEW AND INTAKE Challenge The principles of confidentiality and those behind The principles of confidentiality make complaints incomplete and/or Anonymous to be mechanisms complaint for is a potential There mandatory SEA reporting law/policies are both strongly strongly both are law/policies reporting SEA mandatory conflict may and of beneficiaries, the benefit held for process. and referral during the intake difficult. concerned agency the identifying vendettas. / reporting revenge for exploited
X X X 62
SECTION B. Structuring and Establishing an Inter-Agency CBCM CHAPTER 5 REFERRING SEA ALLEGATIONS FOR INVESTIGATION AND FOLLOW-UP
Best Practice In an inter-agency CBCM, a strong allegation referral system is necessary in order to ensure that humanitarian organizations receive all SEA allegations so they can take appropriate action, and to strengthen collective accountability.
The process of referring SEA allegations to the agency employing the alleged offender for potential investigation and follow through is one of the most important roles of the CBCM. Clear procedures for communication between the CBCM and the investigating agency during referral must be agreed upon and clearly outlined in the CBCM Standard Operating Procedures. In complaints referral, the CBCM is accountable both to the affected community and to the CBCM member agencies, because incomplete or mismanaged referrals will render the CBCM ineffective and leave the concerned agency unable to fully investigate SEA allegations against its own staff.
If a referral system is not in place:
• The affected population will lose faith in the system and cases will go unreported. • Reported cases will go unaddressed and no disciplinary/prevention action will be taken, and • Organizations cannot be accountable to affected populations.
Agencies’ role Before an agency can commit to joining an inter-agency complaints mechanism, it is absolutely vital that it have its own internal system for handling complaints. Otherwise when it receives complaints from the CBCM it will not have the infrastructure to proceed with investigation, let alone take appropriate disciplinary action. For an agency to investigate without standard procedures is a danger both to the rights of the alleged survivor and the due process rights of the alleged offender. Internal complaint mishandling will also reflect poorly onthe credibility of the CBCM which referred the complaint and all the other participating agencies, jeopardizing community buy-in to the mechanism. Therefore, established internal capacity to receive complaints is necessary before joining an inter-agency CBCM. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 63
Essential to Know Internal agency channels for processing a complaint must be established, accessible, consistent, and most importantly understood by all levels of staff. While many agencies have Codes of Conduct describing prohibited behaviours, it remains unclear to many staff what their own internal processes is for reporting a complaint when that Code is violated, or what steps should be taken if information is received from an outside source regarding staff misconduct. Just For more on the content of as important, agencies must instruct their staff on how to staff trainings, see this proceed if they learn of complaint information against staff Guide’s chapter on from another participating agency. Information on reporting “Humanitarian staff: Training and capacity-building. channels should also be shared with implementing partners.
Internal mechanisms for managing complaints will vary from agency to agency, depending on size, structure, and other organizational aspects, but generally must feature these core elements: • Clearly identify the roles of staff involved in the complaint management process. For most organizations the body that will ultimately handle the case is the agency’s investigative unit, but the path to get a complaint to that unit may vary among agencies. • Make explicit the responsibilities for managers when a complaint has been reported, the duties of any persons involved in investigation of complaints, and provide guidance for managers and/or identified CBCM Focal Points for receiving complaints. • Have clear communication protocols for the management of complaints, i.e. what information will be shared with the complainant and/or survivor and the Subject of the Complaint. Before implementing the CBCM, the procedures for inter-agency cooperation to receive complaints, refer victims for assistance, and refer SEA allegations to relevant agencies must be clearly established so that responsibilities and protocols are clear and unquestioned. These SOPs must complement the internal policies and procedures of the participating agencies and any relevant local regulations, as well as identify victim referral pathways on site.
Essential to Know Using the global SOP template: Harmonizing cooperation procedures has been one of the greatest challenges in implementing inter-agency CBCMs, because internal agency procedures vary and methods for cooperation are unclear. When drafting procedures for the CBCM on complaint handling, referral, and follow-up, the stakeholders should use the recently endorsed Global SOPs on inter-agency cooperation in CBCMs as a template. The Global SOPs save field teams from having to define new procedures by providing pre-agreed upon procedures for cooperation that align with agencies’ internal policies and can be minimally tailored to adapt to the local context.
Coordinator's role When a complaint is made to the CBCM, the PSEA/CBCM Coordinator is responsible for making the referral to the appropriate agency’s investigation unit through a Complaint Referral Form (see the IASC Model Complaint Referral Form in Annex 4). S/he does not conduct any sort of assessment of the viability of the complaint – that decision is entirely the role of the concerned agency. Rather, s/he determines whether the complaint conceivably alleges SEA, identifies the concerned agency, and makes the referral. For more on the complaint review and The Coordinator must not withhold any referrals from the referral responsibilities of the agency concerned, or the safety of the complainant and Coordinator, see this Guide’s chapter the integrity of the CBCM may be jeopardized. on “Setting up the CBCM infrastructure”. 64 CHAPTER 5 Referring SEA Allegations for Investigation and Follow-Up SECTION B. Structuring and Establishing an Inter-Agency CBCM
Information The CBCM must forward all SEA allegations directly to the unit responsible for investigations within the agency where the alleged offender or SOC is employed (i.e. the “concerned agency”). The CBCM should identify this unit and provide contact information for each CBCM member agency, as well as for non-CBCM member agencies operating in the same humanitarian response site.
Handling SEA allegations under different fact patterns
• Where the complainant is anonymous, but the Subject of the Complaint and the agency where s/he works is known: The CBCM will forward the allegation to that agency for follow-up. • Where the Subject of the Complaint is unknown, but the complainant and the concerned agency are known: The CBCM will forward the allegation to that agency for follow-up. • Where the complainant is known, but neither the identity of the Subject of the Complaint nor his/her employing agency is known: CBCM stakeholders must decide whether the PSEA/CBCM Coordinator (or other delegate) may interview the survivor/complainant in order to solicit more details about the allegation, keeping the best interest of the survivor as a priority, and the need to minimize interviews in order to avoid re-traumatization and potential contamination of evidence. This is a good issue to discuss pre-implementation of the CBCM, so that agreed- upon procedures are in place before the issue arises. • Where the identity of the complainant, the identity of the For guidance on handling Subject of the Complaint, and his/her employing agency are all rumours, see this Guide’s unknown: chapter on “Safe and The CBCM stakeholders must decide on a safe and accessible channels for effective procedure to inquire with community members about reporting SEA”. SEA “rumours.”
Other referral scenarios
• Transferring non-SEA complaints: A CBCM must have a system in place for transferring non-SEA complaints to the relevant agency/structure. The CBCM should expect to receive complaints on a wide variety of humanitarian assistance issues (shelter, WASH, etc.), or on cases of sexual exploitation or abuse by a person other than humanitarian staff (e.g. family member, teacher, etc.), regardless of the intended scope of the CBCM. There must be set procedures for ensuring those complaints make it to the correct parties (e.g. the Cluster/ Sector coordinating that response, or the relevant agency if clearly identified). CBCM stakeholders must engage and consult with relevant clusters/sectors/agencies, including relevant investigative units, to coordinate how non-SEA complaints will be transferred to the appropriate actors, who should also be consulted on the CBCM SOPs. The SOPs should be explicit on its procedures for handling non-SEA complaints, and Focal Point training on complaint handling should clearly differentiate SEA from non-SEA procedures. • Referring allegations outside the CBCM: A CBCM also needs to have established procedures for referring complaints made against actors who are not employed by a participating agency (e.g. an implementing partner), or are staff outside the humanitarian sphere (police, army, peacekeeping missions, government staff, etc). A CBCM should attempt to agree upon referral procedures with all potential bodies in the implementation site before such cases arise, but should expect some resistance against coordination from structures that have not committed to the CBCM. • Handling anonymous complaints: CBCM stakeholders must consider the legal difficulties for the concerned agency of engaging in an investigation or disciplinary process in cases where the survivor/complainant is not willing to be identified. The PSEA/CBCM Coordinator and participating agencies will need to come to agreement on how to handle this scenario, as it will require a balance of mandatory reporting laws (where applicable) and the wishes/ confidentiality rights of the complainant/survivor. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 65
Example The Democratic Republic of the Congo PSEA CBCM proactively reached out and approached police and army forces in the camp to make them aware of the CBCM and its function. After outreach by the project, the police requested training on PSEA from the CBCM.
Tools
• Complaint Referral Template: A standard form to refer allegations among agencies. It provides the background of the allegation, information on the agency of concern, and information available on the Subject of the Complaint. (See sample in Annex 4). • Complaint Handling Flowchart: A map to guide and explain the complaint intake and referral process. (See sample in Annex 4). • The IASC Model Complaints and Investigation Procedures and Guidance Related to SEA (2004) serves as a template for how organizations can gather the necessary information when there is an allegation of SEA against a staff member. It also includes recommended practices in complaints handling that – modified for inter-agency coordination – can help stakeholders in designing the CBCM.
CBCM’s role after referral
After the complaint is referred, it is the sole responsibility of the concerned agency to carry out further action, including assessing the actionability of the complaint, investigating if warranted, and providing feedback to the survivor/complainant according to its internal policies. The CBCM plays a supportive role for the concerned agency, if requested, and acts as a liaison for continued communication with the complainant/survivor. The concerned agency will decide whether an investigation into the allegation is warranted, and conduct such an investigation according to its own procedures.
Follow-up assistance The CBCM does not conduct investigations. However, it can offer assistance at the request of the investigating agency. Smaller NGOs and/or CBOs may lack the internal capacity to carry out SEA investigations, or investigations that meet international standards. In such cases, these CBCM member agencies may decide to develop a pool of trained SEA investigators, from which they can either 1) request to investigate in their place, or 2) request to assist in their investigation, building the agency’s own capacity.31 If such a pool is used, investigators must be thoroughly trained on commitments and procedures in PSEA, both internationally and the specific policies of the CBCM participating agencies.
Another option for smaller agencies or NGOs lacking the capacity to investigate internally is to access a standing roster of trained PSEA investigators, several of which are managed by agencies and groups (e.g. CHS Alliance). Agency heads in-country should make themselves aware of the available investigation resources. The CBCM can encourage agencies touse existing rosters and/or brainstorm additional external investigation options at stakeholder meetings.
31 In certain circumstances, a government agency may also request to be part of the Investigators Pool. This occurred in the CBCM in North Kivu, Democratic Republic of the Congo. 66 CHAPTER 5 Referring SEA Allegations for Investigation and Follow-Up SECTION B. Structuring and Establishing an Inter-Agency CBCM
Example The Democratic Republic of the Congo Optional Investigator Pool: At the Pilot Project site in the DRC, the CBCM conducted a needs assessment survey, and uncovered the lack of internal agency investigative capacity. With agency agreement, the mechanism set up the Investigators Pool as an optional resource for agencies that lacked internal capacity to carry out SEA investigations. Agencies could choose whether to request assistance from the Pool on a case-by-case basis, and could work alongside the investigators to learn and build their own capacity.
Tools Core Humanitarian Standard on Quality and Accountability (CHS) Alliance conducts training workshops for investigators, with a specific focus in PSEA investigations. The group also maintains a list of trained investigators that can be deployed at the request of agencies. See: www.chsalliance.org/what-we-do/capacity-strengthening. UNOPS and UNHCR also keep such lists.
Investigation best practices - Advocacy
While the CBCM has no authority over how an agency conducts its investigation, it has a strong accountability interest in advocating that CBCM member agencies follow at least the minimum international standards. Such standards are based on pre-existing agency commitments. For example, the CBCM should advocate that internal agency policies explicitly include a minimum response time from the moment a case is referred to the opening of an investigation where one is warranted. The prevailing standard is that investigations begin within 3 months,32 but internal procedures can and should mandate that investigations begin sooner.
Information In the face of a comprehensive assessment on UN peacekeeping, Secretary- General Ban Ki-Moon announced a massive restructuring of the system by the end of 2015, which will include the establishment of "immediate response teams" to gather evidence within 72 hours of a sexual misconduct allegation. Agencies’ internal policies should mandate a similar response time.
Timeframes for concluding an investigation should similarly be respected: In 2015, the UN Secretary-General adopted a six-month timeframe for UN investigative entities to conclude investigations into SEA, with is to be shortened to three months where “circumstances suggest the need for greater urgency.”33 Non-UN agencies should be encouraged to follow the same investigation timeframes.34 Best Practices and existing commitments in investigations also
32 MOS-PSEA (2012) #8, Indicator 5. 33 United Nations General Assembly “Report of the Secretary-General on Special measures for protection from sexual exploitation and sexual abuse” A/70/729 (16 February 2016) paras. 50-51; reinforced in his oral report to the United Nations Security Council, 10 March 2016; and urged upon Member States in United Nations Secretary Council Resolution 2272, S/ RES/2272 (11 March 2016). 34 Both UN and non-UN agencies have committed to “Investigate allegations of sexual exploitation and abuse in a timely and professional manner” (Statement of Commitment (2006) #6). PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 67 include respecting the due process rights of the Subject of the Complaint, using investigators that are experienced and qualified professionals trained in sensitive investigations35 and the CBCM principles (confidentiality, safety, etc.), and taking appropriate disciplinary action in cases where SEA has been proven.36
Tip Although not part of the investigation, the CBCM can advocate that agencies follow the ICVA Building Safer Organizations Guidelines (or similar) and train their staff to be familiar with international standards in investigations.
Feedback to the CBCM From the moment the complaint is received by the concerned agency, it is highly recommended that the agency share case status updates with the CBCM. While the CBCM has no authority to demand the agency share internal information, it should advocate to be notified of basic developments such as: • When the complaint was received by the investigative unit;37 • When/whether an investigation began or the complaint was determined an insufficient basis to proceed; • When the investigation concluded; • The outcome of the investigation, and • When/whether outcome (or any information) was provided to the survivor, or if providing feedback is prohibited by the investigating agency’s internal policies.
Many agencies have committed to sharing such information,38 although the practice is limited. For the sake of transparency and accountability to affected populations, agencies’ investigative units are strongly encouraged to share anonymized statistics on SEAcases reported and/or investigated, and disciplinary measures taken if any, with the CBCM at the site where the incident allegedly occurred. Communication between the concerned agency and CBCM is crucial for effective case handling.
35 MOS-PSEA (2012) #8, Indicator 4. 36 MOS-PSEA (2012) #8, Indicator 6: “Substantiated complaints have resulted in either disciplinary action or contractual consequences and, if not, the entity is able to justify why not.” 37 Some agencies’ procedures require SEA reports to be submitted to the head of the field office, while some go directly to the investigative unit at Headquarters. For the former, both the date that the allegation is received by the head of the field office and when it is forwarded to Headquarters should be conveyed to the CBCM. 38 Statement of Commitment (2006) #9: “Regularly inform our personnel and communities on measures taken to prevent and respond to sexual exploitation and abuse. Such information should be developed and disseminated in-country in cooperation with other relevant agencies and should include details on complaints mechanisms, the status and outcome of investigations in general terms, feedback on actions taken against perpetrators and follow-up measures taken as well as assistance available to complainants and victims.” The Global SOPs on inter-agency cooperation in CBCMs that have been agreed upon between agencies at the Headquarters level also encourage and provide support for providing basic feedback to the CBCM. 68 CHAPTER 5 Referring SEA Allegations for Investigation and Follow-Up SECTION B. Structuring and Establishing an Inter-Agency CBCM
Information Because SEA cases involve extremely confidential and sensitive information, the need for inter-agency information sharing and review will need to be balanced with internal agency data protection policies and the survivors’ rights to confidentiality and anonymity. The CBCM should be prepared for information-sharing to differ greatly between participating agencies, and must convey this to complainants. The commitment to sharing such information should be clarified in the pre-implementation inter-agency discussions, based on agreed protocols in the Global SOPs, and made explicit in the CBCM SOPs.
Based on status updates shared by the investigating agency, the CBCM should monitor case progress to the extent possible to ensure that the complaint is followed-up on. It should maintain current records on each open complaint, facilitate the flow of information to the complainant/survivor, and remain available to assist the concerned agency throughout the next steps upon request.
Be Aware Lack of transparency to affected populations, especially to complainant/ survivors, during case investigations is an ongoing concern. Leaving complainants to feel as if their complaint has gone unaddressed is an accountability failure and will undermine confidence in the CBCM and harm beneficiary relations with all humanitarian agencies operating on site. The CBCM should continually advocate for investigating agencies to share case status information and provide feedback to interested parties. Meanwhile, to maintain beneficiaries’ faith in the CBCM, representatives should attempt to manage complainant/survivor expectations by communicating that the level of feedback they will receive on the outcome of a case is dependent upon the internal policies of the investigating agency.
Tool Using a complaints database (for example, the Common Reporting Platform developed under the IASC’s CBCM Pilot Project) can help to maintain information on the allegations that have been referred and whether they are ongoing or closed – but not on disciplinary action taken.
Criminal acts of SEA
When an incident of SEA constitutes a criminal offense, it is the decision of the investigating agency to refer cases to the proper law enforcement authorities in conformity with the agency’s internal procedures. The decision of the agency to refer a case to the national authorities should take into account the consent of the survivor/complainant, whomay not wish to involve the local authorities. However, in some instances, the state and local governments in which the CBCM is situated may also have mandatory reporting laws related to SEA incidents. It is the responsibility of the CBCM Focal Points to be up-to-date on relevant national laws and to incorporate them into CBCM procedures and information packages for survivors/complainants, as appropriate. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 69
Be Aware The relationship between national mandatory reporting laws and SEA complaints to a CBCM is an issue that still needs exploration.* CBCM stakeholders will need to be aware of the need to balance referral protocols with national laws, the policies of all concerned parties, and the wishes of the complainant/survivor. This process will be ad hoc until global guidance is provided.
* In the 2015 Statement on PSEA, the IASC Principals committed to develop and share best practices on referrals to national authorities. The process is in the beginning stages at the time of writing this Guide.
The CBCM must also have clear procedures in place for how to assist the complainant, upon his/her request, in filing charges with local law enforcement if a crime is involved, and should consult with UNDSS on drafting these procedures. Given the gravity of SEA and the vulnerable nature of SEA survivors, the complaint mechanism should be prepared to offer legal and psychosocial assistance if the charges are brought. In the event that a survivor wishes to have legal counsel, CBCM representatives will refer the survivor to existing legal services (i.e. through GBV programmes).
Essential to Know
While it is the concerned agency’s decision For more on legal assistance for whether to turn the Subject of the Complaint over to survivors, see this Guide’s chapter national authorities, survivors have a separate right to on “Ensuring quick and appropriate assistance for complainants and seek legal aid through victim assistance. victims”.
Feedback to survivors – closing the feedback loop
In addition to sharing status reports with the CBCM, investigating For more on the assistance agencies have a responsibility to notify the complainant in a owed to victims, see 39 safe and timely manner of the outcome of their investigation. this Guide’s chapter on Feedback to complainants/survivors is a two-fold responsibility: “Ensuring quick and appropriate assistance for it is part of the required outcome of agency investigations complainants and victims”. under international commitments, and it is part of the victim assistance package.
Information Timely and thorough response to complaints is also a meaningful part of building trust and buy-in for the CBCM within the community. If the concerned agency proceeds with a competent and thorough investigation but does not inform the complainant/survivor it ever began any investigation, that trust may still be lost. Likewise, if an internal SEA investigation takes one year to complete, and the complainant/survivor is only notified when the investigation is finished, faith in the utility of the CBCM has already been lost. The CBCM has a strong interest in advocating for timely status updates to share with survivors.
39 MOS-PSEA (2012) #8, Indicator 5: “Investigations are commenced within 3 months and information about outcome is shared with the complainant”. Statement of Commitment (2006) #9: “Regularly inform our personnel and communities on measures taken to prevent and respond to sexual exploitation and abuse. Such information should … include ... the status and outcome of investigations in general terms, feedback on actions taken against perpetrators and follow-up measures taken”. 70 CHAPTER 5 Referring SEA Allegations for Investigation and Follow-Up SECTION B. Structuring and Establishing an Inter-Agency CBCM
Example Kenya inter-agency mechanism: An evaluation of the programme reported a lack of trust and confidence in the system because cases are not seen to be resolved, either by the complainant or the community at large. “This perpetuates the feeling of vulnerability among the beneficiaries who cite fear of retaliation as rationale for limited reporting, and among national aid workers who feel that the Code of Conduct can be used to implicate them through malicious reporting.”*
* International Rescue Committee, “Final Evaluation: Preventing Sexual Exploitation and Abuse (PSEA) Project (September 2007), Nairobi, Kenya.
Tip Feedback Idea: Yearly PSEA Reports: One way to inspire trust in both the CBCM and operational agencies is for an agency’s Headquarters to produce a report at the end of each calendar year about SEA complaints and how these were handled by the agency. The report shows that the agency is acknowledging its SEA issues, provides accountability to affected populations, and allows a monitoring and learning function. This report should not reveal any confidential information or hints that could reveal the identity of complainants, survivors, or perpetrators.
It is the role of the CBCM to facilitate the feedback exchange. The CBCM may serve as an investigating agency’s point of contact for delivery of feedback to the complainant/survivor, which must be delivered in a safe and ethical manner acceptable to the recipient. Ideally, feedback should be given in writing to avoid confusion and/or differing interpretations of the feedback. CBCM SOPs should outline how the responsibility for communicating information will be shared between the investigating agency and the interested party(ies), in accordance with the investigating agency’s internal procedures.
Tip The CBCM may wish to create templates for providing feedback to both the survivor/ complainant and the Subject of the Complaint, respectively (see sample templates in Annex 4). Notifying the Subject of the Complaint is solely the responsibility of the investigating agency, not the CBCM. However, the feedback template may be useful for national NGOs and CBOs which are developing their internal PSEA and investigation policies. The CBCM should also remain accessible to the complainant/survivor to answer questions as needed.
Both CBCM and agencies’ procedures should be clear on the For more on necessary feedback that a complainant can expect and the timeframe disclosures to complainants, for receiving such feedback. The CBCM is responsible for see this Guide’s Chapter on “Intake and Review of communicating this information to the complainant upon Complaints”. complaint intake. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 71
Information In inter-agency CBCMs, the level of feedback provided on the investigation process and outcome will vastly vary according to the agency conducting the investigation, as per its internal policies and procedures on case handling anddata protection. The CBCM should be candid with complainants about when level of feedback they can expect, while advocating with agencies to provide feedback as per international standards and commitments. 72 CHAPTER 5 Referring SEA Allegations for Investigation and Follow-Up SECTION B. Structuring and Establishing an Inter-Agency CBCM Recommendation Trainings for all participating agency staff must include instruction on reporting complaints complaints on reporting instruction must include staff agency all participating for Trainings on the CBCM’s referral, in complaint on their roles Points Focal agency The CBCM should train (e.g. police are not CBCM members that organizations of staff against complaints anticipate To in down upon and written be agreed must and feedback referral complaint for The procedures access have who process. All actors referrals be made a high priority in the must Confidentiality within SEA allegations investigating commence to made the commitment have agencies Most and referral pathways for their agency, and any person with a PSEA role should have their should have role with a PSEA person and any their agency, for pathways and referral Reference. Terms of explained in their fully responsibilities all agency so that of each participating procedures and on the basic complaint pathway, referral process. of the referral a global view have Points Focal the CBCM agencies and sub-contractors) humanitarian or non-participating forces, and army of the CBCM aware are they that to ensure to these entities reach out should proactively referred receive to these entities from agreement ideally receiving linkages, establish and to staff. their against lodged allegations procedures the reflect of the CBCM. These should the implementation before the CBCM SOPs of all CBCM member and include the responsibilities in the Global SOP template forth set clear and establish providers, e.g. victim assistance stakeholders and relevant agencies referrals. for allegation timeframes the number of people with agreements, confidentiality sign must data complaint sensitive to to the reports statistics from be eliminated must data and all identifying be limited, access must possible. full extent Where manner. professional in a timely and will investigate they that and beyond 3 months, these commitments. respect agencies that the CBCM should advocate necessary,
REFERRING SEA ALLEGATIONS AND FOLLOW-UP AND ALLEGATIONS SEA REFERRING Challenge referring allegations and their agencies’ referral pathways. referral and their agencies’ allegations referring policies or no PSEA have that of agencies staff against received is not a member of the CBCM, in place. If the agency processes in that person/unit an identified have not even may Coordinator to. refer to agency too long. take can by the CBCM referred is and when the allegation a suggestion from complaints if the CBCM retrieves example, For a and refer review to 2 weeks and it takes twice a month, box before for a full month be waiting can the complainant complaint, upon. being acted starts his/her complaint be difficult during can of the Complaint) complainant/Subject across information the complaint of referring the process organizations. standards by the impacted is directly effectiveness although it’s investigations. their conduct which its stakeholders under Staff of participating agencies may lack clarity on their own roles in own may lack clarity on their agencies of participating Staff are when allegations complicated becomes process The referral incident reports an SEA complainant when a The time between for all individuals (survivor/ confidentiality Maintaining process, in the investigation or role CBCM has no authority over The
X X X X X PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 73 * Recommendation Consistent feedback from the CBCM can help restore good faith if the investigation process if the investigation faith good help restore the CBCM can from feedback Consistent of holding perpetrators method strong is a for criminal acts of SEA While prosecution mandatory regarding policies clarity on their institutional should get CBCM member agencies for exchange in his/her allegation has changed the complainant that In the instance CBCMs should advocate with their participating agencies to share case status updates as agreed as agreed updates status case to share agencies participating with their CBCMs should advocate upon in the Global SOPs, and provide basic levels of feedback upon the outcome of the case of the case upon the outcome of feedback basic levels and provide upon in the Global SOPs, formally to commit to agencies encourage should strongly They with the survivor/complainant. taken. on the action information to provide and allegations of referred receipt acknowledging takes a long time. The CBCM should set up a procedure to acknowledge receipt of a complaint complaint of a receipt to acknowledge up a procedure a long time. The CBCM should set takes channel when the using his/her preferred complainant notify the and to immediately, but this need to complaints, in-person This is not an issue for (Note: is referred. complaint reporting channels.) as boxes of using suggestion a downside does illustrate feedback provide not agency, investigating role of the authorities is the national to referral accountable, of strengthening in advocating on request, agencies, the CBCM. The CBCM should assist for prosecution. cases refer to commitments international laws. reporting complaint possible. The extent to the followed still be shall procedures referral compensation, to has an obligation the agency and once received agency, the concerned to be referred must may not be decision even if an administrative warranted is investigation whether determine without survivor testimony). of wrongdoing not be enough evidence may possible (e.g. there
REFERRING SEA ALLEGATIONS AND FOLLOW-UP AND ALLEGATIONS SEA REFERRING Challenge too long from the time of the referral. Factoring in the referral referral in the Factoring referral. the time of long from too will complaint their faith that can lose complainant the timeframe, be addressed. the or to survivors to updates status and case feedback provide was initially the allegation that CBCM, including acknowledgment received. authorities is unclear and unstandardized. national to change the issue or “resolve” to compensation e.g. accepting the CBCM and referral compromising their statements, offenders. of SEA the removal as jeopardizing as well process, brings the issue also arises if the survivor never A monitoring of “traditional favour place, in the CBCM in first to complaint resolution.” dispute When agencies do acknowledge receipt of complaints, it can take take it can of complaints, receipt do acknowledge When agencies do not regularly agencies that shows experience CBCM past to SEA criminal acts of refer to agencies / staff of The obligation settlement, amicable for a complaint drop choose to may Survivors
The IASC Statement on PSEA (2015) commits to strengthening investigation and protection responses to SEA allegations, including by developing and sharing best practices on referring SEA cases referring on practices best developing and sharing by including SEA allegations, to responses protection and investigation strengthening to (2015) commits on PSEA The IASC Statement Workplan. has included this activity in its 2016-2017 Team on AAP/PSEA Task authorities. The IASC competent to criminal misconduct arise to may that X X X X * 74
SECTION B. Structuring and Establishing an Inter-Agency CBCM CHAPTER 6 ENSURING A SUSTAINABLE MECHANISM
Best Practice The consideration of how to keep the CBCM sustainable should underlie all major decisions in establishing and maintaining the mechanism. Without this consideration a CBCM will lose its positive momentum in the face of personnel and funding changes, and jeopardize the trust and safety of the affected population.
Why sustainability is a concern for CBCMs
• A sustainability plan is necessary to withstand inevitable changes such as staff turnover, agencies leaving an operational site and funding constraints. • Humanitarian agencies are not intended to remain operational in one site long term, so there must be an exit strategy to handover the CBCM when they leave. Local organizations and the community need to have ownership to sustain the CBCM after larger organizations phase out. • A PSEA-CBCM, if well-run, inspires high levels of trust within the community it serves. Closure of a well-established complaint management system may harm humanitarian relations with the community.
Sustainability barriers
Barriers to keeping a CBCM running have been referenced throughout this Guide: a CBCM that is not fully integrated into the community, has inaccessible reporting channels, or provides inconsistent/no feedback to complainants will fail in the long term due to lack of use by potential complainants.
In addition, one of the largest barriers to sustaining PSEA momentum in a site is the regular turnover of agency staff, especially CBCM Focal Points. Due to high staff turnover rates in the field, CBCMs face the ongoing issue that member agency staff become trained in PSEA and experienced in CBCM procedures, then leave the site. When trained Focal Points leave, they take their PSEA experience with them and the agency they represent starts over with a new PSEA-CBCM representative. This lack of continuity is detrimental to both the CBCM’s progress and the agency’s institutional knowledge of the PSEA issues on site.
Information Highly active agency CBCM Focal Points can be the driving force behind PSEA activities in a response site. Turnover of proactive staff members may result in on site activities left abandoned if no one steps in to take over. In the worst case scenario, entire programmes can be left stagnant (complaint boxes unopened, complaints sitting on a desk, etc.) upon the loss of one or two key individuals. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 75
Another large obstacle to sustainability is the prevalent lack of communication between agencies. Inter-agency cooperation can be extremely difficult to achieve, even after agencies have agreed to work together. At the interpersonal level, many CBCM issues can be solved or lessened by agency staff working together informally (e.g. other agency Focal Points noticing and responding when one member is not participating). At the institutional level, many field offices are informed by their Headquarters of commitments to engage in inter- agency activities on PSEA, but are not provided guidance on how they can practically do so given diverging institutional policies and the need to keep internal agency information private. Without consensus on methods of cooperation in joint complaint handling, CBCMs face challenges on securing agency commitments to conduct funding and/or PSEA activities, as well as misunderstanding from local partners. Sustainability solutions
Sustainability is a thread that runs throughout all the other practices in this Guide, because following good practices can generally help make a CBCM effective, reinforcing its sustainability. Many of the sustainability barriers can be broken down using effective community consultations and responding to community needs, so that beneficiaries trust and use the CBCM freely. There are additional practices, however, that a CBCM can encourage to ensure that the mechanism continues to provide effective services in a site.
Independent PSEA/CBCM coordinator Having one person on site to act as an independent PSEA/CBCM Coordinator is one of the strongest steps a CBCM can take to ensure sustainability. This actor will coordinate all PSEA work on site, conduct regular meetings with member agencies, act as a liaison between agencies and the host government(s), review and refer/transfer complaints, and generally keep PSEA momentum moving forward. Given that PSEA responsibilities, including developing complaint mechanisms, have recently been reinforced 40 for the Humanitarian Coordinator role, the HC should be fully For more on the complaint engaged on the appointment of the PSEA/CBCM Coordinator. review role of the Coordinator, see this Guide’s The Coordinator acts as a champion behind the programme, to chapter on “Setting up the foster closer working relations and information sharing. S/he will CBCM infrastructure”. be responsible for liaising with the HC and engaging key actors in plans to establish the CBCM – such as the Humanitarian Country Team and the IASC Task Team on AAP/PSEA – in order to advocate for high-level commitment and to ensure that global- level forums maintain a current understanding of country-based activities.41 The Coordinator can be placed at the national level within a country, or seated in the operational site, at the discretion of the Steering Committee.
Tip Because the PSEA/CBCM Coordinator acts as a point of connection between all PSEA actors, s/he must establish a strong working relationship with staff of the participating agencies, and should inform global forums addressing PSEA (e.g. the IASC Task Team on AAP/PSEA) of CBCM efforts and challenges at the country level.
40 IASC Statement on PSEA (2015). 41 One of the benefits of apprising the IASC AAP/PSEA Task Team of country efforts to establish an inter-agency CBCM is that operational agencies’ headquarters will be informed of the CBCM and can advocate with their Heads of Office at country level to actively participate in the mechanism. For more on the IASC Task Team, see the Spotlight on the IASC AAP/PSEA Task Team in this Guide’s Chapter on “Engaging Humanitarian Agencies.” 76 CHAPTER 6 Ensuring a Sustainable Mechanism SECTION B. Structuring and Establishing an Inter-Agency CBCM
Given the importance and time-sensitive nature of the Coordinator’s roles – especially review and referral of complaints – the Coordinator must be a permanent dedicated position, and not a function in addition to other job duties. As the Coordinator is the only person assessing complaints for referral, safeguards must be in place for when s/he is on R&R or leaves the position, so that complaints are not left waiting for review, which could result in security issues for victim/complainants and would damage the community trust in the CBCM. These protocols must be agreed upon my CBCM member agencies and described in CBCM SOPs and the Coordinator’s TORs. The TORs should also include that the position be held by a sufficiently senior staff member who is well-trained in PSEA, data protection, victim assistance, and confidentiality measures.
One function of the PSEA/CBCM Coordinator can be to act as the site’s knowledge base on SEA issues. To combat the knowledge-loss caused by high staff turnover among CBCM member agencies, agency Focal Points leaving their posts can debrief with the Coordinator in order to capture that institutional knowledge. The Coordinator can then brief the Focal Point’s replacement upon arrival to the field, so that knowledge and experience are passed on successively. This debriefing will be in addition to the Focal Point’s responsibility to continually update his/her agency on PSEA-CBCM progress, which should be included in the Focal Point TORs.
Tip The PSEA/CBCM Coordinator position is not required for agencies to follow the practice of briefing/debriefing their staff on PSEA experience. Using the Coordinator is an advisable addition so that one person has a holistic view of the issues on site, but agencies are advised to lessen the knowledge lost through staff turnover, regardless.
“Trusted Person” reporting system - example from the Thailand CBCM While the agency CBCM Focal Point system has been the standard structure, and agencies are committed to set up these roles,42 the Focal Point system is not necessarily the only sustainable model for receiving complaints. In the face of overburdened staff and high turnover rates, the Thailand CBCM43 attempted a system that encouraged beneficiaries to report to any trusted staff member on site, who were in turn trained to report to the CBCM’s Steering Committee. While this system required additional safeguards to ensure confidentiality, the CBCM found that broadening the category of staff to which beneficiaries could report was a solution to staff turnover in a protracted situation.
Mainstreaming PSEA Mainstreaming PSEA is the strategy or practice of bringing SEA prevention and response into the “mainstream” of an organization’s culture, operations, policies and procedures. The CBCM should advocate that CBCM stakeholders incorporate PSEA into the management and programmatic systems of their entire organization. SEA is a cross-cutting issue and therefore prevention should be integrated into all aspects of humanitarian response. Some examples include:
• PSEA policies and activities are included in regular field audits. • Agencies’ headquarters identify resources they can provide to PSEA efforts at
42 Secretary-General’s Bulletin on SEA (2003),MOS-PSEA (2012) #3. 43 Committee for the Coordination of Services to Displaced Persons in Thailand (CCSDPT), Preventing Sexual Abuseand Exploitation in the Thai/Burma Border Refugee Camps. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 77
the field level, and country directors and managers receive support from senior management for maintaining an environment in which SEA is actively discouraged. • Programme development staff and programme managers design and implement programmes in ways that reduce SEA risk, and ensure that project proposals demonstrate how PSEA will be taken into consideration and implemented in each technical sector. • Senior managers develop key messages to share with their teams during each phase of the implementation of new PSEA policies. • PSEA is included in job descriptions and job evaluation criteria, particularly for senior managers.
Tools Mainstreaming tools by InterAction. These tools are intended for agency self- assessment of how well it has mainstreamed PSEA. The CBCM can aid agencies by sharing these tools and/or using them to develop a locally targeted version. • SEA 201: Mainstreaming: A 35-minute module offering guidance on fundamental elements necessary to mainstream the prevention and response to SEA in agencies. www.interaction. org/courses/sea201/index.html • Self-Audit – Audit Your Organization Against the IASC Minimum Operating Standards for PSEA: Gives agencies measurable objectives, indicators, etc., to assess how well their organization has followed the MOS-PSEA.
Mainstreaming is an effective means for promoting project sustainability, so long as itis implemented consistently by partner agencies and communicated to project beneficiaries. One common risk with mainstreaming PSEA is that activities and responsibilities are not rooted or monitored in any one place - i.e. if one person or team is not specifically designated to focus on SEA, it most likely will not be monitored. This is why the CBCM agency Focal Points are key positions, and why these positions must be sufficiently senior, to ensure that policies are up to date, that mechanisms are functioning, and that all staff know their PSEA responsibilities. The recent incorporation of PSEA responsibilities in the Humanitarian Coordinator position will also help maintain oversight of the issue.
Resourcing CBCMs Agencies need to supply CBCMs, both monetarily and with human resources. Lack of resources has been a major gap and a sustainability failure in past mechanisms. A sustainable resource plan is critical in CBCMs, because external funding for PSEA-related initiatives is inherently difficult to secure, given that SEA is a staff misconduct issue. Therefore, funding and/or in-kind contributions from humanitarian agencies will need to be discussed and solicited in order to keep the CBCM functioning. It must be an ongoing priority of the CBCM to continue advocating with participating agencies to meet the resource requirements for maintaining a CBCM.
Essential to Know At a minimum, a CBCM needs: • Sufficient financial resources and/or in-kind contributions to hire, maintain reporting channels, run awareness and training events, and provide victim assistance if the existing service providers do not offer the necessary services. • Sufficient human resources to process and refer complaints in a timely manner, and to devote time and energy to the CBCM, including reporting back to member agencies and participating in trainings. 78 CHAPTER 6 Ensuring a Sustainable Mechanism SECTION B. Structuring and Establishing an Inter-Agency CBCM
Funding for capacity-building: A CBCM must have sufficient resources to train agency CBCM Focal Points, in order to transfer institutional knowledge and guard against the effects of staff turnover. A CBCM cannot be allowed to fail upon the loss of one or two active focal points – a method of transferring PSEA knowledge must be both embedded and funded within the mechanism.
While a CBCM is designed to incorporate existing complaints and assistance structures where possible, there are PSEA activities that need continuous financing, i.e. coordination, managing the CBCM system itself, and prevention activities – particularly training. It is the responsibility of participating agencies to fund the CBCM.44 Designing and implementing a CBCM requires investment in staff training, awareness-raising, and other complex and time- consuming activities (such as consulting with the community, and receiving and referring complaints). However, investing in the quality of the CBCM is in itself an important way of reducing further operational costs. Allocating resources for establishing an inter-agency CBCM is an investment in accountability and quality.
Example The Evaluation of the IASC Pilot Project determined that Human Resources costs make up a large portion of essential funding (71% and 67% for Melkadida and the Democratic Republic of the Congo respectively). In a dispersed and open setting, travel costs may also be significant; e.g. in the Democratic Republic of the Congo, Focal Points had to travel up to 7 hours between sites.
A properly established CBCM can in many humanitarian contexts constitute a separate fundable project. From a cost-benefit perspective, a CBCM can be cost-effective asit constitutes an organized system for interaction with the affected population. Integrating with pre-existing complaint mechanisms and local structures makes a CBCM especially efficient, and its benefits will show in the ability of organizations to better handle their resources and fulfill their mandate.
Donor involvement One means to encourage sustainable PSEA activity is for donors to link PSEA compliance with funding across projects. Some donors are currently in the practice of requiring proof of PSEA compliance (i.e. making and fulfilling PSEA commitments) to receive continued funding. Participation in an inter-agency CBCM is one way for agencies to demonstrate their commitment. In effect, the practice of PSEA-contingent donor funding can encourage that CBCM objectives and results are achieved by exercising a certain pressure from donors.
Information Example of PSEA-linked donor funding: United States legislation requires that any organization receiving USAID/OFDA funds must adopt a Code of Conduct providing for the protection from sexual exploitation and abuse in humanitarian relief operations. The Code must be consistent with the IASC’s Six Principles of PSEA, and be accompanied by a paragraph describing how the organization implements the Code in operations. Any sub-awardees must also have or adopt such a Code, on the responsibility of the primary Awardee.*
* United States Agency for International Development and Office of U.S. Foreign Disaster Assistance, “Guidelines for Proposals” (2012).
44 A complaints mechanism is a mandatory step to ensure accountability as outlined in the Secretary-General’s Bulletin on SEA (2003). As such funding for such efforts is ingrained in this requirement. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 79 Recommendation Continuous capacity-building of communities, local organizations, and partners and partners organizations, communities, local of capacity-building Continuous methods. formal and informal both through communication, inter-agency Encourage to their back Points Focal by agency debriefings regular make agencies that Advocate resourcing of human and financial on the benefits with agencies advocate Continually PSEA enforce and activities, and incorporate programme into PSEA Mainstream strengthens the sustainability of PSEA efforts. Strong networks between CBCM between networks Strong efforts. of PSEA the sustainability strengthens of communities enable the involvement structures and community member agencies handling. and during complaint in, e.g. points designing entry of the mechanism. view a holistic for Coordinator a PSEA/CBCM Hire practice. in the debriefings TORs, and encourage explicit in their organizations to and adhering commitments PSEA agency of the CBCM, such as implementing and PSEA. on accountability donor requirements and sub-contractors. partners clauses with implementing
ENSURING A SUSTAINABLE MECHANISM SUSTAINABLE A ENSURING Challenge Lack of CBCM integration into the local community can community the local into Lack of CBCM integration to can lead agencies between Lack of communication results in loss of institutional often turnover Staff to the CBCM, including human resourcing Lack of sufficient settings in emergency PSEA deprioritize may Agencies lead to lack of buy-in and effectiveness. lack of buy-in lead to the goals over views and disparate responses fragmented of the mechanism. and the CBCM. on PSEA knowledge time, and money. resources, protection “outweigh” priorities when competing and/or strategies.
X X X X X 80
SECTION B. Structuring and Establishing an Inter-Agency CBCM SPECIAL NOTE ON COMMON CODES OF CONDUCT
Almost all agencies delivering humanitarian assistance or working in development currently have institutional Codes of Conduct which staff must follow as part of their contractual obligations. Many of the PSEA-relevant provisions in the Codes are based directly on the UN Secretary-General’s Bulletin on SEA (2003). Despite the commonalities of agencies’ Codes of Conduct, the discrepancies that persist – especially regarding what actions do and do not constitute prohibited behaviour – can hinder a collective effort to implement a PSEA-CBCM.
While it is unrealistic to expect large and small agencies to adopt the same Code of Conduct, it is possible to develop a Common Code of Conduct for agencies delivering assistance or operating within a specific location. This Common Code would reinforce, rather than supplant, an agency’s internal Code of Conduct which remains predominant.
Essential to Know The fact that the Common Code is tied to a specific operational setting is important to note. Common Codes of Conduct will vary across locations because they are targeted to the needs and issues within a specific operational site, and will be based on the agreements of the specific agencies present there.
A Common Code of Conduct can achieve multiple objectives related to CBCMs: • It offers a shared framework for staff to operate in and a shared set of values that staff can identify with. This helps hold a wider number of staff accountable in a specific location while projecting a common set of standards to the affected population being served. • It is an effective response to the reality that beneficiaries do not always distinguish between the agencies that staff are working for. • A Common Code means that any awareness-raising activities, both amongst staff and the affected population, on what standards agency personnel must abide by can be done in a more time- and cost-effective manner. The consistency across agencies can reinforce understanding as well as a sense of ownership. ◦ For example, a community meeting is convened to inform beneficiaries on what types of behaviour are explicitly prohibited by workers of the 12 different agencies present in that community. Each individual agency would then not need to carry out the same discussion with the same group of people in the future. • Having one Common Code facilitates better case monitoring and tracking of trends. • Common Codes of Conduct help establish the behaviours which will or will not be investigated by agencies, by standardizing what acts constitute SEA. While disciplinary measures may vary from one organization to the next, having such agreed standards increases the consistency with which agencies address this issue and therefore the perception amongst staff and the affected population of agencies’ objectivity or independence in their service delivery. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 81
Example Success story: The CBCM in Thailand developed an Inter-agency Code of Conduct, which in Year 2 of the programme agencies were obliged to sign to become a participating member.*
* Committee for the Coordination of Services to Displaced Persons in Thailand (CCSDPT), Preventing Sexual Abuse and Exploitation in the Thai/Burma Border Refugee Camps.
If a CBCM considers developing and adopting a Common Code of Conduct, it must understand that coming to agreement on prohibited behaviours may be time-consuming and potentially conflict with agencies internal Codes. Thus a determination on the overall added-value of this exercise must be made at the onset. An alternative approach is to establish a minimum acceptable level of standards for participating agencies – e.g. an agency’s Code must incorporate the Six Principles of PSEA. Without such a baseline, it will be difficult for agencies to develop effective and consistent messaging on PSEA and acceptable staff behaviour.
Tools
• Use a sample Common Code of Conduct as a template - See for example the Common Codes from Fiji or the Humanitarian Response to Typhoon Haiyan in this Guide’s Annex 4. • To identify minimum PSEA standards, the IASC Guidelines to Implement the MOS-PSEA (2013) give helpful guidance on specific steps agencies must take to fulfill their PSEA commitments.
Example scenario*
Assume hypothetically that three separate agencies (A, B, and C) each deploy one staff member to respond to a humanitarian disaster. Assume as well that the three staff members are assigned to the same unit and that each has a sexual relationship with a beneficiary. Under current policies, any assessment of the appropriateness of their behaviour would have to examine their contracts and separate Codes of Conduct to determine who may and who may not engage in such a relationship. Suppose that Agency A staff members are “strongly discouraged” from having sexual relationships with beneficiaries. Their Agency B colleagues, however, are prohibited from “sexual or romantic relationships with members of communities with whom they are directly working” but, should one develop, Agency B staff members are expected to discuss the matter with their supervisor. The supervisor is in turn obligated to determine whether an “alternative suitable work arrangement” can be found. Different yet, the Agency C Code of Conduct acknowledges the “inherent conflict of interest and potential abuse of power” in sexual relationships with members of communities that Agency C works with. However, if Agency C staff members find themselves in a sexual relationship that they consider “non-exploitative and consensual,” they are instructed to disclose the fact to their supervisor “for appropriate guidance.” All of these staff members are working side-by-side on site, regularly interacting with the same beneficiaries. The case study shows how the lack of common standards complicates PSEA for all humanitarian staff on site, and for the CBCM that has an interest in presenting a unified PSEA message tothe community. The inconsistency in what is and what is not acceptable behaviour means delivering subtly different messages to donors, staff, and beneficiaries about standards of behaviour in one site. It means monitoring different standards of conduct within the same operational site. For staff it means identifying the appropriate standards for their own personal conduct and tolerating inconsistent treatment of their colleagues for the same type of conduct. Finally, for communities, it means having to understand which standards apply to which staff members and appreciating why the PSEA standards seem to be inconsistently enforced. In short, uncertainty about appropriate standards weakens the straightforward condemnation of SEA.
* Modified from case study in A Report based on a review of CARE’s Efforts on Prevention and Response to Sexual Exploitation and Abuse (July 2008). 82 Special Note on Common Codes of Conduct SECTION B. Structuring and Establishing an Inter-Agency CBCM Recommendation Advocate that agencies agree to develop a Common Code, highlighting the above the above a Common Code, highlighting develop to agree agencies that Advocate the CBCM should spearhead coordinate, willingness to indicate When agencies found in can be conduct of standards minimum policies differ, agency where Even the CBCM should work be reached, on a Common Code cannot agreement Where listed advantages and the fact that the Common Code does not replace internal internal the Common Code does not replace that and the fact advantages listed Codes. on the Common Code of Conduct. and training circulation, development, and research to lead the The CBCM should offer commitments. PSEA international process. drafting awareness- to include in conduct of standards the minimum identify to with agencies all amongst approach consistent and a united to ensure in order efforts, raising agencies. participating
DEVELOPING A COMMON CODE OF CONDUCT OF CODE COMMON A DEVELOPING Challenge Codes of Conduct are integral internal agency documents. documents. agency internal integral Codes of Conduct are (2003) and on SEA Bulletin The Secretary-General’s in their choice of language exacting Codes of Conduct are Agencies will be resistant to endorsing a new Code of a new endorsing to will be resistant Agencies one. their internal see it as supplanting Conduct if they not intentionally are SEA of condemnations additional qualify Coming to as SEA. behaviours in what explicit the draw to on where agencies between agreement be may of behaviour standards appropriate boundaries for policies on different have agencies difficult, especially where SEA. acts constitute what may Member agencies to develop. much effort and require a Common Code, to developing efforts devote not wish to and do not see already their own have especially when they added. value commensurate
X X X SECTION C
PSEA Awareness-Raising 84
SECTION C. PSEA Awareness-Raising CHAPTER 1 HUMANITARIAN STAFF: TRAINING AND CAPACITY- BUILDING
Best Practice All staff working with beneficiaries must receive regular and thorough trainings on PSEA issues and their own agency’s PSEA policies and procedures. Building the capacity of CBCM member agency staff on PSEA is a strong step toward behaviour change and a demonstrated prevention strategy.
Awareness-Raising on PSEA is one of the main The need for behavioural change: functions of a PSEA-CBCM. Training humanitarian “We have power. By driving our big staff on PSEA roles and responsibilities, impact white cars and distributing assistance on survivors, CBCM processes, and the reporting we are perceived as people who procedures of participating agencies all contribute have power. There is always a power to the overarching goal of protecting beneficiaries imbalance between NGO workers from sexual exploitation and abuse. Awareness- and beneficiaries. It is easy to raising activities for the whole community – misunderstand and take advantage of aid workers, the affected population, and host beneficiaries’ vulnerability.” communities – should be conducted in parallel in order to develop a comprehensive response to SEA. InterAction’s “PSEA Training Guide” The root cause of SEA, however, is that some staff members choose to abuse beneficiaries, so the primary target of awareness-raising as a prevention method must be humanitarian staff. A CBCM needs to engage in prevention activities that aim at not just informing staff about prohibited conduct and PSEA, but activities that also invoke behavioural change. The purpose behind any staff training should be to eliminate the culture of acceptance that abuses will occur, and specifically deter would-be abusers from violating the persons they are employed to protect.
Information Expected behavioural change at the humanitarian workers’ level includes: understanding that they are accountable to communities and must be responsive to community feedback; engaging in a respectful and equal relationship with community members; and ultimately contributing to a reduction of SEA incidents.
Example The Evaluation of the IASC Pilot found at both sites that beneficiaries reported enjoying an increased respect from staff after the implementation of the CBCM. In focus group discussions, both beneficiaries and staff reported on positive changes in staff behaviour, with staff explicitly linking the PSEA training they received withthe noticeable change in behaviour. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 85
Training for all staff
Capacity-building Trainings that focus on staff capacity-building means building their investment in PSEA and the CBCM. Humanitarian staff are simultaneously potential transgressors of SEA and, because of their interaction and rapport with affected communities, potential support and reporting channels for complainants. While much of agency-administered staff training focuses on rules and obligations to prevent abuses, it is equally important to conduct trainings that target humanitarian staff who will support and drive the CBCM.
At a minimum, all humanitarian staff should be trained in:
• What SEA is and the international commitments in place to fight it; • Individual actors’ roles and responsibilities on PSEA; • Case reporting and referral procedures, within their own agencies and for the CBCM; • Appropriate conduct of humanitarian staff; • Survivors’ needs and assistance provision.
Behaviour change Repetitions of seminars that merely introduce the Secretary-General’s Bulletin onSEA (2003) and an agency’s PSEA commitments are insufficient and off-putting for staff. Rather, trainings must engage staff by highlighting their role in the PSEA network and how PSEA can practically affect them. Agencies hold the responsibility to train their own employees on PSEA,45 but the CBCM should make itself available to brainstorm creative PSEA awareness- raising activities with its member agencies that will effectively engage staff and are designed toward behaviour-change.
Tools To Serve with Pride (video): Geared toward UN staff and related personnel, this 20-minute film discusses the impact of SEA on individuals and communities, and introduces the obligations under the Secretary-General’s Bulletin on SEA (2003). Found at www. pseataskforce.org/ (in multiple languages).
Tools PSEA training modules can be adapted to each CBCM. Comprehensive examples are: • The InterAction PSEA Basics Training Guide • The UNICEF Training of Trainers on Gender-Based Violence: Focusing on Sexual Abuse and Exploitation.
Tools Monitoring tools should be used to measure the effectiveness of training: • The Common Reporting Platform developed out of the IASC PSEA CBCM Pilot Project, containing a platform that logs awareness-raising events and impact. This tool can be replicated for additional sites. • KAP tests, to compare initial knowledge to that gained over time.
45 MOS-PSEA (2012) #7 “Effective and comprehensive mechanisms are established to ensure awareness-raising onSEA amongst personnel.” 86 CHAPTER 1 Humanitarian Staff: Training and Capacity-Building SECTION C. PSEA Awareness-Raising
Effectively communicating PSEA policies and reporting channels to all staff Currently, many agencies maintain a solid practice of holding PSEA staff trainings that include how to recognize SEA and on humanitarian workers’ responsibilities towards affected populations. The instruction that is frequently missing from agency trainings is: What staff should do when they hear about an SEA incident. There is a noticeable disconnect between headquarters’ PSEA Tool commitments and field-based understanding of the same. UNHCR’s While many agencies already have a Code of Conduct describing staff pamphlet on prohibited behaviour, it remains unclear to many staff what Reporting Sexual their internal processes are for reporting a complaint or what Exploitation and steps they should take if information is received from an Abuse (in Annex 4) is outside source that indicates the Code has been breached. Just an excellent example as important, agencies are not instructing their staff on how to of a simple yet proceed if they learn of an alleged SEA incident committed by comprehensive staff from another agency. For PSEA policies to be effective, they informational tool that can be made easily need to be translated into staff understanding and acceptance, available to all staff. and communicated to the field with sufficient authority and clear guidance.46
Essential to Know All staff – especially persons in field positions – must be given clear instruction on who in their organization they should report SEA to, including up-to-date contact information.* A reporting mechanism is ineffective if staff do not know how to access it.
* MOS #8, Indicator 2 “Staff members are informed on a regular basis of how to file a complaint/report andthe procedures for handling these.”
Confusion of terms Although many agencies have established training programmes that include the minimum training standards of “What is SEA?” there is still confusion over the SEA definition among personnel. Staff confuse sexual exploitation and abuse with sexual harassment and with sexual/gender-based violence. They perceive SEA to be on a continuum with sexual harassment, sexual exploitation and, ultimately, sexual abuse. This mis-categorization undermines the key messages regarding what they are allowed and not allowed to do, and causes confusion on the appropriate procedures for reporting cases and assisting victims. Trainings should address this misconception, where it exists.
Information One reason for the confusion over the definition of SEA is that it is one of the areas where agency policies can differ, and staff in one site may receive conflicting information. Part of the inter-agency coordination in staff trainings should be to note where agency policies contain key differences – that way part of the CBCM trainings can include an overview of how agency policies affecting staff behaviour differ.
46 IASC Statement on PSEA (2015) #1: Full implementation of the Minimum Operating Standards requires “effective and continuous staff training by all humanitarian agencies”. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 87
Tool PSEA Training Guides – such as the forthcoming UNHCR Facilitators’ Training Manual on PSEA and the Guides noted above in this Chapter – contain case studies of potential SEA scenarios to help staff and affected populations identify inappropriate behaviour. The CBCM can take these examples and modify them to illustrate how each member agency’s Code of Conduct would treat the scenario.
Regular trainings for humanitarian staff also need to include the content of their agency’s Code of Conduct, and the practical implications on them for breaching that code.47 Trainings should reinforce the obligation to report SEA, and thoroughly explain the policy for protection from retaliation that is in place.48 Staff are often concerned about confidentiality and how their complaint will be handled, given that they are being told to report on their peers. These issues should be specifically addressed during trainings.
Essential to Know Implications of breaching the Code of Conduct: Any disciplinary action against staff for committing SEA will be based on the fact that SEA is a violation of their agency’s Code of Conduct. Agencies must therefore have a strong Code of Conduct that explicitly includes SEA, and actively enforce that Code upon breach. Taking these steps turns the Code into a powerful deterrent and prevention strategy, and the CBCM should advocate that agencies must be consistent in their application of their own Code.*
* IASC Statement on PSEA (2015) #3: “Strengthen investigation and protection responses to SEA allegations”.
Example Behavioural change in the Kenya PSEA mechanism: A 2007 final project evaluation* found concern over job security to be the main cause behind the decline in the number of SEA cases reported, as humanitarian aid workers were required to sign the binding Code of Conduct upon employment. Teachers now “fear being sacked” so they “no longer joke with students about issues related to sex”. Previously not considered a strange practice, teachers no longer consider marrying young schoolgirls. These results show the deterrent value of a strong Code of Conduct: potential offenders will be deterred from committing SEA where they have reason to believe they may be fired for doing so.
* International Rescue Committee, "Final Evaluation: Preventing Sexual Exploitation and Abuse (PSEA) Project" (September 2007), Nairobi, Kenya.
Case outcomes as a behaviour change tool Tip Perceived Dismissive attitudes of staff as to the seriousness of sexual impunity encourages exploitation and abuse are a real risk factor in allowing SEA further violations. Reporting to perpetuate. Depending on the pervading culture within on disciplinary actions taken directly discourages potential offenders.
47 MOS-PSEA (2012) #7, Indicator 1. “Staff receives annual refresher training on the standards of conduct, learn about […] the implications of breaching these standards.” 48 MOS-PSEA (2012) #7, Indicator 3. 88 CHAPTER 1 Humanitarian Staff: Training and Capacity-Building SECTION C. PSEA Awareness-Raising
an agency or locality, sexual exploitation for beneficiary “gain” may be seen as not “real” abuse, permitting a passive culture of acceptance. It is easy to see why this attitude has been allowed to spread, given the rarity of visible disciplinary action taken against SEA offenders. One prevention strategy, more likely than Code of Conduct trainings to elicit behavioural change, is for agencies to make public the outcomes of their disciplinary procedures for SEA.49 Transparency in case outcomes can indicate to staff, as well as to the whole humanitarian community, that the agency takes PSEA and their Code of Conduct seriously, which gives the Code a deterrent value. Staff trainings should cite these case statistics when available, to show that the agency will discipline when necessary, reinforcing the instruction that SEA is unacceptable.
Be Aware Perceived impunity for criminal acts: International Conventions provide representatives of UN agencies with immunity from criminal prosecution in certain situations so that the UN can independently carry out its functions.* Many acts of SEA are criminal acts under national laws as well as violations of an agency’s Code of Conduct. However, consultations during the IASC Pilot Project Evaluation indicate that local representatives of UN staff mistakenly believe that the Privileges and Immunities under these Conventions mean they are shielded “from any criminal prosecution in the event of SEA or other offence.” This sense of impunity indicates a serious accountability failure. One sector of humanitarian staff believing they are immune from the consequences of committing SEA can create a culture of acceptance that can infect all aid workers on site. Staff trainings must clarify the substance of Privileges and Immunities: These Conventions only provide staff immunity for “official acts performed in the exercise of [their] function” i.e. broadly: for acts done as part of their jobs. Acts of sexual exploitation and abuse of beneficiaries would not apply here and thus UN staff are not immune from criminal prosecution for SEA.**
* See the Convention on the Privileges and Immunities of the United Nations (13 February 1946) and the Vienna Convention on Diplomatic Relations (1961). ** See also the United Nations Office of Internal Oversight Services’ “Investigations Manual” ST/AI/371, §2.4: “[M]ost criminal conduct is not committed as part of an official function” and where it is immunity can be waived if it “would otherwise impede the course of justice.”
Pre-employment/departure training All staff should receive ongoing PSEA training throughout their tenure, but the first training should be conducted when they sign the Code of Conduct before beginning employment. The immediacy of the training will reinforce the importance of PSEA and ensure that they know how to handle an SEA incident from the start of their employment. Combining trainings with signing the Code is also far superior for retention to just signing a Code that includes PSEA, as staff often fail to read and/or retain the exact provisions. The challenge of conducting this preliminary training for field staff is ensuring that the training is comprehensive and includes the specific PSEA issues in the region of their deployment. The CBCM should strategize with participating agencies to ensure that staff arriving in the field understand their PSEA obligations before beginning employment.
49 All reports on disciplinary proceedings should be anonymous - the fact that disciplinary action took place is key here, not individual names. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 89
Innovative staff training ideas
Use the UNDSS model of security briefing before any staff is deployed to the field, to train on PSEA before they begin work. Staff could take an SEA quiz prior to deployment as part of their orientation, and the issuance of a security certificate and Daily Subsistence Allowance (DSA) payments would be tied to the completion of the PSEA training. This would ensure that everyone entering the field has baseline knowledge, and would inherently drive home the importance of the issue. Training could include the most common and detrimental gaps in staff knowledge, such as how to differentiate SEA from other forms of GBV. The training could also identify each agency's CBCM Focal Points in the manner that the UNDSS identifies Wardens, ensuring that staff know exactly where to report SEA before entering the field.
From the Prevention of Sexual Exploitation and Abuse in Kenya Refugee Camps: project When staff of the Lutheran World Federation, Department for World Service in the Kakuma Refugee Camp received some of their pay slips in 2006, the individual salary sheets included information urging employees to report all cases of suspected sexual exploitation and abuse in the workplace. The employees were clearly advised how and where to file SEA complaints, and how to maintain confidentiality with such cases.
From the IASC Pilot Project PSEA-CBCM Best Practices Workshop: Create self-assessment tools for staff to review their own behaviour in their day-to-day interactions with communities. For example, a smartphone app with checklists that staff will fill out and submit quarterly.
From the IASC’s Pilot site in the Democratic Republic of the Congo: Coordinate PSEA awareness- raising events for key holidays celebrating gender, children, and women’s rights, e.g. 25 November: International Day of No Violence Against Women and 10 December: Human Rights Day.
To make it easier for staff to retrieve their agencies’ guiding documents that apply to them, CBCMs should encourage agencies’ to ensure that internal databases (storing policies and managing documents) are complete and easy to search.
Additional training for managers
Managers especially need to be trained on what SEA is and on their headquarters’ PSEA commitments. Senior managers in the field play a crucial role in PSEA by implementing organizational policies which should prevent abuse. They need to be fully informed of their organization’s stance on PSEA, and on their obligation to integrate PSEA into programme design and evaluations.
Information The “Six Core Principles Relating to SEA,” adopted by the UN Secretary-General’s Bulletin on SEA (2003) and the Statement of Commitment (2006), and incorporated into organizations’ Codes of Conduct, require all humanitarian agencies to create and maintain an environment that prevents SEA and to promote the implementation of their respective institutional Codes. Managers at all levels have a particular responsibility to support and develop structures that maintain an SEA-free environment.
Additionally, managers are often the persons receiving informal concerns of SEA from staff on site. As such they must be prepared to recognize SEA and know exactly how to forward these concerns to their appropriate agency unit for follow up. They must be trained in their 90 CHAPTER 1 Humanitarian Staff: Training and Capacity-Building SECTION C. PSEA Awareness-Raising
obligation to report all concerns of SEA, and to support their employees in maintaining an environment that prevents SEA.50
Be Aware Tool Managers and heads of field offices face the difficult task ICVA’s of implementing directives from headquarters while remaining Building sensitive to the culture of the communities in which they work. Safer Without clear directives on managerial responsibilities to report Organizations SEA, cultural sensitization can lead staff to accept SEA as “part of Guidelines the local culture”.* CBCMs should assist in training managers on include the zero-tolerance for SEA policy that they are obliged to uphold. standards of reporting for * See, e.g. the example in A Report based on a review of CARE’s Efforts on Prevention and Response to Sexual Exploitation and Abuse (July 2008) pp. 23-24. managers.
Training for agency CBCM focal points
In addition to all the PSEA trainings that they will receive from their own agencies, CBCM Focal Points must receive trainings to assist them in successfully fulfilling their CBCM duties. The CBCM should ensure that Focal For the principles guiding Points are familiar with the policies and procedures of the other CBCMs, see this Guide’s chapter on “Setting up the agencies in the CBCM, and that they thoroughly understand the CBCM infrastructure”. general principles guiding all CBCMs.
Information CBCM Focal Points will have to carefully manage complainant expectations, given how diverse agencies’ investigation procedures are. The Focal Points should therefore be familiar with the procedures for all participating member agencies, in order to ensure that accurate information is provided to complainants.
Capacity-building of CBCM focal points Tip Well-structured trainings will build the capacity of member agency representatives to participate in running the CBCM, by instilling SEA allegations will the technical skills required for implementation and monitoring. occasionally be mixed Properly done, Focal Point capacity-building means raising with other misconduct issues e.g. an incident the CBCM Focal Points’ capacity to also mobilize and train the including both Sexual community members on the CBCM, which can increase ownership Exploitation and of and efficient use by the affected population. Corruption. To properly perform their intake As noted above, all humanitarian workers on site should know function, CBCM Focal about the CBCM, as they may potentially receive complaints while Points should be working with beneficiaries during daily humanitarian programming trained on other forms activities. Building on this, an agency’s Focal Points are intended to of misconduct in be the primary persons receiving in-person complaints and they addition to SEA, in should be thoroughly familiar with the entire CBCM complaint order to enhance their handling process, as well as their own agency’s and the other ability recognize SEA agencies’ procedures. when it is mixed with other issues.
50 Secretary-General’s Bulletin on SEA (2003). PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 91
Information Where a CBCM uses an “informal” structure of Focal Points (community focal points, “trusted person” reporting system, etc.) these people should also receive more thorough procedural training.
As the liaison between the CBCM and their agency, Focal Points are responsible for representing their agencies within the CBCM, and for bringing the knowledge and tools that they learn from working with the mechanism back to their respective agencies. Focal Points must thoroughly understand their own Codes of Conduct and complaint procedures, and will need the same understanding of the reporting and investigation procedures of the other participating agencies, so they know exactly how complaints will be referred. They will also need to be familiar with local laws and regulations that will affect the CBCM, such as Mandatory Reporting laws.
Information For example, complaints about staff persons working in child-centred institutions (e.g. orphanages, schools, or day-care centres), will often be covered by the host country’s laws. CBCM Focal Points must know and understand the legal requirements for disclosure.
As the PSEA representatives of their agencies to the affected community, Focal Points must also be trained in the guiding principles of CBCMs. The standards of confidentiality, safety, and health/psychosocial needs of survivors should be thoroughly disclosed to anyone interacting with complainants. Tip CBCMs should coordinate frequent and regular meetings of the One agency agency Focal Points. Regular meetings facilitate information or the PSEA/CBCM sharing on three issues: 1) measures put in place by all CBCM Coordinator should member agencies to prevent and address SEA; 2) documented lead these meetings, incidents (maintaining confidentiality); and 3) follow up on how to ensure cooperation incidents have been dealt with. These regular meetings keep the and momentum. Focal Points, and by extension, the member agencies informed on the status of PSEA activity in the site. They also serve as a meeting place for Focal Points to network and encourage open communications between agencies on PSEA-related issues.
Tip The CBCM can look into creating an Emergency Roster for PSEA-trained and competent staff. Designing such a roster in-country, or even globally, could both aid agencies in identifying well-trained staff for deployment, while also providing career motivation for humanitarian staff to become PSEA-educated.
Any persons working in the CBCM must also be closely familiar with how the mechanism interacts with the rest of the humanitarian programming operating on site. This special in-depth training should include detailed procedures for complaint referral, the complaint handling processes for participating agencies, as well as the procedures for transferring non- SEA complaints to the relevant agency/Cluster/accountability mechanism. Focal Point training on complaint handling should clearly differentiate SEA from non-SEA procedures. 92 CHAPTER 1 Humanitarian Staff: Training and Capacity-Building SECTION C. PSEA Awareness-Raising
Essential to Know Key Cluster leads on site should also be informed of the CBCM and invited to the in-depth training activities. The CBCM should engage and coordinate with the Clusters, particularly Education, Protection, CCCM and Shelter, as well as the GBV sub- cluster, as these actors regularly interact with beneficiaries and need to know how the CBCM works. This includes ensuring that such Cluster coordinators are aware of the CBCM, understand the referral procedures for victim assistance and SEA allegations, as well as receive training on how to recognize and address potential SEA cases. Because SEA is a form of GBV, it is especially important that the GBV sub-cluster Coordinator knows and promotes the key PSEA principles and responsibilities, and collaborates with the CBCM on victim assistance provision and allegation referrals.
Training for implementing partners
One predominant way in which SEA violations occur and remain unaccountable is commission by partners or contracted workers who may not have their own PSEA commitments. Smaller aid organizations may not have PSEA in their Codes of Conduct, leaving no means of discipline in the face of SEA incidents. All agencies working with partners therefore have an interest and a responsibility to include PSEA clauses in their partnership contracts.51 Similarly, contract workers with agencies – including interns and volunteers – must have a PSEA clause in their contracts as well (see sample Clauses in Annex 4). Staff awareness-raising activities carried out for humanitarian agency staff should be extended to partners and contract workers, in order to increase their knowledge and capacity to prevent and address SEA. Investigative training
Any individuals or bodies tasked with investigating SEA must be trained in both international standards of evidence gathering and specifically in SEA issues. Many CBCMs will not need to conduct their own investigators trainings, as the majority of humanitarian agencies conduct investigations from the headquarters level only. However, where the CBCM plays a role in investigating SEA incidents (e.g. using the optional Investigators Pool structure) thenany investigators must be trained in the following areas: • Interviewing survivors of abuse • The principles of confidentiality and safety • The basic structure of the CBCM referral process • Investigation time frames • Burdens of proof for all relevant agencies
In addition, any CBCM member agency representatives that will be handling SEA complaints should be trained on proper procedures for evidence gathering. Even if they will not be investigating themselves, they must be familiar with international evidence standards so as to not jeopardize subsequent agency investigations.
51 MOS-PSEA (2012) #2, Indicator 2: “Procedures are in place to receive written agreement from entities or individuals entering into cooperative arrangements with the agency that they are aware of and will abide by the standards of the PSEA policy.” IASC Statement on PSEA (2015) #3: Strengthening responses to SEA allegations requires concerted efforts to enforce PSEA contractual clauses with implementing partners. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 93 Recommendation trainings thereafter. A Code of Conduct should be presented and explained to all new staff and signed staff to all new explained and A Code of Conduct should be presented thereafter. trainings contract. along with the employment time. over gained understanding to measure thereafter tests monthly and conduct recruitment on PSEA cooperation on inter-agency package training a comprehensive the lead on developing should take stakeholders. it among and circulating in the areas reducing are incidents if SEA indicate can and trends incidents on SEA analysis impact. Data staff perceive they how Discussing with beneficiaries conducted. are activities awareness-raising where change. of behaviour can be another indicator them toward attitudes agencies and of commitment the reinforce will Such an initiative trainings. PSEA of staff importance should be a signed of the workshop The outcome Points. support of CBCM Focal senior management agency’s each complementing action plan, an inter-agency operationalizing towards commitment action plan. individual PSEA for the field to these all the way and communicate level, management the headquarters/senior at commitments. PSEA to uphold agency guidance Headquarters the proper This promotes implementation. available. where turnover, upon staff The CBCM should advocate that all staff receive PSEA trainings upon recruitment, and mandatory regular and mandatory recruitment, upon trainings PSEA receive all staff that The CBCM should advocate staff at the time of of knowledge an initial assessment conduct understanding, increased monitor To on CBCM issues. It / train to advocate ready and capacities agency varying to A CBCM should be adaptable activities and awareness-raising to monitor tools and frameworks and evaluation monitoring Develop the reinforce to site in the operational Head of Agencies for workshops The CBCM should organize strategies awareness-raising should endorse Agencies strategy”: awareness-raising a “Top-down Advocate knowledge reduce loss of institutional to as a method Coordinator with the PSEA/CBCM Use debriefings
STAFF TRAINING AND CAPACITY-BUILDING AND TRAINING STAFF Challenge Human Resources, but are not monitoring whether the staff actually read, actually staff the whether not monitoring but are Human Resources, the Code. understood, alone let is willing, and management available are resources Where trainings. staff policies and PSEA own their will only cover module training an agency’s CBCM itself. or the agencies participating not those of other procedures, and/ trainings, in participation resist may staff Some awareness. raising from priorities/instruction competing by attending from or be prevented a void and leaving knowledge with them the taking employers, or change behavioural change. change. behavioural managers. commitments. behind. Many agencies have newly recruited staff sign their Code of Conduct with staff recruited newly have agencies Many conduct to capacities different will have agencies CBCM member Different of benefits on the partners amongst lack of agreement be may There PSEA their Headquarters’ of unaware remain staff Field office and/ and the CBCM will leave trained on PSEA staff The turnover: Staff It is difficult to measure the impact of awareness-raising activities on awareness-raising impact of the measure to It is difficult
X X X X X X 94
SECTION C. PSEA Awareness-Raising CHAPTER 2 AFFECTED COMMUNITIES
Best Practice Effective awareness-raising for all community members is a key strategy to empower individuals to reduce the risk of SEA in their own community, and to minimize the harmful effects when SEA does occur.
Raising the awareness of the affected community on “With PSEA, not one refugee is left PSEA is a fundamental part of CBCM activities. All unchanged.” communities in sites where humanitarian organizations Quote from Best Practices Workshop, are providing aid should be informed about what SEA Kigali 2015 is and the CBCM’s role in combating it. Where a PSEA- CBCM exists, member agencies have the responsibility to educate beneficiaries and host communities on their PSEA rights, how to report abuses, and available sources of support. In the absence of such awareness-raising programmes, community members will not be empowered to assert their right to unconditional humanitarian assistance. Information campaigns should clearly instruct beneficiaries on the parameters ofSEA and the CBCM. For example, potential complainants need to know that the definition of “humanitarian worker” for the purposes of SEA includes all workers engaged by Information humanitarian agencies to conduct the activities An effective community of that agency, including local volunteers awareness-raising programme: and contractors. A misunderstanding of the definition of humanitarian worker can lead to • Demystifies SEA, and lack of reporting when a beneficiary is forced • Explains the complaint mechanism to question whether their complaint falls under and how to access it the definition of SEA.
Key message
“All assistance provided by humanitarian organizations is based on need and is free. Humanitarian organizations and their staff work on principles of humanity, impartiality and respect. You have the right to assistance and the right to report any inappropriate behaviour, exploitation, or abuse by a humanitarian worker. A complaints system has been set up at[insert name of cluster/organisation/location]. Contact [insert contact details] for further support and advice about this. All complaints are kept confidential.”
At a minimum, beneficiaries have a right to know: • The definition of sexual exploitation and abuse as per the Secretary-General’s Bulletin on SEA and that of participating organizations; • The standards of conduct for humanitarian workers; • That they have a right to humanitarian assistance without being subjected to SEA; PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 95
• Where to report SEA incidents; • What services are available, and how to access them; • What to expect after making a complaint, including potential referrals, timeframes, and the roles, responsibilities, and any limitations of actors involved, and; • What steps the CBCM and concerned agency will take to ensure safety and confidentiality.
“What is SEA?”
Defining Sexual Exploitation and Abuse, and clearing up misconceptions about what it means, can be a good starting point for community awareness-raising. Focal Points should introduce the accepted SEA definition* and invite participants to share what they believe SEA means. They can then give examples of inappropriate staff behaviour, discussing why each example is a violation of each agency’s Code of Conduct (or the Common Code where appropriate),** such as: • Examples of Sexual Exploitation ◦ A head teacher at a school, employed by an NGO, who refuses to allow a displaced child to enter his school unless her mother sleeps with him. ◦ A UN driver who regularly provides rides in the official UN vehicle to village schoolboys travelling to school in a neighboring town, in exchange for him taking photographs of them posing naked. ◦ The female boss of an NGO office, refusing to give employment to a young man applying to be a kitchen server unless he sleeps with her. • Examples of Sexual Abuse ◦ A refugee, who is employed as an incentive worker by an international organization, lures a female refugee collecting food to a deserted warehouse and rapes her, announcing that he will tell her husband they are having an affair if she reports the case. ◦ A local NGO worker touches a 6-year-old girl inappropriately while playing with her as part of a psychosocial intervention. ◦ Solicitation of a prostitute.***
* The accepted SEA definition is found in the Secretary-General’s Bulletin on SEA (2003) and the Key Terminology at the beginning of this Guide. ** Given agencies’ differing interpretations of what acts constitute SEA, this exercise must be designed with the input of all CBCM member agencies. *** Examples taken from InterAction’s “PSEA Basics Training Guide.”
Information Awareness-raising to encourage reporting: Some people do not report SEA out of fear of retaliation, including losing much-needed material assistance. Make sure everyone is aware of what they are entitled to receive and that their rights will not be affected by their complaints. Public messaging should announce that services are free and no beneficiaries are expected to give anything in return.
Raising community awareness on PSEA should not only be For more on trainings for informative, but also invoke a behavioural change process. humanitarian aid workers, The goal is to reduce overall risk of SEA in the population by see this Guide’s chapter on “Humanitarian staff: Training combating social norms, mindsets, and gaps in knowledge that and capacity-building”. allow and occasionally encourage SEA. While the primary role of prevention work is to change the behaviour of potential perpetrators, and this should be the focus of educational efforts, a true understanding of beneficiary rights and staff responsibilities can reduce the social harm of SEA by empowering communities and assisting them to design their own prevention strategies. 96 CHAPTER 2 Affected Communities SECTION C. PSEA Awareness-Raising
Information Expected behavioural change at the community level includes: willingness to report SEA cases and hold organizations accountable, and eliminate the stigmatization of survivors.
Tools Measure the success of Awareness Events • The Common Reporting Platform developed out of the IASC PSEA CBCM Pilot Project, contains a platform to monitor and track awareness-raising events and their impact on PSEA understanding. This tool can be replicated for additional sites. • KAP tests, to compare initial knowledge to that gained over time.
Example Behaviour change and knowledge raised in the IASC Pilot: The Evaluators of the IASC Pilot Project received reports from community members of an increased perception of safety and community confidence in the CBCM in both pilot sites since the implementation of the project. • In both sites, roughly 80%* of beneficiaries stated that they felt safer from SEA than one year earlier. • In the Democratic Republic of the Congo, adolescent girls in particular felt empowered to say “NO” to SEA and reported that humanitarian staff were treating them with more respect. • Both sites experienced a notable rise in understanding SEA. In the Democratic Republic of the Congo there was a reported increase from a 10% level of understanding of SEA among beneficiaries before the Pilot, to 70% being able to recognize SEA and know where to report incidents. The knowledge base among refugees in Ethiopia increased from 30% to 81%.
* Just under 80% in North Kivu, Democratic Republic of the Congo, and just over 80% in Melkadida, Ethiopia.
"Over 20 years ago in Somalia our perceptions about women and girls were different and we did not have a functioning government to act on women’s rights. We thought that women’s views were not important. As a result, women were not considered as important partners to men in terms of making household or community decisions. Here in the camp, International Medical Corps and partners including UNHCR have made us to understand the importance of women’s rights and their role in any society. We have recognized this to be true because we are beginning to see positive changes in the lives of our women and girls in the camp. Women are learning new information about themselves every day, and our girls too are able to go to school. We will continue to champion this cause because it a worthy cause.”
A male refugee leader from the Refugee Central Committee (RCC) explained to IOM and UNHCR, October 2014.
Awareness-raising should be targeted to increase understanding of the causes and consequences of SEA, as well as to address trends occurring in each particular context. For example, in a humanitarian response operation where assistance is scaling down, poverty becomes a high vulnerability factor and the exchange of sexual favours may be viewed by some community members as a practical means to access additional resources. In this context, PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 97 messaging efforts should address harmful coping strategies in an effort to reduce vulnerabilities, and Tip should be developed with a rights-based approach, Rights-based approach aligned with interventions addressing empowerment, messaging: “Humanitarian staff are gender, and humanitarian assistance as a right and accountable to beneficiaries under not a favour. Different messaging and outreach their PSEA Codes of Conduct,” and “Humanitarian assistance is free, would be required in areas where the predominant not conditional on sexual favours.” trend involves the sexual abuse of young children.
Example In Eastern the Democratic Republic of the Congo there is a community bias against reporting, especially for SEA misconduct. Locals do not always see the relevance of reporting SEA if it’s “just a relationship” – i.e. when the beneficiary benefits through increased food or NFI distributions from the exploitation. Additionally, community structures maintain a strong negative attitude toward SEA survivors, which directly impacts the long-term safety and well-being of the survivor. These are difficult and culturally entrenched attitudes to work with. The CBCM in the Democratic Republic of the Congo has responded by implementing a “rights-based approach” to address the “acquired benefit” counterargument to reporting, and entrenched stigmatization.
Essential to Know Regardless of context or local SEA trends, community awareness-raising should recognize that the primary cause of SEA is the fact that members of the humanitarian community chose to commit these acts.
To carry out awareness-raising responsibilities, a CBCM should design a long-term programme of events and coordinate the participation and resource-sharing of CBCM member agencies. Public information messages, awareness-raising campaigns, and behaviour-change strategies must be coherent, consistent, and connected to services and organizations to avoid confusion in the community. The CBCM should also encourage each member agency to articulate its awareness-raising expectations and to clearly share these goals, along with training tools and materials, with the CBCM.52
Essential to Know On-site SEA messaging is an important area for inter-agency coordination: All actors involved in prevention must coordinate with each other and plan activities in a collaborative manner, or messaging will be incoherent.
52 MOS-PSEA (2012) #4 “Effective and comprehensive communication from HQ to the field on expectations regarding raising beneficiary awareness on PSEA” Indicator 1: “The HQ has communicated in detail the expectations regarding beneficiary awareness raising efforts on PSEA (including information on the organization’s standards of conduct and reporting mechanism)” and Indicator 2: “The HQ has distributed examples of awareness raising tools and materials to be used for beneficiary awareness raising activities.” 98 CHAPTER 2 Affected Communities SECTION C. PSEA Awareness-Raising
Types of awareness-raising activities Tip Awareness-raising activities can take a wide variety of forms, and Community should take into account community input on the most effective awareness-raising forums and media to use for communicating PSEA messages. is not a one- A combination of methodologies is recommended to ensure time information maximum coverage and absorption of the community. Methods campaign. can include both large-scale events and smaller, gender and Information about age-segregated discussion forums that encourage interactive SEA and how to seek help must be conversations. They can include training-of-trainers for community provided on an leaders, as leaders are trusted community members and can be ongoing basis, in more effective at conveying messages than aid staff. Generally, order to account for, engaging PSEA-trained community members to run awareness- e.g. the fluid nature of raising events increases community ownership of the issue. displaced populations Whatever type of events are held, it is important that the are or shifting of camp culturally sensitive, reflect local language barriers and gender populations. roles, and are regularly repeated to build and maintain trust.
Tip Organize mass sensitization campaigns on PSEA for the whole community, as well as small Focus Groups, based on the objective of the communications and stated community preferences.
Spotlight on “Tea Talks”
"Tea Talks" are traditional community gatherings led by a trained community focal point, where two-way communications are encouraged on PSEA and other sensitive issues, such as GBV. Community members have the opportunity to discuss and ask questions in an environment where they feel comfortable. More intimate than mass events, conversations between 15–20 people can be held over tea, which strengthens social bonds and encourages frank and open conversations.
The CBCM should conduct special outreach to women’s groups, For more on programme schools, and any other groups in the population that community adjustment based on SEA consultations have identified as especially vulnerable. Messaging trends, see this Guide’s should remain adaptable based on the stated needs of the Chapter on “Monitoring and Evaluation, with Programme community and SEA trends identified through complaints Adjustment”. monitoring.
Designing PSEA messaging Developing an awareness-raising campaign in multilingual or predominantly illiterate settings can be difficult, because messaging may not be understood by all community members. To reach the maximum number of persons, messaging should use graphics and limit text as much as possible. Slogans and written messages should be simple and translated into all relevant languages within the community. The CBCM should diversify messaging over print media, radio, community talks, Information Education Communication (IEC) materials, etc. to maximize its accessibility. Creative messaging solutions, such as staging PSEA theatre shows enacted by community members, can both impart awareness and improve community ownership over the messages. Theater is a useful visual tool that allows communities to express complex concepts in an accessible and understandable manner. Community consultations can be very effective to learn what messaging media work best for them. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 99
Tool Simple messages that were effective in the IASC Pilot Project were “Zero tolerance to SEA” and “Humanitarian Assistance is Free” (in appropriate languages).
Tip A reporting mechanism is ineffective if beneficiaries do not know how to access it. Information on how to access the CBCM should be clear and simple, offered in the local language(s) and/or as a visual presentation.*
* Image from the Thailand CBCM: Preventing Sexual Abuse and Exploitation in the Thai/Burma Border Refugee Camps.
Capacity-building In affected communities where illiteracy is common, displaced persons often identify their friends as a primary source of PSEA information.53 Conducting trainings for interested beneficiaries, in order to build their capacity to raise awareness on PSEA and the CBCM amongst their peers, may be useful approach. Beneficiaries interviewed in Melkadida Refugee Camp, Ethiopia and through Transparency International’s corruption complaint and feedback mechanism in Kenya have expressed an interest to receive such training.
Tools
• Community mobilization toolkits, such as SASA! (http://raisingvoices.org/) can help in designing awareness-raising strategies. • Behaviour Change Communication toolkits can help design strategies to reduce the culture of SEA acceptance. See UNICEF’s Behaviour Change Communication in Emergencies (targeted primarily toward health risks in natural disasters).
Manage expectations Beneficiaries may use the CBCM to submit complaints on a wide array of issues, as it may be the only opportunity to express their views. A CBCM runs the risk of raising expectations that it will address all wrongs and then generating disappointment. CBCM member agencies should work closely with communities, addressing them in small groups to explain how the CBCM works, why some complaints can be addressed while others cannot, and why some services cannot be provided.
53 Based on Knowledge, Attitudes and Practices (KAP) surveys conducted during the IASC pilot project in Democratic Republic of the Congo and Ethiopia. 100 CHAPTER 2 Affected Communities SECTION C. PSEA Awareness-Raising
Information While the CBCM cannot address all concerns, For more on the importance of it should note trends in complaints and work with other recording all complaints received humanitarian actors on site to advocate for additional by the CBCM, see this Guide’s chapter on “Monitoring and services based on stated beneficiary needs. This is evaluation, with programme another reason why recording non-SEA complaints is adjustment”. necessary.
Educating the wider community It is important that everyone who interacts with beneficiaries or who may be affected by SEA understand the principles that underpin a complaint mechanism, in addition to understanding how it works practically. It is not just member agency staff and beneficiaries who should know how a CBCM works. The principles and practicalities of a CBCM should be shared with national authorities, host populations, and agencies not participating in the mechanism (e.g. CBOs opting out), as they all regularly interact with beneficiaries. Training persons that may interact with the CBCM on prohibited conduct, how to access the CBCM, and reporting and referral procedures, is critical. Training external actors also increases understanding among humanitarian stakeholders of why CBCMs are necessary, contributing to broader ownership and sustainability of the mechanism.
Example In the region of the Democratic Republic of the Congo under the IASC Pilot Project, beneficiaries lived alongside members of the host community, rather than in a separate camp. The Democratic Republic of the Congo CBCM in the IASC Pilot Project increased its efforts to educate members of the host community, after it began receiving SEA complaints from them.
Awareness-raising success stories
Music to transfer key messages: In the IASC’s Pilot CBCM in the Democratic Republic of the Congo, radio and music have been a very successful means to transfer messages using local radio stations that are popular in IDP camps, making messages accessible for the population. The messages are also frequently repeated, which increases impact.
Child-led Disaster Risk Reduction (DRR) Campaign – The Philippines: Children video-recorded areas in their communities that they considered at-risk for SEA incidents and interviewed community members and duty-bearers responsible for keeping children safe. This proved to be a powerful tool that identified the gaps in protection/safety and lack of awareness among parents and duty-bearers on their responsibilities.
Youth-led Sexual and Reproductive Health Rights campaign – Bolivia: Young people interviewed users of a Health Centre where adolescent-friendly Sexual and Reproductive Health Rights services were offered on their entitlements and access and quality of services. They also established suggestion boxes and a satisfaction survey, and interviewed service providers and local policy makers on their responsibilities. The youth used the video to contrast commitments and gaps in service delivery. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 101 Recommendation Develop monitoring and evaluation tools and frameworks to monitor awareness- to monitor tools and frameworks and evaluation monitoring Develop tools shared messaging based on of coordinating on the task The CBCM should take the CBCM should the purpose of awareness-raising, over with debate When faced TORs, and the Point Focal activities should be included in CBCM Awareness-raising to talk SEA, represent to uses a simple image that design a messaging campaign To raising activities and impact. These can include informal beneficiary self-assessments, self-assessments, beneficiary informal can include activities and impact. These raising KAP surveys. formal and more are used. clear messages standardized, to ensure agencies, participating from process with an is a awareness raising agencies that participating to emphasize of activities. a set and not merely (i.e. capacity-building) goal overarching activities and of Prevention on the importance agencies to CBCM should advocate as necessary. in particular, awareness-raising convey would images about what in SEA been trained who have members community groups with different the messages Test their community. to message the proper and appropriate. is understandable the message ensure to within the community
AWARENESS-RAISING FOR AFFECTED COMMUNITIES AFFECTED FOR AWARENESS-RAISING Challenge It is difficult to measure the impact of awareness-raising awareness-raising the impact of to measure It is difficult create may agencies different from coming Messages opinion between or differing be confusion may There as a prevention be de-prioritized can Awareness-raising the capture to can be difficult it or corruption, GBV Unlike activities on behavioural change. activities on behavioural not standardized. are if they confusion entails. awareness-raising activities on what agencies with immediate overburdened are activity when agencies issues. life-threatening the reduce to in order in a simple graphic, nuances of SEA in messaging. text
X X X X X
SECTION D
Protection and Assistance 104
SECTION D. Protection and Assistance CHAPTER 1 ENSURING QUICK AND APPROPRIATE ASSISTANCE TO COMPLAINANTS AND VICTIMS
Best Practice Provision of immediate assistance to SEA victims is critical and must be provided independently of allegation referral or agency investigation. The CBCM needs to coordinate both urgent and ongoing assistance services for SEA victim-complainants with existing assistance mechanisms.
Essential to Know A note on responsibilities: Setting up a referral mechanism for assistance provision does not replace or negate the responsibility of SEA perpetrators, who should be held accountable for their actions both administratively and legally. The assistance provided by a service provider does not in any way diminish or replace individual responsibility. Likewise, the provision of assistance does not serve as an acknowledgment of the validity of a claim, a form of compensation, nor an indication of acceptance of responsibility by the alleged perpetrator.
Medical assistance, counselling, and additional appropriate services must be made available to anyone who was potentially harmed by any alleged sexual exploitation or abuse. UN Resolution A/Res/62/214 obliges basic assistance and support to SEA complainants (see Explanatory note below) as part of a comprehensive approach to victims’ assistance;54 this commitment has spread throughout the broader humanitarian community.55 Basic assistance refers to services and treatment which cannot await the substantiation of a claim. Because the right to assistance belongs to the complainant, and is not tied to proof or corroboration of the SEA allegation, assistance must be provided independently of any complaint review by the CBCM or case investigation by the concerned agency.
Essential to Know A core provision of inter-agency PSEA CBCMs is that provision of assistance services is entirely independent from any additional procedure or action taken on the allegation, including referral to the appropriate investigating agency. Assistant services should be provided without reliance on the outcome of a complaint review or case investigation.
54 United Nations Comprehensive Strategy on Assistance and Support to Victims of Sexual Exploitation and Abuse by United Nations Staff and Related Personnel (7 March 2008) A/RES/62/214. 55 IASC Statement on PSEA (2015) #3: “[E]fforts should be made to ensure that the IASC response to SEA includes adequate protection and redress, including adequate assistance for survivors.” PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 105
Explanatory note
The SEA Victim Assistance Guide (2009) defines a “Complainant” as one who alleges SEA was has been committed against him/herself, and a “Victim” as one whose claim of SEA has been proven. To align the position of the Victim Assistance Guide with the mandate that assistance is not to be based on substantiating the complaint, this Guide clarifies thatall victim-complainants are entitled to an immediate needs assessment.
In addition to being an international commitment by humanitarian agencies, quick and appropriate assistance is also a CBCM best practice because submitting a complaint may expose people to the risk of retaliation if member agencies are not diligent. This risk can affect willingness to report SEA incidents, therefore the CBCM must visibly protect complainants to maintain trust in the system.
Information Complainants who are not alleged victims, including whistleblowers, may require a physical security assessment and other safeguards to protect their interests. Therefore while all victim-complainants are owed basic assistance, all complainants should receive a needs assessment.
Immediate assistance Once the CBCM receives a complaint, an immediate assessment of the complainant’s health, security, and psychosocial needs must be conducted. As determined by the Steering Committee and outlined in the CBCM SOPs, this assessment and referral to appropriate services can be carried out by the PSEA/CBCM Coordinator, a delegated CBCM member agency representative trained in victim assistance provision, or by a relevant victim assistance structure available on site. Victim-complainants should receive basic assistance and support in accordance with their individual needs directly arising from the alleged sexual exploitation and abuse. This assistance and support can comprise medical care, legal services, support to deal with the psychological and social effects of the experience, and immediate material care such as food, clothing, emergency and safe shelter, as necessary. Urgent assistance needs must be addressed immediately, and subsequent assessments should identify and address any protracted needs.
Longer-term assistance While immediate and basic assistance is not dependent upon substantiating the complaint, when the complaint is proven the victim is due expanded support to address the broad range of consequences of sexual exploitation or abuse. This may include more complex and longer-term assistance after a complaint has been validated by agency investigation. For example, in the case of a girl who has to drop out of school upon becoming pregnant as a result of SEA, the CBCM in coordination For more on providing with assistance services could help her to access alternative income-generating skills, see the “Special note on educational or vocational programmes on income-generating livelihoods” in this Guide. skills so that she can support herself and her child. 106 CHAPTER 1 Ensuring Quick and Appropriate Assistance to Complainants and Victims SECTION D. Protection and Assistance
The CBCM must:
Immediately… … and subsequently • Provide urgent medical assistance • Identify who may be at risk, and how • Address urgent safety/protection concerns • Prioritize risks – which are most urgent? • Refer children to child protection specialists • Minimize risk – how to respond?
Example In the Democratic Republic of the Congo CBCM, a complainant’s assistance needs are assessed immediately after the complaint is received. Medical referral must occur in the first 72 hours, and the official referral systems come into place at this first stage (i.e. Child Protection, GBV, etc.). After a complaint is assessed and if determined to contain an SEA allegation, complainant needs are re-assessed to ensure that no further immediate assistance is required and that the assistance provided is adequate. Thereafter, the CBCM continues monitoring the victim assistance needs and service provision.
Service mapping When designing the CBCM, stakeholders must identify existing service providers and create a referral pathway that coordinates with the support provision systems on site. Altogether, the CBCM should: • Conduct an assessment of available services and gaps for health, legal, psychosocial, and material support. • Develop a referral plan and list of referral agencies to provide immediate aid and longer-term support (see the sample Victim Assistance Referral Pathway in Annex 4). • Identify support facilitators to assist the victim-complainant to access services. • Identify standards for confidentiality, data collection, and coordination among service providers, and • Maintain full documentation of referrals made (name, location, type of care provider, etc.) for oversight. The PSEA/CBCM Coordinator should be provided with a copy of each referral.
CBCM assistance provision relies on existing services Tool in each implementation site. All PSEA assistance and support should complement rather than duplicate • The SEA Victim Assistance Guide existing support to victims of abuse and violence (2009) gives instruction on and – to the greatest extent possible – should be setting up a Victim Assistance integrated into existing programmes. If there are Mechanism, and can be modified existing assistance protocols and practices being used to the CBCM context. on site that meet minimum operational standards, the • See sample Victim Assistance CBCM must integrate its referral process with those Referral Pathways (in Annex programmes. Where existing service systems do not 4) when drafting the CBCM’s meet with international standards, CBCM member pathway. agencies must agree upon a standard protocol for clinical management as quickly as possible in the development of the CBCM.
Tip The Focal Point system within the CBCM should include representatives from the Victim Assistance network, to ensure communication between the structures. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 107
Assistance services In making the assessment for referral to assistance services, the CBCM must take the following considerations into account:
Health/medical response At a minimum, health care must include: Examination and treatment of injuries, prevention of disease and/or unwanted pregnancy, collection of minimum forensic evidence, medical documentation, and follow-up care. Health professionals must consider that SEA victims may have non-visible persistent injuries, especially if violence was used. Finally, medical treatment must be done within 72 hours for contraception or treatment of HIV to be effective.
Mental health and psychosocial support Counsel and support are needed to assist with recovery from the psychological consequences of sexual abuse, which may include feelings of blame, guilt, shame, and fear. Psychosocial support also includes case management and advocacy to assist victims in accessing needed services, as well as support and assistance with social reintegration. Mental health service providers on site should For more on Psychosocial First Aid and principled be trained in principled and ethical delivery of support to GBV assistance provision, see survivors, including Psychological First Aid. the IASC GBV Guidelines (2015). The CBCM must keep the psychosocial well-being of the victim- complainant in mind when drawing up a security/protection plan, taking into consideration that some SEA victims may be ostracized due to cultural beliefs that stigmatize survivors of sexual abuse, and SEA in particular.
Example The evaluation of the IASC PSEA-CBCM Pilot Project found that in both sites, assistance provision did not adequately address the community’s “underlying strong distaste for SEA survivors”, and needed to incorporate better longer-term assistance provision. Many victims found that local justice systems “work mainly against the best interests of the victim” in terms of addressing stigma and ostracization by their community, such as by advocating for women to leave the camp or marry the alleged perpetrator. The CBCM should address such issues, both individually through counselling and material support, and also preventatively through community awareness-raising.
Material care It is recommended that direct financial assistance not be provided as a form of general assistance, as PSEA is not a compensation-based programme. However, victim-complainants should be helped to find shelter, clothing, and/or food when the suffered sexual exploitation or abuse impedes them from using their own resources.
Security and safety response The CBCM will need to address the victim-complainant’s security and safety needs both immediately upon receipt of the complaint and following as necessary. Response must address any ongoing risks which contributed to the initial SEA incident, as well as the added risk created by reporting the complaint. One long-term means of decreasing risk is to design the entry points to the CBCM to ensure that they are safe and secure. Additionally, a Security Protection Team will need to create an immediate security plan based on the risk assessment for each complainant. Therefore, the CBCM must identify all protection/security-related 108 CHAPTER 1 Ensuring Quick and Appropriate Assistance to Complainants and Victims SECTION D. Protection and Assistance
actors during the design of the CBCM, determine which actors are For more on setting up appropriate to engage in victim protection, and coordinate their entry points, see this expected roles and responsibilities relating to the CBCM. Guide’s chapter on “Safe and accessible channels for reporting SEA”. Example In an effort to ensure the safety of SEA victims in the geographically remote areas covered by the Democratic Republic of the Congo Pilot Project, the CBCM initiated a “Survivor Accompanier” position. This individual, nominated by the Steering Committee from among the Focal Point network, offered physical support to victim- complainants in a region where they face stigma and rejection from the community.
The CBCM should offer support to the investigating agency to ensure that the Subject of the Complaint does not have further contact with the victim, such as by suspending employment from the concerned agency or by police action if appropriate. Protection services need to be involved to offer their services Tip and support. For guidance on identifying safety The CBCM should advocate the following security standards: risks during complaint • Security personnel must be trained for their work and intake, see the ICVA understand the limitations of their roles; BSO Guidelines (2007). • Security actors must receive training on prevention of and response to SEA, including the guiding principles of CBCMs, human rights standards, and standards of conduct; • Security actors must understand that many SEA complainants/victims may not wish for security intervention, while at the same time consider security issues in the entire community.
Legal/justice response Regardless of the outcome of the SEA allegation or whether the case is referred to national authorities for prosecution, the complainant/victim has an independent right to seek legal counsel regarding his/her complaint. Legal service providers, working along with the CBCM, may help complainants navigate the investigating agency’s administrative process in pursuit of their cases. It may also assist the complainant to understand how to pursue a civil or criminal claim against the alleged perpetrator under national laws.
The CBCM should identify and engage with the legal actors present on site when developing the CBCM, and coordinate their expected roles and responsibilities relating to the CBCM. These actors can include protection officers, legal aid/assistance providers such as paralegals or attorneys, prosecutors, judges, and officers of the court, as well as traditional justice actors such as elders or community leaders.
The CBCM should advocate that all legal actors clearly and honestly inform the complainant/ victim of the procedures, limitations, pros, and cons of all existing legal options. This includes: • Information about existing security measures that can prevent further harm by the alleged perpetrator. • Information about procedures, timelines, and any inadequacies or problems in national or traditional justice solutions (i.e. justice mechanisms that do not meet international legal standards). • Available support if formal legal proceedings or remedies through alternative justice systems are initiated. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 109
Traditional or alternative dispute-resolution mechanisms exist in many humanitarian contexts and may be preferable to the complainant/victim. While these mechanisms are a reflection of the sociocultural norms in the community and may not meet international standards on victim protection, the individual’s preference must be respected. The CBCM should actively engage members of traditional justice systems in the development of the CBCM legal assistance procedures, and in training workshops about PSEA and human rights to build capacity.
Training for service providers Clinics, individuals, and others providing the services described above need a firm understanding of the overall purpose of the CBCM, its policies and procedures, and how to receive cases from and refer cases to the CBCM. Service providers should be instructed on their role and on the responsibilities of the concerned agency, so that they do not initiate a separate inquiry that may interfere with the agency’s investigation. They should also receive basic training on PSEA and understand how to respond to the particular needs of victims of sexual exploitation and abuse.
Example Assistance providers that will be working with the CBCM to receive assistance referrals must be trained on the issues particular to SEA that will affect assistance provision. For example, the Evaluation of the IASC Pilot Project in the Democratic Republic of the Congo found that, due to cultural and religious dynamics, SEA survivors are discriminated against by their community and treated differently from GBV survivors. Such findings should inform the psychosocial and security responses offered to SEA victims.
Feedback to the complainant/victim Feedback to the complainant from the investigating agency on his/her case is a powerful and direct form of victim assistance. Knowing that the complaint is being addressed and properly investigated, and especially receiving communication on the outcome of the case, can allow the victim to begin healing Tool and find closure. In contrast, without any notification from the The Common investigating agency, the victim will be left feeling unheard and Reporting Platform unprotected regardless of whether the agency is actively pursuing developed by the IASC the complaint. Agencies have a responsibility to communicate Pilot Project includes basic case status and actions taken against perpetrators to SEA a means to track and victims56 and should consider that communication to be part of monitor details of a victim assistance. CBCMs should advocate amongst participating complainant’s referral to services. agencies to take up this viewpoint.
Tip As part of maintaining a holistic overview of complaint status on site, and to assist in feedback to victims/complainants, part of a CBCM’s monitoring and evaluation of the mechanism should include monitoring referral to services and feedback to the complainant/victim.
56 IASC Statement on PSEA (2015). Statement of Commitment (2006) #9: “Regularly inform our personnel and communities on measures taken to prevent and respond to sexual exploitation and abuse.” 110 Recommendation ENSURING ASSISTANCE ENSURING Varied definitions over the beneficiary definition should not impact PSEA response. Humanitarian principles response. Humanitarian PSEA definition should not impact over the beneficiary definitions Varied (2015) on PSEA the IASC Statement unstandardized, is currently provision assistance While longer-term should be clearly outlined in the CBCM on site available and the assistance providers assistance Longer-term by all upon in need of security services should be agreed persons assisting physically for The responsibility has a complainant where in instances However, it is not wanted. where assistance provide The CBCM cannot the e.g.complaints, promoting of bringing communal importance the campaigns should emphasize Information should underlie all humanitarian assistance regardless of political status or identity of the victim. Therefore, of the victim. Therefore, or identity status of political regardless assistance should underlie all humanitarian affect SEA, against prohibition a “beneficiary”override the should not on who constitutes debates agency most by the CBCM, and agencies concerned to of incidents referral and SEA of survivors identification assistance. should not impede access to importantly CBCMs support to which provides survivors,” to assistance “adequate provide to the commitment reinforced practices. assistance improved for advocate SOPs. in the CBCM identified and the persons and service providers) security personnel, (CBCM stakeholders, actors when needed. available is always an escort schedules so that with rotating SOPs offer all basic still the CBCM should compensation, for exchange in his/her allegation or withdrawn changed the needs assessment. by services, as warranted and safety psychosocial, medical, to SEA. being subjected community member from fellow a prevent may reporting that message
Challenge constitutes a beneficiary, particularly in an IDP a beneficiary, constitutes camp controlled (i.e. outside a closed, situation over what resistance provoke can This setting). which has definition, under the SEA individuals fall assistance. denial of victim’s led to or impact of pregnancy the long-term address of a child status the citizenship example, For HIV. is legally states in most survivor an SEA born from undetermined. security services where in security situations not available. are escorts e.g. accepting settlement, amicable for complaint their or withdraw to change compensation not only the which compromises statements, but also potentially investigate, ability to agency’s accessing necessary victims from prevents services. assistance Agencies have diverse interpretations of what of what interpretations diverse have Agencies to available is not always assistance Appropriate to necessary lack access may Victim-complainants a to drop victims will choose Occasionally,
X X X X PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 111 Recommendation ENSURING ASSISTANCE ENSURING The CBCM should work with participating agencies to build capacity in the local legal system, always advocating advocating always system, legal capacity in the local to build agencies with participating The CBCM should work acts that certain and/or protection of human rights standards international do not meet laws local Where victims and witnesses when of SEA on the families the impact of SEA should also consider provision Assistance for national authorities to SEA allegation an refer to agency whether It is the decision of investigating the CBCM does Because of holding perpetrators method strong is a for criminal acts of SEA While prosecution services, assistance available about beneficiaries inform should be to awareness-raising of community Part for victims’ rights. for community should affected for the awareness-raising legislation, under national not illegal are SEA constitute not be may Codes of Conduct – i.e. while an act SEA and agency laws between the difference emphasize onto. signed offender the alleged to the Code of Conduct that “wrong” it is still according the law, against needs assessments. conducting to send a the wishes of victim. The decision consideration taking into ideally possible criminal prosecution, services, basic assistance receive to complainant of the the right affect does not criminal prosecution for case of each other. independent are aid. The two and legal including security measures in each service providers competent and with professional advocate it must victim assistance, direct not provide It should also promote survivors. SEA assist to procedures referral develop with the CBCM and to engage to site Exposure Post such as structures, service GBV supplies within existing emergency of PSEA-related the availability should work CBCM the lacking servicesthese are Where exposure). HIV to response (emergency Kits Prophylaxis put in place. these services are that ensure to actors with GBV a visual chart The CBCM should make free. are they and that located, are they access them, where to how and staff for can be used during trainings which victim assistance, for process the referral demonstrates that services on site. available and actors relevant the to understand beneficiaries
Challenge
or how to receive it. receive to or how framework of the host country. Provisions of legal of legal Provisions country. of the host framework standards international meet to fail support may legal or inefficient a corrupt example, for due to, system. SEA survivors, SEA can have an additional harmful an additional harmful have can SEA survivors, SEA and witnesses to families impact on both survivors’ the incident. national to cases report and when to on how to a amounts complaint authorities when the SEA criminal offense. assistance the PSEA/CBCM services that assistance link with. can system referral Due to power relations between perpetrators and perpetrators between relations power Due to unclear currently are standards International GBV strong do not have sites Some response Victims may be unaware of their right to assistance, assistance, to right their of unaware be may Victims The provision of legal aid is dependent on the legal on the legal aid is dependent of legal The provision X X X X X 112
SECTION D. Protection and Assistance CHAPTER 2 PREVENTION ACTIVITIES AND POLICIES
Best Practice The CBCM should engage in activities designed to prevent SEA incidents from occurring and advocate for agency policies – and active implementation of these policies – that promote an SEA-free environment.
Whereas the provision of assistance is a function of the CBCM For more on providing designed to aid SEA complainants/survivors once they have individualized assistance, already been victimized, taking into account the individualized see this Guide’s chapter on “Ensuring quick and situation, prevention measures are aimed toward the whole appropriate assistance for community. The goal of prevention is to stop SEA before it occurs complainants and victims”. by encouraging behaviour change. Therefore, prevention activities and policies should target everyone: potential offenders, complainants and/or survivors alike, as well as government authorities and host communities so that the whole geographical region experiences one unified prohibition of SEA.
Information Many PSEA commitments admirably create protocols for how to respond to sexual exploitation and abuse where it occurs. The CBCM’s goal here is to preemptively keep SEA incidents from happening through targeted prevention activities.
Prevention is traditionally viewed as the first step in a 3-part PSEA approach, with response (i.e. investigation and case management) and the Complaint Mechanism itself being separate parts. However, SEA prevention is a main strategic aspect of a CBCM, and should bea prioritized part of the design and maintenance of the mechanism.
Hard questions
Much of the work that a CBCM and participating agencies can do to reduce SEA incidents involves building capacities and reducing risk factors by targeting potential victims. Reducing vulnerability of potential victims is important, but stakeholders should not lose sight of the big question: Why do humanitarian workers abuse beneficiaries? It is often easier to educate and empower the affected population than to, e.g. change the gender power imbalance or a culture of impunity in a region, but these societal issues need to be taken into account to address contributing risk factors and create targeted responses. SEA Prevention must bea holistic response and should not only target the behaviour of potential victims – the primary focus should be to deter potential abusers from violating their duty to protect the persons under their care. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 113
Many of the following prevention activities and procedures are the responsibility of agencies. The CBCM must coordinate with agencies Tool on designing and promoting prevention measures, and should The CBCM assist agencies in developing stronger internal policies where their should keep the standards fall short of international norms. Much of a CBCM’s international prevention efforts will involve advocating that agencies fulfill their commitments cited in this Chapter and prevention duties, aiding them to do so, and coordinating efforts found in Annex 2 so that messages are consistent. on hand, ready to use for support in Developing and circulating internal policies advocacy of the following best Strong institutional PSEA policies and Codes of Conduct are key practices. prevention tools because they are the regulations that an agency will ultimately use to hold an offender accountable. Agencies have a duty to establish such policies, as well as to write a Workplan to implement these policies.57 The Workplan should be endorsed and supported by the agency’s senior management and linked to accountability activities and objectives in order to succeed in its implementation. Full operationalization of PSEA policies (e.g. by conducting thorough SEA investigations and effectively sanctioning proven SEA perpetrators) sends a strong preventative message both inside and outside an organization. Additionally, agency whistleblower policies should explicitly welcome good faith reports of SEA, and agencies should make clear to their staff that no action will be taken against any worker who makes such an allegation in good faith.58 Removing staff fear of reporting due to retaliation will encourage reporting and result in a deterrent effect on potential offenders.
Going beyond the establishment of policies, agencies need to ensure that all humanitarian staff – at every level of employment/partnership with the agency – are made fully aware of these internal policies.59 Agencies should ensure that all new recruits, volunteers, and contractors understand their own and others’ roles and responsibilities to protect beneficiaries from SEA, the policies and codes of behaviour applicable to them, and the consequences of conduct violations.60 The CBCM should be available to assist agencies with circulating their policies to ensure maximum understanding among both staff and the affected community. Raise staff awareness and ensure proper supervision
Raising staff awareness and building capacity are behaviour change tools in support of SEA prevention. Considerations include ensuring that staff receive PSEA sensitization and/or training, and ensuring a gender balance among field staff, particularly for activities where SEA may occur.61 Trainings should reinforce the obligation to report SEA/misconduct, and remind staff that there is a policy for protection from retaliation in place. Having a standard
57 MOS-PSEA (2012) #1 “Effective Policy Development and Implementation” Indicator 1: “A policy stating standards of conduct, including acts of SEA, exists and a work plan to implement the policy is in place.” 58 Statement of Commitment (2006) #5: “Take appropriate action to the best of our abilities to protect persons from retaliation where allegations of sexual exploitation and abuse are reported involving our personnel.” 59 MOS-PSEA (2012) #1 Indicator 2: “The policy/standards of conduct have been conveyed to current staff and senior management (at HQ and field level) on repeated occasions (such as inductions and refresher trainings).” 60 MOS-PSEA (2012) #6 “Effective recruitment and performance management” Indicator 1: “The organisation makes sure that all candidates are required to sign the code of conduct before being offered a contract.” Also MOS-PSEA (2012) #7, Indicator 2 “Training on misconduct (specifically mentioning SEA) forms part of the induction process.” Statement of Commitment (2006) #2: “Incorporate our standards on sexual exploitation and abuse in induction materials and training courses for our personnel.” 61 MOS-PSEA (2012) #7 “Effective and comprehensive mechanisms are established to ensure awareness-raising onSEA amongst personnel.” 114 CHAPTER 2 Prevention Activities and Policies SECTION D. Protection and Assistance
For more on content of staff Code of Conduct among CBCM participants can make inter-agency trainings see this Guide’s trainings simpler and more efficient to coordinate. chapter on “Humanitarian staff: Training and capacity- building”. Participation in Code of Conduct trainings (or similar) that include PSEA should be part of employee supervision and performance appraisals, and senior management appraisals should include respecting the commitment to create and maintain an environment which prevents SEA and promotes implementation of the Six Core Principles.62 The CBCM should be available to assist in planning and performing PSEA trainings, and in developing a See this Guide’s “Special note on Common Codes Common Code of Conduct where desired. of Conduct”. Awareness-raising for the affected community
Beneficiaries must understand their PSEA rights and the relevant standards and procedures on PSEA that will affect them, including how to access the CBCM. Each organization should develop articulated PSEA awareness-raising expectations and clearly share these goals, along with training tools and materials, to its field offices.63 Special outreach should be made to women’s and children’s groups, schools, religious leaders, and other community leaders. Public messaging shall announce that services are free and no beneficiaries are expected to give anything in return, and illustrate the entry points to the For more on beneficiary CBCM and simple information about reporting and referrals in awareness see this Guide’s the local language(s) and/or as a visual presentation. The CBCM Chapter on “Awareness- should be available to help design and publicize coherent and Raising for Affected Communities”. consistent public messages with the participation of agencies and community members.
CBCM’s role – Community engagement
A Prevention strategy that the CBCM can control on its own is to maintain a strong engagement with the community. The mechanism should continue to speak with and listen to affected communities about PSEA issues as they are perceived by the beneficiaries themselves, and target Prevention activities accordingly. Maintaining this close connection will simplify the proactive monitoring of SEA incidents and trends, and ensure appropriate response.
Recruitment and vetting
An effective means of Prevention is to ensure that SEA offenders are not re-hired or recruited back into humanitarian work, either in the same or another agency. To avoid re-hiring within the same agency, Human Resource departments should maintain complete records of disciplinary procedures. Ideally, though more difficult in practice, this system should
62 MOS-PSEA (2012) #6, #Indicator 3: “Supervision and performance appraisals include adherence to participation in Code of Conduct trainings (or similar) that includes PSEA” and Indicator 4: “Performance appraisals for Senior Management include the adherence to create and maintain an environment which prevents sexual exploitation and abuse and promotes the implementation of the ST/SGB/2003/13 or code of conduct.” 63 MOS-PSEA (2012) #4 “Effective and comprehensive communication from HQ to the field on expectations regarding raising beneficiary awareness on PSEA” Indicator 1: “The HQ has communicated in detail the expectations regarding beneficiary awareness raising efforts on PSEA (including information on the organisation’s standards of conduct and reporting mechanism)” and Indicator 2: “The HQ has distributed examples of awareness raising tools and materials to be used for beneficiary awareness raising activities”; Statement of Commitment (2006) #9: “Regularly inform our personnel and communities on measures taken to prevent and respond to sexual exploitation and abuse.” PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 115 record procedures against all workers including short-term staff, contract workers, interns, and volunteers. Avoiding recruitment of SEA offenders from one agency to another requires sharing of internal agency information that may contradict internal confidentiality or data protection policies, as well as national privacy laws.
The re-recruitment of offenders is a major protection problem, especially when offenders are hired into the same site causing a serious breakdown in beneficiary trust. Re-recruitment within the same camp or site sends a message to the community that humanitarian workers can sexually abuse and exploit persons with impunity. It also becomes a potentially dangerous situation for the person who reported the incident, as it is likely that in the course of any investigation the perpetrator will have a reasonable idea who submitted the allegation.
Information Visible re-recruitment of persons accused of SEA is one of the greatest barriers to reporting and community participation in a CBCM. This demonstrates one reason why prevention efforts – such as advocating for institutional reform in Human Resources’ recruitment practices – are so deeply entwined with the sustainability and effectiveness of the inter-agency CBCM.
There is currently no inter-agency agreement on sharing internal disciplinary records to prevent re-recruitment, but agencies Tools participating in a CBCM should come to some agreement amongst Challenges and themselves. The CBCM should advocate that agencies follow Options to Improving the practice of obtaining references from previous employers Recruitment Processes for candidates for employment to ensure that applicants have in the Context of not been subject to disciplinary action for breaching a former Protection from Sexual Exploitation and Abuse employer’s Code of Conduct (including SEA). It should also (PSEA) by our own Staff strongly recommend that Human Resources thoroughly checks 2013, IASC Task Force for declarations of criminal records, along with qualifications on PSEA. and prior employment records before hiring.64
Be Aware Agreement between agencies on the minimum standards for avoiding re- recruitment of SEA offenders is an area that still needs discussion. Where participating agencies are willing to take action to prevent re-recruitment of offenders, the CBCM should work with Human Resource departments so that practices are as uniform as possible to create a strong message against SEA.
PSEA clauses in contracts
A major protection gap in PSEA is that not all agencies have made commitments to fight SEA, especially not smaller local partners who may have the most direct interaction with beneficiaries. This gap can be filled by binding all contractual partners to the samePSEA commitments by adding a PSEA clause to their contracts (see sample PSEA Contract Clauses in
64 MOS-PSEA (2012) #6, Indicator 2: “Each organisation commits to improving its system of reference checking and vetting for former misconduct.” The IASC Guidelines to Implement the MOS-PSEA (2013) state that an organization’s recruitment policy should include reference checks, including criminal ones, to meet this principle. See also Statement of Commitment (2006) #3: “Prevent perpetrators of sexual exploitation and abuse from being (re-)hired or (re-)deployed.” 116 CHAPTER 2 Prevention Activities and Policies SECTION D. Protection and Assistance
Annex 4).65 This clause should be specific to SEA and go beyond a generic statement related to the Code of Conduct. It should state that the norms found in the Secretary-General’s Bulletin on SEA (or the equivalent non-UN Commitments66) apply to all parties to the contract and outline legal consequences if the contracting partner does not fulfill its obligations, including: • Take preventive measures against sexual exploitation and abuse • Investigate allegations thereof, and • Take corrective measure when sexual exploitation and abuse has occurred
The CBCM should make an assessment of all existing aid providers on site, catalog their PSEA commitments (or lack thereof) and encourage larger partners to sign and enforce PSEA Clauses with agencies who are lacking commitments. The mechanism should advocate to agencies that failure to fulfill the PSEA contract clause should result in termination of a cooperative arrangement.
Human Resources’ role
Because many agency prevention strategies involve Human Resources (contract signing, recruitment policies), it is a good practice to embed PSEA responsibilities in their staff initiation function. One option is to place a Senior PSEA Focal Point within theHuman Resources office at the national level. This person can ensure that systems are in place for performance appraisals that incorporate PSEA, that PSEA and whistleblower clauses are read and understood when beginning employment, and that there is oversight of screening for SEA allegations in the hiring process. Where installing such a position is not feasible, Human Resource officers performing such tasks should at least be trained in PSEA principles.
Example The Evaluation of the IASC Pilot Project found that agency staff in both sites are unclear on their agency's policy on whistleblowing and that their PSEA policy - if present - is a binding obligation on the staff member directly. Confusion on the nature of these documents can hinder reporting and lead staff to believe they are immune from discipline. Embedding the responsibility to explain these policies within Human Resources will ensure that this policy information is communicated to all new staff.
65 MOS-PSEA (2012) #2 “Cooperative Arrangements” Indicator 1: “SG’s Bulletin (ST/SGB/2003/13) or respective codesof conduct are included in general contract conditions” and Indicator 2: “Procedures are in place to receive written agreement from entities or individuals entering into cooperative arrangements with the agency that they are aware of and will abide by the standards of the PSEA policy.” 66 The Secretary-General’s Bulletin on SEA (2003) and Statement of Commitment (2006), which outline these norms for both UN and non-UN agencies, are included in Annex 2. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 117 Recommendation The CBCM should regularly advocate that agencies fulfill their existing PSEA PSEA existing fulfill their agencies that advocate The CBCM should regularly inter-agency involve that activities The CBCM should spearhead prevention tools awareness-raising collaborative the lead in creating The CBCM should take the IASC not aligned among agencies, currently are processes While recruitment commitments – which include Prevention – and be available to assist agencies when agencies to assist available – and be – which include Prevention commitments requested. community messaging and writing a Common Code of such as designing coordination, Conduct. may not policy one uniform SEA policies. Where agency all participating reflect that the between on the differences and educate be possible, the CBCM should compile standards. minimum international policies meet that advocating policies, while still the liability risk to mitigate in 2013 order issued recommendations Principals have above). (cited of SEA has a record that of a person with the recruitment comes that to commitment the reinforced (2015) which on PSEA In addition, the IASC Statement to operationalize efforts “concerted includes allegations, SEA to responses strengthen for of individuals disciplined re-recruitment the for preventing the recommendations for improved to advocate tools useful are and Recommendations The Statement SEA”. among member agencies. practices Human Resource
PREVENTION Challenge Prevention activities are often deprioritized by actors in the by often deprioritized are activities Prevention it make policies can agency between The lack of uniformity There is currently no standardization of practices to prevent prevent to practices of standardization no currently is There re-recruitment of SEA offenders, and efforts to promote promote to efforts and offenders, of SEA re-recruitment confidentiality agency by hindered are procedures standard policies. and data-protection field as they are not immediately responding to emergency to emergency responding not immediately are field as they (i.e. not “lifesaving”). situations to the SEA against a single, clear policy present to difficult community. agencies, and the CBCM has no authority over agency agency and the CBCM has no authority over agencies, actions. Many prevention activities are the responsibilities of are the activities prevention Many
X X X X 118 Special Note on Livelihoods SECTION D. Protection and Assistance
SECTION D. Protection and Assistance SPECIAL NOTE ON LIVELIHOODS
Definition
A livelihood is a means of making a living. It encompasses people’s capabilities, assets, income and activities required to secure the necessities of life. A livelihood is sustainable when it enables people to cope with and recover from shocks and stresses (such as natural disasters and economic or social upheavals) and enhance their well-being and that of future generations without undermining the natural environment or resource base. Livelihood programming is the teaching of Income Generating Activities such as farming, carpentry, and animal husbandry, thereby empowering participants and guarding them against being lured to exploitation for material gain. * IFRC website, www.ifrc.org/en/what-we-do/disaster-management/from-crisis-to-recovery/what-is-a-livelihood/
Livelihood activities tie directly into GBV prevention – and therefore PSEA – empowering the affected population and reducing vulnerability factors by imparting marketable skills upon an otherwise vulnerable population. Especially in sites where poverty is a high risk factor for SEA, livelihood programmes offer concrete means to both reduce vulnerability by teaching marketable skills and generating income, and empower survivors in recovery. Socioeconomic support through livelihoods is both an SEA prevention method and a form of assistance for survivors.
Essential to Know Referral to livelihood programmes is addressed separately in this Guide because it is a protection strategy that falls under both Prevention and Assistance. It is not the only protection strategy available for CBCMs, but it is a solution that has achieved some success in select projects. Referral to a livelihood project should be assessed along with referral to other interventions that reduce vulnerability to GBV, e.g. sexual and reproductive health rights interventions, protection interventions, etc.
Prevention Livelihood provision can serve to decrease vulnerability to sexual exploitation, as part of a comprehensive response that takes into account other risk factors (e.g. detrimental gender stereotypes, insecurity). The programme generates economic empowerment and increased independence which can reduce risk-factors for any member of the community. It is also a sustainable model, because recipients of a livelihood programme own their new skills and bring them back to the community and/or new locations. Additionally, the experience of working together to learn a skill creates an open atmosphere where beneficiaries become comfortable talking amongst each other under a new social context. When an issue or complaint arises, livelihood programmes can encourage reporting because participants will be more comfortable opening up in this bonded social group. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 119
Be Aware Empowering vulnerable communities can play a role in preventing SEA incidents, but this in no way diminishes agency responsibilities to fight the root cause of SEA. Livelihoods may reduce certain vulnerability factors which may contribute to a beneficiary being subjected to SEA, but it does not in any way absolve offender behaviour, and should never be used to misrepresent or distort the true drivers of SEA, which are the humanitarian workers who choose to abuse beneficiaries. Prevention priorities should be placed on targeting behavioural change in potential offenders and not on changing victim behaviour. Livelihood programmes must be one part of a comprehensive prevention strategy (e.g. with staff awareness-raising, child protection, and/or sexual and reproductive health and rights programmes) designed to address as many risk-factors of SEA as possible.
Assistance Livelihood support may also be an appropriate form of direct assistance for some survivors, particularly adults who are subjected to sexual exploitation. Where used, referral to such assistance must be part of a comprehensive service package and correspond with the distinct needs of the survivor. It is imperative that livelihood assistance be offered in a manner that protects the survivor’s identity and safeguards against stigmatization, and is constantly monitored to ensure that survivors are not subjected to further exploitation and risk as a result of their selection for a livelihood programme.
Essential to Know
Under the same concerns involved in setting up an For more on SEA-specific SEA-specific CBCM, the CBCM is not advised to develop its programming concerns, see this Guide’s chapter own livelihood programme just for SEA survivors as part of an on “Scope of the CBCM”. assistance package. Such a programme too readily identifies and potentially endangers participants. Rather, where appropriate the CBCM should incorporate the practice of referring survivors to existing livelihood programmes on site to ensure the benefits of the programme For more on linking to existing assistance mechanisms, see this while minimizing stigmatization. Linking the CBCM’s Guide’s chapter on “Ensuring quick assistance referral pathway to pre-existing livelihood and appropriate assistance for programmes and avoids duplication of efforts. complainants and victims”.
Social impact Persons involved in livelihood projects that involve a cooperative aspect spend time together in activities that not only generate income, but also provide them with psychosocial support and a safe and trusted space to talk about their problems, to For more on Focus Groups, receive information, and to share stories of abuse and exploitation see this Guide’s chapter if desired. Like the smaller awareness-raising focus groups, these on “Awareness-Raising for gatherings may provide a trusted entry point through which to affected communities”. report SEA incidents. 120 Special Note on Livelihoods SECTION D. Protection and Assistance
Example In Dollo Ado, Ethiopia, one agency independently began a low-cost livelihood programme using scrap material from existing housing projects to teach women to build stools, which the women then sold. The women reported that they enjoyed learning the new skill and appreciated the small income that it generated, while especially relishing the novel opportunity to get together with other like-minded women in the camp to pursue the communal activity. The supportive atmosphere and the income-generating skill increased their confidence and perceived independence, a solid step in reducing vulnerability to SEA.
Referrals to livelihood programmes are not appropriate in all response settings. For example, in sites where bartering sex for aid is not directly due to poverty but rather is caused by societal pressures on young women, skills-training is not a targeted response. Similarly, where children or physically For more on local consultations, see this handicapped persons are the primary targets of abuse, skills- Guide’s chapters on training programmes may not be accessible to the most at-risk “Engaging affected groups. When looking into incorporating livelihood referrals into populations” and “Engaging national NGOs, CBOs, and a CBCM, stakeholders should consult with the community and community structures”. local organizations to determine the practicality of such a referral programme in that site.
Example In the Democratic Republic of the Congo PSEA-CBCM, complaint records demonstrate that the majority of SEA allegations (67%) involve children, and the mechanism chose not to link with a livelihood programme. In contrast, the Melkadida CBCM chose to work with such a programme on site, after conducting a survey which indicated that the local population identified gender imbalance and poverty as particularly conducive to SEA.
Where included in a CBCM, the process for referring individuals to a livelihood programme must be clearly and explicitly outlined between the CBCM and implementing partners in the CBCM SOPs. The CBCM should coordinate with the Cluster/Sector organizing livelihood programmes on site to agree on how the programme will receive referrals from the CBCM. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 121 Recommendation In a livelihood programme that is not SEA-specific (as recommended in this Special recommended (as is not SEA-specific that programme In a livelihood to an referral coordinating for will be responsible Coordinator The PSEA/CBCM not programmes, assistance broader to programmes CBCMs should link livelihood a Linking to programme. a livelihood linking to before Conduct a risk-assessment principled SEA provide to is not mandatory programme a livelihood Linking to Note) the CBCM will not have to worry about receiving fraudulent SEA claims just claims just SEA fraudulent about receiving worry to the CBCM will not have Note) all programme, broader Under a benefits. generating the income access to have to the programme to be referred can complainants and SEA apply, in need can persons as appropriate. will referrals livelihood would de-prioritize which stakeholders so programme, existing effort. to no little expend to have because and of the survivor, stigmatization avoid to This is both be SEA-specific. factors. of vulnerability range reducing a wide by beneficiaries benefit can livelihoods “SEA survivor”SEA, so victims of as potential considered can be All beneficiaries programme. for the selection in beneficiary should be only one criterion may not be advisable. – in such a setting – if one exists programme livelihood it will that the CBCM trusts and should only be used where and assistance, prevention community. to the be beneficial
REFERRAL TO LIVELIHOODS TO REFERRAL Challenge Due to the inherent economic benefit of livelihood of livelihood benefit economic the inherent Due to livelihood de-prioritize may CBCM stakeholders will survivors SEA only for programmes livelihood Providing at- are assistance material people who receive In some sites that programmes lack livelihood may site The response programmes, past programmes have faced the problem of the problem faced have programmes past programmes, to order SEA claims in fraudulent submitting beneficiaries programme. be included in the livelihoods overload, particularly as activities due to programmes it is not immediately because strategy, a Prevention lifesaving. become may which stigmatization, to participants expose and other join livelihood to the survivors for a deterrent activities. empowering community members. by risk of attack – e.g. selection objective of oversight standards meet etc. needs, market to local activities matching criteria,
X X X X X
SECTION E
Monitoring and Evaluation of the CBCM 124
SECTION E. Monitoring and Evaluation of the CBCM CHAPTER 1 MONITORING AND EVALUATION WITH PROGRAMME ADJUSTMENT
Best Practice A CBCM must have a system in place to assess its functioning including awareness-raising events, complaint handling procedures, and overall SEA trends and patterns. Based on monitoring and evaluation of the mechanism’s effectiveness, the CBCM must engage in regular programme adjustment to ensure that the system remains relevant and targeted to local needs.
Systematic monitoring and evaluation is key to assessing whether a complaint mechanism is working and properly adapted to the local context, to extract lessons learned, and to make necessary improvements to the CBCM and humanitarian programming as a whole. Monitoring and evaluation data should come both from consultations with communities as well as statistical analysis of complaints and events within the CBCM. It is important to engage the affected population in both information gathering and programme adjustment, as their satisfaction and use of the CBCM is the primary evidence of its successfulness. Similarly, it is important to engage with participating agencies on how well the CBCM in integrating with their internal procedures, so that the CBCM can continue to receive support and be sustainable.
Essential to Know When conducting programme adjustment, CBCM member agencies must be particularly conscious of how the mechanism may inadvertently put beneficiaries at risk. The CBCM should be mindful of any programme operations that may be stigmatizing complainants/survivors.
Securing feedback during monitoring Beneficiary feedback on the quality of the CBCM should come from group discussions that encourage two-way communication and full engagement. The CBCM should also provide means of anonymous feedback for the comfort of those who prefer not to be identified. Surveys perform such a function, as well as allowing beneficiaries additional opportunities for reporting situations or incidents. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 125
Tools
• Knowledge, Attitude and Practices (“KAP”) surveys given before, during, and after an initiative can reveal a baseline from which to measure impact after the mechanism has been set up. • Beneficiary satisfaction surveys can also yield precious information for refining, improving, or sustaining a complaint mechanism.
Making adjustments The assessment process does not stop at conducting thorough monitoring and evaluation, however. An effective CBCM depends upon taking the information gained from assessing the mechanism and using that information to make the necessary improvements in light of new data and feedback.
Example In the Democratic Republic of the Congo CBCM Pilot Site, 46% of identified SEA victims were children as of the end of 2015. The CBCM conducted a KAP survey which revealed that women and girls did not have a good understanding of the CBCM and were not effectively reached by awareness-raising on SEA and reporting mechanisms. Thereafter, the CBCM made extra efforts to strengthen women’s committees inthe camps and to increase training for women and girls.
Tools Use checklists for implementation, training, etc., activities to ensure that all tasks to set up and sustain a CBCM are accomplished in an objective and timely manner. Completed checklists also keep clear records of what actions have been done and by whom for later evaluation. See, e.g. The “HAP Sexual Exploitation and Abuse Prevention & Response Tally Sheet”.
Accountability Proper programme adjustment accomplishes more than keeping the CBCM effective. It is also a strong means of accountability to the affected population. If CBCM stakeholders solicit feedback on the CBCM, and then make adjustments based on that feedback, it is a strong indicator to the community that their input is respected and meaningful. Failure to consider and apply such feedback – or effectively communicate to community member why their feedback was not followed up on – can lead to a breakdown of trust and resulting reluctance to participate in the CBCM. Areas to monitor Monitoring and Evaluation, and the resulting Programme Adjustment, are needed in three areas of the CBCM: 1. Awareness-raising events A CBCM should assess the impact of awareness-raising events, so that effective methods can be replicated and ineffective methods improved upon.
Maintaining records on Awareness-Raising activities held on site can aid the efficiency and sustainability of the CBCM. At a minimum, having current records on what trainings have been conducted will minimize duplication of efforts and avoid staff fatigue and beneficiary overload of information. It will also encourage buy-in to the CBCM over the long term. For 126 CHAPTER 1 Monitoring and Evaluation with Programme Adjustment SECTION E. Monitoring and Evaluation of the CBCM
a site with strong data maintenance, awareness-raising records can be compared against complaint records to analyse the impact of PSEA trainings and events in the long term. The results can inform programme adjustment and enhance the effectiveness of the CBCM overall.
Tip Programme Adjustment: If one location is receiving regular awareness events and SEA incidents continue in that region, and/or beneficiary surveys do not show raised knowledge, increasing the frequency of events may not be the answer. The CBCM should look further into the SEA risk-factors present on site, and assess whether it needs to adjust its messaging and or/target audience. This is a good opportunity for encouraging the involvement of the local community in CBCM programming.
Remember: Increased awareness-raising activities may lead to an increase in SEA reporting not because the number of SEA incidents is rising but because beneficiaries have improved access to/ knowledge of the complaint mechanism. Proper trend analysis will take into account reporting spikes that reflect successful awareness-raising results (i.e. increased use of the CBCM).
Example From the date the complaint mechanism in the Democratic Republic of the Congo Pilot Project was operational and awareness-raising activities began, the CBCM received 41 SEA complaints in the span of 8 months. This shocking number does not indicate a sudden increase in SEA incidents in the Democratic Republic of the Congo – some of these complaints alleged incidents dating back two years. Rather, it positively illustrates that a working complaint mechanism can receive disproportionate numbers of complaints once beneficiaries are aware of their rights and know how to access the CBCM.
Lack of a comprehensive understanding of PSEA awareness on site can result in inefficient implementation of programming, leading to lack of trust from the affected population, waste of money and resources, and ultimately an unsustainable mechanism. A best practice in information gathering is the use of beneficiary satisfaction and KAP surveys before, during, and after an initiative. Such surveying allows for direct beneficiary feedback on the perceived effectiveness of the mechanism, e.g. which practices work for them and which do not.
Information Survey contents: • Questions included in beneficiary satisfaction/perception surveys can range from how relevant a person feels the complaint mechanism is to their own personal situation, to whether they feel the CBCM and/or investigating agency provides sufficient feedback on complaints, to satisfaction with how SEA cases were handled. • KAP survey questions can measure understanding of the CBCM reporting channels, perceptions of the most likely perpetrators of SEA, and attitudes towards SEA survivors. Knowledge and Awareness Tests should be conducted early in the implementation of a CBCM, to establish the baseline knowledge for comparison over time.
Tip While it is important to collect data on beneficiary knowledge and perceptions in the design of the CBCM, such views can change over time as beneficiaries interact with the CBCM and populations shift. It is important that information gathering is conducted regularly to capture changing attitudes and community development. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 127
While the CBCM may devote considerable investment of time and resources in tracking the impact of PSEA awareness-raising among the affected community, the tracking of increased staff awareness is largely the role of agencies conducting internal training sessions. Unless and until agencies agree on harmonized PSEA training on-site, staff of different agencies operating in the same site will have varying levels of PSEA awareness. Currently, many agencies do not have a structured monitoring system to track the development of staff attitudes and behaviour towards SEA. The CBCM should work with agencies on site to monitor and track the results of staff training sessions, in order to maintain a comprehensive view of knowledge on site, avoid duplication of efforts, and fill in any observed knowledge gaps.
Information Many agencies admirably conduct PSEA trainings for their staff. What is now needed is monitoring of whether these trainings are having the desired effect: behaviour change leading to an eventual eradication of SEA incidents. Trainings must be tailored to local contexts and adequately explain agency PSEA policies and the consequences of violating them to be effective – monitoring and evaluation can help determine if the trainings are working by monitoring awareness improvement.
Based on information gleaned from strong record-keeping, data tracking, and communication with stakeholders, the CBCM can adjust its programming to ensure that its awareness- raising events continue to be relevant, fill knowledge gaps, and are conducted using socially appropriate methods. 2. Complaints handling A CBCM should regularly review whether the mechanism is maintaining the timeframes and procedures outlined in its SOPs.
The CBCM is a self-monitoring system, and as such has a responsibility to regularly ensure that it is performing its own functions efficiently. While the mechanism does lose direct control over a complaint once the allegation is referred to the concerned agency for follow up, there are several procedures the CBCM can and should be monitoring. The most important aspects of complaint handling are ensuring that timeframes are respected, that the complaints are communicated to the proper entity, and that complainants/survivors receive meaningful feedback.
Timeframes The CBCM should regularly assess whether procedures are being followed within the timeframes outlined in the CBCM SOPs, including allegation referrals, beneficiary referrals for assistance, reporting responsibilities, etc. Timely referral of allegations is clearly an important accountability step to both beneficiaries and to the concerned agency, but all timeframes are meaningful. Regular delays in CBCM functions, though seemingly minor or harmless, can reflect larger issues and should not be ignored.
Information Delays in complaint handling can be an indicator of larger problems in a mechanism, such as inadequate human resourcing or even outright corruption. Investigating the cause of delays should be part of regular CBCM monitoring and evaluation. 128 CHAPTER 1 Monitoring and Evaluation with Programme Adjustment SECTION E. Monitoring and Evaluation of the CBCM
Referrals The CBCM should monitor that complaints are effectively reaching the unit of the concerned agency tasked with investigating SEA,67 and that cases are closed within an appropriate timeframe. Once the complaints are referred to the agency, the CBCM is reliant onthe concerned agency to receive complaint status data, and it should document all such SEA case data it does receive so that the mechanism has an overall view of the complaint progress on site. Such an overview is necessary both to maintain the mechanism’s own accountability to the affected population, and more broadly to improve the PSEA culture on site through informed advocacy to improve case handling practices.
Tool A mid-term evaluation is a standard practice of evaluating the effectiveness and/or success of a programme after it has been active for a determined amount of time. The CBCM can measure its own referral process in this way.
As the mechanism that is supporting inter-agency cooperation on PSEA, the CBCM should coordinate feedback to survivor/complainants, and maintain an overview of the total number of ongoing cases in its site. Cataloguing up-to-date case status information is difficult given the lack of feedback from agencies’ investigation units. However, to the extent possible and in coordination with internal investigative policies and procedures, the CBCM should encourage agencies to provide the following information:
Desired agency feedback
1. When the complaint was received by the agency’s investigative unit; 2. When/whether investigation commenced or the complaint was determined an insufficient basis to proceed; 3. When the investigation concluded; 4. The outcome of the investigation; and 5. When/whether the outcome (or any information) was provided to the survivor.*
* The Global SOPs on inter-agency cooperation in CBCMs, which have been agreed upon between agencies at the Headquarters level, encourage participating agencies to provide the CBCM with this basic case status information.
The CBCM should maintain records on all complaints it receives, including non-SEA complaints. For the affected population to have faith in the CBCM, all complaints reported to it must be assessed, recorded, and transferred to the relevant agency or Cluster for follow-up, not just those alleging SEA. The PSEA-CBCM therefore has a vested interest in tracking how non- SEA complaints are handled in order to monitor the system as a whole for compliance with accountability standards.
Essential to Know Because a CBCM will inevitably receive complaints on non-SEA issues, the level of follow-up and feedback given to beneficiaries on all complaints will reflect on the quality of the CBCM in the eyes of the community. If the CBCM has the capacity, and especially if the Steering Committee has chosen to establish a broad accountability mechanism rather than an SEA-specific one, the CBC should monitor agency follow-up on non-SEA complaints.
67 The Global SOPs on inter-agency cooperation in CBCMs instruct the PSEA/CBCM Coordinator to accompany all SEA allegation referrals with a request to confirm receipt, and encourage the agency to send a confirmation that the allegation was received and that no further action is required by the CBCM Coordinator within two business days. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 129
Feedback The CBCM should also monitor that beneficiaries are receiving adequate feedback after they encounter the mechanism. Whether to complainants, survivors, or individuals seeking information on PSEA, feedback to beneficiaries should be a CBCM priority as a matter or trust-building and accountability. The monitoring and evaluation of a CBCM should track whether the mechanism is providing regular and sufficient follow-up communication with the beneficiaries it interacts with.
Tip Maintaining strong records of complaint referrals made and case status updates received will allow the CBCM to provide efficient and thorough feedback to concerned beneficiaries.
Following the assessment of the CBCM’s adherence to complaint handling procedures, the mechanism should take note of where it is under-performing and adjust accordingly. 3. SEA trends and patterns Monitoring SEA incidents allows CBCM stakeholders to observe the trends and patterns of exploitation and abuse within a site, and make targeted adjustments based on the needs of the affected community.
Data collection and analysis on SEA incidents needs to be done intelligently and beused effectively. Many organizations and programmes have streamlined practices to gather monitoring and evaluation data. The key is to properly assess that data and apply lessons learned to make the necessary alterations to address programme weaknesses. Monitoring and evaluation can – for example – reveal specific risk and vulnerability factors, which can be addressed through targeted improvements to the mechanism and/or identified assistance programmes on site. Understanding the patterns of SEA incidents in a region can indicate to CBCM stakeholders why SEA is present in their particular area, so that risk reduction activities can be implemented.
Essential to Know If a method is ineffective, stop using :it The CBCM must ensure that Monitoring and Evaluation information is communicated to the person(s) who can make the necessary programme adjustments. Whether this is the PSEA/CBCM Coordinator, Cluster leads on site, or the Chiefs of Mission of participating CBCM Stakeholders, the CBCM has a responsibility to share monitoring and evaluation data with interested parties so that effective programme adjustment is possible. A mechanism that fails to adjust based on new information, especially over the long term, no longer effectively targets the SEA issues on site.
A preliminary step in assessing SEA trends is to ensure effective data collection. Monitored data should include the frequency of reporting, types of complaints received, assistance provided to complainants/survivors, and any other complaint information that can assist the CBCM to build a comprehensive view of SEA issues on site. All data on complaints received should be desegregated by sex, age group, type of complaint, and other relevant factors to understand the impact on specific groups and in particular locations.
Data must be gathered in a standardized format. Given the multi-agency coordination of a CBCM and intake occurring across various sites, efforts must be in place to standardize data reports to enable regional and national data comparisons. Without consistent and comprehensive data, it is simply not possible to understand the scope of the problem, establish a baseline from which to design interventions and measure their impact, or identify alarming trends. A CBCM with actively engaged member agencies and strong data tracking practices 130 CHAPTER 1 Monitoring and Evaluation with Programme Adjustment SECTION E. Monitoring and Evaluation of the CBCM
can provide a remedy to this issue, by creating a mechanism with a common reporting format and sharing data to understand the full extent of SEA in an area.
Be Aware Lack of comprehensive and consistent data on SEA incidents is a recurrent problem. Individual agencies may document beneficiary complaints against their staff, but rarely is such information shared or collated with the data of other agencies. What data has been collected is not standardized. CBCM member agency Focal Points who receive in-person complaints should be appropriately trained on how to fill out standardized Incident Report forms so that data collected within a CBCM is consistent.
Information All data shared both within and outside the CBCM should be anonymized to the fullest extent possible for the safety of complainants/survivors, and the persons with access to sensitive complaint information must sign confidentiality agreements.
Common Reporting Platform (CRP) The CRP is a monitoring and evaluation tool that was developed as part of the 2013–2015 IASC PSEA-CBCM Pilot Project. It is a database that is used to record and track all complaints received, survivor referrals to assistance service providers, SEA allegation referrals to investigation units, and feedback to survivors. It allows a CBCM to standardize its data collection, organize cases and update them as new information arises. The CRP also monitors awareness-raising activities for both staff and members of the affected population, and records information collected on their impact on knowledge and behavioural change. CBCM staff can use the CRP to identify locations that have strong results in awareness-raising, compare them to ones that do not, and make targeted improvements. For example, a site that has many events but poor awareness levels may need to alter their messaging to be more culturally appropriate.
Information
All complaint information recorded in a physical For more on location needs confidentiality precautions. Similarly, information confidentiality, see stored online requires unique confidentiality protections and this Guide’s chapter on “Intake and review an assessment of privileges and immunities issues. A CBCM of complaints”. desiring to create a complaint database, request a targeted CRP database, or discuss other safe and secure data storage options can contact the IASC Task Team on Accountability and PSEA’s helpdesk at [email protected].
Two-way communication between the PSEA/CBCM Coordinator and Focal Points The Coordinator will be the person on site with the most comprehensive view of SEA issues and trends. Most often, the agency CBCM Focal Points – especially those conducting awareness- raising activities – will be the persons with regular in-person contact with beneficiaries. It is vital that PSEA knowledge is shared between these actors. Focal Points should share their hands-on impressions and community feedback with the Coordinator and the Coordinator must share anonymized information on SEA patterns and trends on site so that member agency representatives can engage in targeted responses and informed messaging. PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 131
What to do with data trends Identifying SEA trends and patterns is essential for targeted programme improvement. By using standardized data collection and creating a comprehensive view of SEA issues, the CBCM can determine which actors to bring in to ensure targeted responses (e.g. factoring SEA-risk into vulnerability lists). For example, while it is important to consult and train Cluster coordinators from the outset of designing the CBCM, the relevant Cluster’s participation should be enhanced if monitoring and evaluation shows disproportionate For more on training Cluster or increased SEA activity at, e.g. food distribution sites. The coordinators, see this Guide’s CBCM is in charge of informing representatives from the chapters on “Engaging humanitarian agencies” and various responsible actors on site when SEA in occurring under “Humanitarian staff: Training their area of responsibility. Any complaint information shared and capacity-building”. must not include any confidential and/or sensitive case details.
Information Analysis of SEA trends should determine not just the effectiveness of CBCM activities, but should broadly assess whether assistance operations are contributing to the risk of SEA. For example, individuals in need of assistance may be left vulnerable to exploitation if they are not eligible for aid due to poorly applied targeting criteria. The CBCM must work with key Cluster coordinators to discover where programme activities are potentially putting beneficiaries at risk and adjust programmes accordingly.
In addition to flagged issues to make specific improvements, anonymized data onSEA incidents and trends should also be generally shared with the Humanitarian Coordinator, relevant Clusters, member agencies’ investigation units, and IASC bodies focused on PSEA, so that they are informed of the level and scope of SEA in a particular humanitarian response setting and can act upon it. All details that could potentially be used to identify complainants, survivors, and/or subjects of complaints must be deleted prior to sharing general trends.
Essential to Know The CBCM should hold regular meetings with stakeholders to create a platform in which SEA trends can be identified and discussed. Involved, interactive discussions across participating actors can discover patterns and identify gaps and solutions better than any software or chart.
Multiple complaints about staff persons from a single agency may indicate that SEAhas become an institutional problem for that agency. The solution is not for the CBCMto discontinue working with that agency, which could significantly compromise the CBCM’s ability to operate. The CBCM is an advocate for following Best Practices in preventing and addressing sexual exploitation and abuse, and works to build the capacity of its members and strengthen humanitarian accountability. When faced with what appears to be institutionalized SEA behaviours, the CBCM should focus its efforts on PSEA advocacy, prevention activities, and trainings targeting behaviour change.
CBCM stakeholders should recall that SEA is at its base a humanitarian accountability issue, in which an individual staff member chooses to violate beneficiary rights, as well ashis/ her agency’s policies and Code of Conduct. It is the agency employing the offender that is best placed to stop abuse by enforcing its own Code and deter further abuse by enacting disciplinary measures against proven offenders. Part of programme adjustment should be identifying problem areas within the whole CBCM infrastructure and advocating to agencies that they make their own adjustments internally. 132 CHAPTER 1 Monitoring and Evaluation with Programme Adjustment
SECTION E. Monitoring and Evaluation of, in the CBCM Global SOPs for inter-agency cooperation in CBCMs cooperation inter-agency Global SOPs for Recommendation The CBCM must compile and assess trends as best it can, even if missing data. It should develop It should develop if missing data. even it can, as best and assess trends compile The CBCM must reported cases SEA on statistics share to within their agencies should advocate CBCM stakeholders and levels literacy account into take a CBCM must with beneficiaries, information When gathering a Common Code of and adopt develop agencies the participating that The CBCM should advocate for participating common procedures to establish need will still a Common Code, agencies Absent clear data collection and information sharing protocols among partners, so that the data that that data the so that among partners, protocols sharing and information collection clear data inter- its develop continually In addition, a CBCM should and consistent. is reliable is received useful facilitate to respect, and accountability based on mutual trust, relationships working agency sharing. information with the CBCM. if any, taken and disciplinary measures investigated, and/or a offer always channels, the mechanism must reporting complaint Similar to barriers. language the whole community. is accessible to that feedback programming means of receiving monitoring. Codes and ease complaint internal their own supplement Conduct to in the CBCM, which should be based on Annex 3, and include minimum standards for feedback on case status. status. on case feedback for 3, and include minimum standards Annex
MONITORING, EVALUATION AND PROGRAMME ADJUSTMENT PROGRAMME AND EVALUATION MONITORING, Challenge investigation or disciplinary measures taken – if any – with the – if taken or disciplinary measures investigation example, for details, case not receive CBCM. The CBCM may agency, the concerned to is made directly when a complaint and the true security trends overall in assessing gaps creating on site. situation and protection of populations large that the challenge the CBCM face raise to anonymously example, For illiterate. are beneficiaries would a person box, via a suggestion concern a programming out, the complaint write to on an intermediary rely to have issues. stigmatization and confidentiality potential raising provide to willingness can inhibit beneficiary This effect programme and in turn limit community-influenced feedback adjustment. the same as not maintaining as well intake, complaint monitoring. standardized for poses a problem investigators, Agencies are under no obligation to share information on case on information to share under no obligation are Agencies to feedback to provide beneficiaries for methods Many of a Common Code Conduct and standardized Absence
X X X PSEA Best Practice Guide: Inter-Agency Community-Based Complaint Mechanisms 133 Recommendation A CBCM needs to devote sufficient financial and human resources to effectively monitor and effectively to resources financial and human sufficient devote A CBCM needs to can it before structures awareness-raising reporting channels and functional have A CBCM must all users. to should be clear and conveyed use and procedures to should be easy tools Monitoring and communications to resources financial and human sufficient The CBCM should allocate the CBCM conducts of and how on both the importance training Point Focal and consistent Regular evaluate trends, and advocate with participating agencies for funding if necessary. Roles and for funding if necessary. agencies with participating and advocate trends, evaluate crowded to address in order should be clearly delegated, trends for analysing responsibilities work priorities. schedules and competing at the structures establish monitoring The CBCM should patterns. trends and assess effectively and sharing gathering for with clear protocols community levels and organizational, inter-agency, level. at any is not missed information relevant that ensure to data understand all users so that during trainings and conveyed should be explicit indicators Monitoring is important. monitoring and why is being monitored what connectivity challenges. with feedback in situations for beneficiary options creative explore The CBCM should also turnover. staff regular of can ease the challenge and evaluation monitoring the site. exit Points when CBCM Focal produced are notes handover proper ensure
MONITORING, EVALUATION AND PROGRAMME ADJUSTMENT PROGRAMME AND EVALUATION MONITORING, Challenge both of which may be limited. CBCM staff face tight schedules face tight CBCM staff be limited. both of which may may be monitoring data priorities, meaning and competing deprioritized. gathering complaints Lack of an effective the data. record and/or weak will lead to structures and awareness-raising analysis. data inaccurate down monitoring can slow connectivity communication sharing. information and weaken processes of monitoring, and a loss of institutional and sustainability programme will impede intelligent that knowledge adjustments. Maintaining records requires financial and staff resources, resources, staff financial and requires records Maintaining that as the structures is only as strong system A monitoring phone service, and other issues with internet, Poor impeding the quality staff to untrained can lead turnover Staff
X X X X
Annexes ii
TABLE OF CONTENTS
ANNEX 1. Summary Chart: Best Practices and Results...... 1
ANNEX 2. International Commitments on PSEA...... 15 Table of contents...... 16 2a. UN Secretary-General’s Special Bulletin on Measures for Protection from Sexual Exploitation and Abuse (2003)...... 17 2b. Statement of Commitment on Eliminating Sexual Exploitation and Abuse by UN and Non-UN Personnel...... 20 2c. IASC Minimum Operating Standards for PSEA (2012)...... 27 2d. IASC Statement on PSEA (11 December 2015)...... 30
ANNEX 3. Global Standard Operating Procedures on Inter-AgencyCooperation in CBCMs ...... 33
ANNEX 4. Samples and Templates...... 69 Table of contents...... 70 4a. Common Codes of Conduct...... 71 4a1. Common Code of Conduct written for the Fiji Emergency Response.....71 4a2. Common Code of Conduct written for the Typhoon Haiyan Response, Philippines...... 72 4b. Terms of references...... 74 4b1. Generic terms of reference – steering committee ...... 74 4b2. Democratic Republic of the Congo (PSEA Pilot Project) terms of reference – steering committee...... 77 4b3. Generic terms of reference – CBCM focal points...... 81 4b4. Ethiopia (PSEA Pilot Project) – terms of reference for protection from sexual exploitation and abuse by (PSEA) by own staff focal persons ...... 83 4c. Complaint forms...... 85 4c1. Sample Incident Report Form...... 85 4c2. IASC Model Complaints Referral Form (sexual exploitation and abuse)....88 4d. Generic inter-agency complaint handling flowchart...... 90 4e. Generic victim assistance referral pathway...... 92 4f. UNHCR’s pamphlet on how staff can report SEA...... 93 4g. Contract clauses...... 95 4g1. PSEA in partnership agreements and staff PSEA obligations...... 95 4g2. Sample confidentiality language...... 101 4h. Mainstreaming PSEA checklist: Audit your organization against the IASC minimum operating standards for PSEA...... 102 4i. Generic Feedback Form...... 105 PSEA Inter-Agency Community-Based Complaint Mechanisms: Annexes iii
4j. Monitoring surveys...... 108 4j1. Generic satisfaction / perception survey...... 108 4j2. Generic Knowledge, Attitude, and Practices (“KAP”) survey (baseline knowledge assessment)...... 109
ANNEX 5. The Common Reporting Platform...... 113
ANNEX 6. Best Practice Checklist...... 117
1
ANNEX 1
Summary Chart: Best Practices and Results
Annex1 – Summary Chart: Best Practices and Results 3
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. i c t r r i to d o a o on od o ond ct or a r a nci . i o on od o d r in orc , rat r t an ant, an a ncy’s internal Code of Conduct o on od o ond ct, . or ini tandard o o on od o d inc d . cond ct, ar in ac o ni i d tanc on at i ro i it d a io r tandard or ta a io r i ication or r ac in t od o ond ct . o ar ain d to t . In a nc o a o on od , id nti a ini tandard o cond ct a on t a r a nci to inc d in a ar n rai in co nit and trainin acti iti , a d on t ir indi id a od
o aint inta i . o a tandardi d Incid nt ort or , d ri d ro t ractic and or i tin t at , and ada t d to t cont t tandardi d and a n c ar . . t r in o to r cord and trac a co aint to n r t atic data co ction, to aci itat t id nti ication o att rn tr nd , and in or ation i r cord d to n r t at ad at con id ntia it a ard ar in ac – i. . ti i t o on ortin at or or d o a n t on id ntia it and data .4 rot ction a ard ar in ac
. n a r ant t r o t at non co aint can r rr d and addr d . . o t roc d r or tran rrin non co aint to t a ro riat t r ctor a nc or o o , r ard o t int nd d on co aint ar co o t addr d . . cord a non co aint and – i t a t ca acit – onitor non co aint and in a art o tr nd ana i
. on t it on dra tin roc d r to a i t co ainant o i r t to i c ar it oca a n orc nt i a cri i a ta i d in o d in a it oca a . . r ar d to o r a , c rit , and c o ocia a i tanc i cri ina c ar ar ro t n orc nt
4 Annex1 – Summary Chart: Best Practices and Results 7
5
. . .4 .4 .4 . ANNEX 1 Refer to Chapter
a to
ti ar
ro r ro r a ard ar
cc i Result o o d r r nta t c ani t co nit roc d r ar n a d can d ot and dd d in t a i on id ntia it tandard ratin tandard ratin ici nt ti and ort to r on and r on and t t n d o
r o
a ro riat o itt t ra , a t , or or a t , t ra , t
to
a arat it in 48 o it in t rin
i n
a
, o d ,
ta o t id ta t anitarian r
, inc din , inc din ar or
, nction r t icti co ainant r r iciari to it co aint , inc din or int rn t r ic
in toin t at n r co aint ar and d a ro riat on nd nd in ti ation, t and r rra a
a
Systems and Procedures Systems
Implementation
inc d
Action
acc to co aint n iti in or ation ai t icti co ainant, and o d a a nc a r o d to artici at ario in
a nc ta a nc not
id a id ran o o tion o tion n or o ran id a id
“safe “safe (e.g.space” Centre), Women’s medical facility, community leaders, etc.
ar o tion or r on ac in o i ac in r on or o tion o
and tran r to r ant c t r ctor , on ot in , or it ici nt a t orit
a tion o tion a
c rit , o aint t at r rr d o d ain t actor a ta
at o tion to t arri r t into r ortin c ann and t acti iti roc d r
oca oint , t co aint
d o d t t d o d nat r o co aint i diat rot ction a i tanc and n d o c a t ro c no o , c a
r ortin to r ortin t
on
t initia co aint a r nt a ation a ain t r a ain t a ation o ic , ac in ar , i ion , tc. a ation nci no inat d t con id ntia it and data rot ction trainin and r ar r r r train r r r r ar and trainin data and rot ction con id ntia it d t
ation , and incor or . . . r on n t r t oordinator, o i a oordinator, i o t t r n In In ritin , ro t c i ta i t r in r ic Id nti t a nc r t a ation o d r rr d or o o r c i in t a ation .
o o o . . . . on t it t co nit to id nti arri r to ittin co aint . . it rac an a , ica , cono ic, c cono ic, ica , . . co aint it rac an a , arri r to ittin to co nit id nti t it on t n r t at a r and oca oint TORs these persons’ institutional in toimbedded be responsibilities PSEA Advocate for ar ina i on id r int r t o anon it , ord rto ro in c ann r ortin ti ta i con id ntia it and rot ction o ici data on t ir in tit tiona nd r tand to and r ad oint oca ir t r i con id ntia it ond ct in inc din co aint , a to addr roc d r ta i d t oordinator o o
...... 8 ANNEX 1 Project Implementation . t con ir ation ro t in ti atin a nc t at t a ation a r c i d a con ir ation notic o d nt to t oordinator it in t o or in da . Record the complaint in the CBCM’s database . oti t co ainant t at i r co aint a r c i d i not ta n in r on and at t r ta n
roc r ct . nd r tand r ant nationa a it andator r ortin r ir nt r at d to incid nt and incor orat t into t nationa andator r ortin roc d r and in or ation ac a or r i or co ainant , a a ro riat tat t
. d ocat it r a nci to conduct investigations in conformity with international standards (such as the UN’s Uniform . Agencies’ SEA response is id in on In ti ation r at d to ti ra , d roc ri t o t , and ti i in in ti ator o ar ri nc d and a i i d tr n t n d in ti ation ro iona train d in n iti in ti ation and rot ction . d ocat t at a nci ta a ro riat di ci inar action in ca r a n ro n
. n r t at co aint , ot and non , ar r rr d and r ond d to in a ti ann r .4 . ro id a ic d ac to t co ainant c no d t at t co aint a r c i d, n it a r rr d to t conc rn d a nc it in i ici nt nc 48 o r , and ain t o o t at a co ainant can ct, inc din ti ra acco nta i it and co nit .4 . d ocat it r a nci to ar t o tco o in ti ation and n ra tati tic , in in it int rnationa tr t ar aintain d . co it nt
trac co aint . rac ca ro r , to t t nt o i , to n r t at t co aint i o o d on . and in i a ai a . aintain c rr nt r cord on ac o n co aint, aci itat t o o in or ation to t co ainant r i or, and r ain a ai a to a i t to a i t co aint o o , . t conc rn d a nc t ro n t t on r t n r t d
. t t r t o t in ti atin a nc , t a o r a i tanc and act a a iai on or contin d co nication it t co ainant r i or nc int rna in ti ati . . I t a nc r t a ation i r rr d ac t ca acit to in ti at , t oordinator a ro id in ti ation r o rc . or ca acit i tr n t n d a , r a nci a d cid to ta i a oo o t rna in ti ator train d in int rnationa tandard or n iti in ti ation , inc din a a r o rc or a nci t at ac t ca acit to in ti at
6 Annex1 – Summary Chart: Best Practices and Results 9
7
. . . . . . . . . . . ANNEX 1 Refer to Chapter
a on
a nci
and r ant or
rai in a rai in a Result and artn r oca co aint ar ort d co r nt and t ,
id r ad and acc i
ar n ar n r to ot ntia incid nt to ot ntia inc din o to r ort and and to r ort o inc din n iciari nd r tand nd r tand n iciari roacti r ond roacti In or ation ar d i ar at to ct a in a ro ar t co nit o o nt in tain d i acc i i . . . .
ation o o ation it
t con tation a r
r o
in or ation arin t n
Raising and ot ntia ar ina i d ro ar ina i d ot ntia and
- on r con i t nt a nc din on r ortin c ann r ortin on nc din , i r orton ro r , id nti a in t oca artn r oca oca oint oca and aci itat
Awareness
nt, n co nit ad r
Action
o t acc
member agencies, to address “informal” SEA complaints and and SEA complaints “informal” agencies, to address member
in ct d to ct d in
rai in acti iti or n iciari o
a d on con tation it con tation on a d on i inc din i on , and o t
women’s groups, schools, and any other population segments communi that other population any and groups, schools, women’s
it o t
r nt and r ar t o tin
or r i or or
rai in trat i
t a ct d co nit rai in acti iti r ac oordinator ad a ar n t rin o itt to tin contin d n a n r a nc
at r ic ar a ai a at to ct a co aint, a t r a in inc din r rra , ot ntia ti ra , and t ro , r on i i iti , and i ri tto a i tanc anitarian a ro riat
tandard o cond ct or anitarian or r anitarian cond ct or o tandard inition o r to r ort incid nt a ation actor ana ctation in o d at and t t conc rn d a nc i ta to a t con id ntia it n r and o o o o o o o ai t ai a ar n o n r t at a ar n id nti i d a cia n ra ta o d r r ar o d ad t nt ro ra o tion inc din ind and ro ra in , o o ici t a t od, con id rin o o ro t , inc din t o r o co and t o co niti In or i n c i dr n and o n Ensure that agencies’ CBCM member awareness n a t ort to o dia artici at oca co nit n iti ationin o o nication o d ran a id o o t r , dia radio, t rint, d ndin tc. cont t on a d on and co nit r r ntati and ort ro i a an a a ro riat oca a ai a in and con tation
...... 10 ANNEX 1 Project Implementation
. r a nci o d r ar trainin or t ir ta inc din o nt r , int rn , con tant , tc. co rin ct c a o at con tit t o Int rnationa co it nt to co at o ant a nc o ici , inc din od o ond ct and t a ro riat cond ct o anitarian ta , i t o in o ici , and andator r ortin r . r ntion o Individual actors’ rol and r on i i iti on , inc din artici ation in t anitarian ta nd r tand . o Incid nt r ortin and r rra roc d r – or indi id a a nci and or t t and t ir o Survivors’ needs and assistance provision r on i i iti . . r a nci n r t at ro ra ana r ar in or d o r a nc ad r i nd r tand t ir additiona . o ir or ani ation’s policy and commitments on ir o n r ortin o i ation r on i i iti o . o i ortanc o int ratin into ro ra d i n and a ation, inc din ot ntia ro ra ad t nt a d on incid nt and tr nd . t nd r ntion and a ar n rai in acti iti to i ntin artn r and contractor , in ord r to incr a t ir no d and ca acit to r nt and r ond to
oca oint ca acit . o d additiona in d t trainin or oca oint on t ir ro and r on i i iti , and co aint and in roc d r . . i i t
a in a it . rain r ic ro id r on , t artic ar n d o icti , t o ra r o o t and it o ici and roc d r , o to r ic ro id r r ic . r c i ca r rra ro t , and o to noti t o ca t at ar dir ct r ort d to t r ic ro id r ro id r ar n a d and coordinat d it t
. rain t r ad on t and it r rra t o t o r a ar o t and nd r tand t i ortanc o acti artici ation aid ro id r nd r tand r a to r co ni ot ntia ca t nction t r o . o nd r tand t r rra roc d r or icti a i tanc and a ation ad ar n a d and coordinat d it t o r a to r c i non co aint ro t , and o o accordin o no and ro ot t rinci and r on i i iti in c t r acti iti
a in a it . d ocat or trainin to c rit actor on t ir ro in r ntin and r ondin to , inc din t idin rinci o , an c rit actor c rit actor . ri t tandard , and tandard o cond ct nd r tand t and t ir ro i d ca acit and . ontin o tr ac ort to nationa , t dat d on t o ici , roc d r , and i ntation trat i o t , nco ra artici ation o . and nco ra t to acti artici at oca or ani ation
8 Annex1 – Summary Chart: Best Practices and Results 11
9
. . apter . . . . . .
ANNEX 1 Refer to Refer to Chapter Ch
and
d ac
d r tandin can d n d
di co ra ca acit s’ accordin to
, Result Result r i or o o tr t in t aintain a r nt t r and on r acco nta or a i tanc coordinat ot ran ar nc anitarian ta ta anitarian tr n t n d and co r nt maintains the community’s contractor r ntion ar a r o nd r ot ntia co r n i n co r n i and
and ,
ort a n d d n d d a
i tanc t –
c o ocia
r o tco o an in ti ation an o o tco r
no and nd r tand t ir in tit tiona – i tin a i tanc c ani .
it Prevention
a nci on it d to ar c dat , inc din t o tco , it r i or it o tco , t dat , inc din c d to ar t r contractor t r
can inc d dica car , a r ic , car , a inc d dica can
Victim and Assistance Protection Victim , and r cr it nt o o nd r , and to iai it t ir an o rc o rc an t ir it to iai and o nd r , o r cr it nt Action Action anitarian
, and ort icti co ainant
and contractor and a
o
artn r o nt r
, in addition tot at ic i i n a d ont i diat n d a nt
– otin r ntion a r r ntion otin t r con nc . . o a i tanc , d cationa c o ocia ort, cat r d a i tanc or
or ac t r o
ta t to r nt r to r nt ta t a c a , id a r r ncin a ro riat tandard o a io r and con nc or con nc and o a io r a ro riat r r ncin tandard c a , id a a r
rra . . rra a i tanc ro i ion tri r di not t initiation o inc din int rn – an indi id a i d a nt n d
artn r i contract i a d on o ici co it nt i ro n, and d ort and d ro n, i o in c i dr n, n a c i d rot ction ad ocat r ic ro id r ad ocat r ic rot ction c i d n a o in c i dr n, c a ood, c ot in , r nc and a t r
i tanc i tanc
n orc c a it t ir i ntin i ntin t ir it c a n orc n r t at a a nc n r t at ta a o ic ond ct od o n r t at a r ac in t c a inc din t r ination t o contract o o o d ocat it r a nci to ata o t tandard int rnationa to t on o ici int rna and or d o in tr n t nin it a nci i t ro and d i nin on a nci it oordinat d ocat it r a nci to i t i on d art nt an tat dat ca ti to ro id a nci in ti atin d ocat it t oordinat ot on oin r nt a i tanc and r ic or r o a ation ro id d ind nd nt I diat a car at ria or co aint in n an a ation ord rtoin t road addr o ran on o rin
...... Prevention Refer to Action Result Chapter
. d ocat it r a nci to . o n r t at a a nc ta – inc din int rn , o nt r , and ort t r contractor – no and nd r tand t ir in tit tiona o ic od o ond ct anitarian ta and contractor can d . n r t at a artn r i contract a c a , id a r r ncin a ro riat tandard o a io r and con nc or o acco nta or r ac in t c a inc din t r ination o t contract . o n orc c a it t ir i ntin artn r and contractor
. ata o t o ici co it nt or ac t r o o a anitarian a nci on it aintain a co r n i nd r tandin o ca acit
. . i t a nci it d o in and or tr n t nin int rna o ici on to t int rnationa tandard . oordinat it a nci on d i nin and ro otin r ntion a r r ntion a r ar . d ocat it r a nci to ta t to r nt r r cr it nt o o nd r , and to iai it t ir an o rc tr n t n d and co r nt d art nt on t i i
. 12 ran ar nc di co ra . d ocat it in ti atin a nci to ro id ti ca tat dat and to ar c dat , inc din t o tco , it r i or and ot ntia o nd r d ac ANNEX 1 . t maintains the community’s tr t in t .
Project Implementation Victim Assistance and Protection Refer to Action Result Chapter
. oordinat ot r nt and on oin a i tanc r ic or icti co ainant it i tin a i tanc c ani . i tanc t ro id d ind nd nt o a ation r rra . . a i tanc ro i ion i not tri r d t initiation or o tco o an in ti ation . I diat a i tanc i a d on an indi id a i d n d a nt, and can inc d dica car , a r ic , c o ocia ort, and coordinat ot r nt and on r t r at ria car c a ood, c ot in , r nc and a t r . a i tanc , accordin to . or co aint in o in c i dr n, n a c i d rot ction ad ocat r ic ro id r r i ors’ n d . n an a ation i ro n, and d ort – in addition to t at ic i i n a d on t i diat n d a nt – a n d d in ord r to addr t road ran o on r t r con nc o . . d cationa a i tanc , c o ocia ort, cat r d a i tanc or o rin r i or and t ti on i . oordinat it t in ti atin a nc to n r t at t ct o t o aint do not a rt r contact it t icti r i or and t ti on i 9 . oordinat it t in ti atin a nc to n r t at t ct o t o aint do not a rt r contact it t icti rot ct d rot ct d
Sustainability Refer to Refer to Action Result Chapter Action Result Chapter . In ta a d dicat d and ind nd nt oordinator to o nt on it and coordinat int r a nc tin and i cti and . In ta a d dicat d and ind nd nt oordinator to o nt on it and coordinat int r a nc tin and i cti and acti iti taina acti iti taina
i inc d d in a . d ocat and a i t r a nci ain tr a it in t ir or ani ation i inc d d in a . d ocat and a i t r a nci ain tr a it in t ir or ani ation o anitarian ro ra in o anitarian ro ra in
. o addr ta t rno r, n r t at oca oint d ri it t oordinator or a in t ir o t , in ord r to ca t r . o addr ta t rno r, n r t at oca oint d ri it t oordinator or a in t ir o t , in ord r to ca t r n it no d i in tit tiona no d n it no d i in tit tiona no d i t and r tain d . . Advocate that such captured knowledge be conveyed to the agency’s new Focal Point i t and r tain d . . Advocate that such captured knowledge be conveyed to the agency’s new Focal Point
. o a taina i it an to n r r a nci i ro id ici nt r o rc an, inancia , and in ind contri tion to . o a taina i it an to n r r a nci i ro id ici nt r o rc an, inancia , and in ind contri tion to o aintain r ortin c ann o aintain r ortin c ann i cti and n a ar n rai in nt and trainin acti iti i cti and o n a ar n rai in nt and trainin acti iti taina o ro id icti a i tanc i t i tin r ic ro id r do not o r t n c ar r ic taina o ro id icti a i tanc i t i tin r ic ro id r do not o r t n c ar r ic o n r acti and anin artici ation in t , inc din trainin o n r acti and anin artici ation in t , inc din trainin o
10 10 Annex1 – Summary Chart: Best Practices and Results 13
11
. . . . . . . .4 . hapter ANNEX 1 Refer to C
on
tai d r tandin
co aint it tr t Result o
aintain aintain i a cor o t nction i aintain a
o i on it aintain acco nta i it onitorin and a ation o aintain d data acco nta i it and ici nc and acco nta i it and and r a nci co r n i nd co r n i r cord acco nta i it and n iciar
, and
and ocation and
i inar a r i inar co ainant a ation
d ac r t d i icti
, inc din co aint r rra and in ti atin or i in i in r c a i tanc ro id d to
and tc. co ainant , and aci itat c c aci itat and co ainant ,
Systems and Procedures Systems
on ca r ort d and orin ti at d, di c and ra o t in d t in
Action
Monitoring andMonitoring Evaluation , it r t or t in ti atin a nc i o i i a nc or in ti atin t t , it r itiona r ic r ir d, co aint it t
tati tic tati tic ana in anon i d data in ord r to id nti att rn and tr nd att rn and ord rto id nti data in anon i d ana in co ainant r i or
dat ti r rr d, add , r c i d, inc din non
co aint ar and d and r o d a i tanc
t o on a co aint
rra or a i tanc
r cord tandardi d and cti data co ction o d ac ro id d to ro id d o d ac i an
, r ic ro id r, r ic n r r c i d, co aint o t r ortin , o t r nc inc d o d onitor d data ro ci ic on t i act to nd r tand actor co aint, ot r r ant o and t ro , a , data r at r on i i iti or and ro t r in ti t o o d it in in roc d r t r a ar ar r n iciar onitort at ar cti co aint r ac in t t o nit conc rn d a nc ta d it ad ocat r it a nci tot o t carr in ti ation it in an a ro riat ti ra to r i or tat ca to dat ro id a nci in ti atin d ocat it d ocat a nci it anon i d to ar ta n aintain n o i , trac i o non aintain doc ntation o r rra ad or icti a i tanc rac t
...... 14 ANNEX 1
SEA Trends and Patterns Monitoring andEvaluation SEA Trends and Patterns Refer to Action Result ChapterRefer to Action Result Chapter . . nco ra r a nci to ar anon i d ca data, inc din t o tco o in ti ation and n ra tati tic , in aintain a co t . . nco ra r a nci to ar anon i d ca data, inc din t o tco o in ti ation and n ra tati tic , in aintain a co t tandard roc d r o t in d in t o a or int r a nc coordination in – n r incid nt ar r ort d dir ct to t i o t r a nc o . tandard roc d r o t in d in t o a or int r a nc coordination in – n r incid nt ar r ort d dir ct to t i o t r a nc o . conc rn d a nc and t i not in o d in inta or r i o t co aint on it on it conc rn d a nc and t i not in o d in inta or r i o t co aint .
. . r ort d incid nt t ro tandardi d data co ction to . r ort d incid nt t ro tandardi d data co ction to Id nti tr nd and att rn onitorin data o Id nti tr nd and att rn onitorin data o Id nti ro ra a and d o tar t d int r ntion to i ro ro ra o Id nti ro ra a and d o tar t d int r ntion to i ro ro ra o na r iona , nationa , and o a data co ari on o na r iona , nationa , and o a data co ari on . o .
. data in or o a ar n ra tr nd it t anitarian oordinator, relevant Clusters, agencies’ investigation units, and IASC bodies focused on data in or o a . ar n ra tr nd it t anitarian oordinator, relevant Clusters, agencies’ investigation units, and IASC bodies focused on d ci ion a in , o t at t ar a ri d o t and co o in a artic ar anitarian r on ttin d ci ion a in , o t at t ar a ri d o t and co o in a artic ar anitarian r on ttin
Adjusting the CBCM Adjusting the CBCM Refer to Refer to Action Result Chapter Action Result Chapter . n r r a nci t r ar to di c anon i d data and a ro riat ro ra ad t nt . n r r a nci t r ar to di c anon i d data and a ro riat ro ra ad t nt . onitorin indicator o d icit and con d d rin trainin o t at a oca oint nd r tand at i in onitor d and ata i ici nt ana d . onitorin indicator o d icit and con d d rin trainin o t at a oca oint nd r tand at i in onitor d and ataand i in or ici nt ro ra ana d . onitorin i i ortant and in or ro ra . onitorin i i ortant ad t nt . tar t d int r ntion to addr tr nd and att rn occ rrin in t i ntation it ad t nt . tar t d int r ntion to addr tr nd and att rn occ rrin in t i ntation it
i cti .4 . rc tion ati action r to a r t r t i tin t n d o r i or and t a ct d co nit , and to i cti .4 . rc tion ati action r to a r t r t i tin t n d o r i or and t a ct d co nit , and to o nit artici at in id nti a ct o t t at t ad t d o nit artici at in id nti a ct o t t at t ad t d id nti in o tion . id nti in o tion .
. a r in t initia d i n ta o a and r ar t ro o t i ntation in ord r to ca t r c an in attit d and co nit d o nt, a r nd r tandin o r ortin c ann , rc tion o r in tr nd , and co nit attit d to ard contin to t t . r i or c an in n d o t . co nit ar n and onitor t r t o a ar n rai in nt or n iciari and r ntion trainin acti iti or anitarian ta , in ord r to . rai in and r ntion aintain a co r n i nd r tandin o t o no d on it , to a oid d ication o ort , and to addr no d a acti iti ar r ant and . o ar r cord ro a ar n rai in acti iti or n iciari and trainin or anitarian ta a ain t co aint r cord to ana t . 12 cti 12 tr i act o d cation
13 ANNEX 2
ANNEX 2 on PSEA International International Commitments Commitments 16 ANNEX 2 2d. 2c. 2b. 2a. TABLE OFCONTENTS IASC Statement onPSEA (11December2015) IASC MinimumOperating Standards for PSEA (2012) by UNandnon-UNpersonnel Statement ofcommitment oneliminating sexual exploitation andabuse from Sexual Exploitation andAbuse(2003) UN Secretary-General’s specialbulletin onmeasures for Protection ......
27 30 20 17 nit d ation Annex 2 – International Commitments on PSEA 17 Secretariat nit d ation nit d ation nit dSecretariat ation cto r Secretariat Secretariat cto r cto r cto r
Secretary-General’s Bulletin ANNEX 2
Special measuresSecretary-General’s for protection from Bulletin sexual exploitation and sexual abuse Secretary-General’sSecretary-General’sSpecial Bulletin measures for protection Bulletin from sexual exploitation and cr tar n ra ,sexual abuse or t r o o r ntin and addr in ca o Special a measures oitation forSpecial protection and measures a from a , for sexual protectionand exploitationta in frominto con id ration sexualand exploitation n ra and sexual abuse r o tionsexual abuse cr tar n ra , o ri or t , r o In ti ation o r ntin into and a addr in ca o oitation o a r oitation aid or r and in a t rica ,a , and ro at ta in intot o o in con id ration n ra in cr tar n ra , con tation it or c ti t cr tar n ra ,r o tion r o ad o r ntin o or arat o t and r o addr in ri ad ini t r d o , r ntin ca In ti ation or an o and addr in and into ca a o a oitation ro ra and o a oitation t a nit d oitation a , ation o r and and ta in a aid into or r a , con id ration in and t ta in rica , n ra into ro at con id ration t o o in n ra r o tion in con tation o r o tion ri it c ti , In ti ationo ad ri o arat into , a In ti ation ad ini t r d intoor an a and oitationSection o r 1 oitation ro ra aid or r o o r t in t nit d rica , ation aid or r ro at in t t rica , o o in ro at t o o in in con tationDefinitions it c ti in con tation ad it o arat c ti ad ini t r d ad o arat or an andad ini t r d or an and ro ra o t nit d ro ra Section ation 1 o t nit d ation or t r o o t r nt tin, t t r a oitation an Definitions an act a or att t d a o a o ition o n ra i it , di r ntia o r, or Section 1 Section 1 tr t, or a r o , or t r o inc din , o t t r ntnot i it d tin, to, t ro itin t r a on tari , oitation an Definitions Definitions ocia or o itica an act a ro or t att t d a a oitation o a o ition o anot r. o n ra i it , i i ar , t di r ntia t r o r, or or a t r o a o tr t, an t or r nt or t t a act a r o tin, or r o , t r at n d t o t t r inc din , r nt a ica tin, oitation tintr ion not t i it dt r o a an a a to, nat r , ro itin oitation on tari , an an act a t r or att t d orc an ocia a or act a nd r o or a or n a o itica o ition att t d or o co rci ro n ra i it ,a t o condition . a a o ition di r ntia oitation o n ra i it , o r, o anot r. or di r ntia i i ar , o r, t t r or tr t, or a r o ,tr t, a inc din , or a a an t r o , not t i it dact a inc din , or to, t r at n d ro itin t not ica on tari , i it d intr ion to, ro itin o a a on tari , nat r , ocia orSection o itica 2 ro ocia t r t or a o itica orc oitation or nd r ro n a t o anot r. a or co rci oitation i i ar , condition . t o t r anot r. i i ar , t t r a a Scope an of application t a act a a or t r at n d an t ica act a intr ion or t r at n d o a a ica nat r , intr ion o a a nat r , t r orc or nd r t rSection n a 2 or orc co rci or nd r condition . n a or co rci condition . . r nt tin a a to a ta o t nit d ation , inc din Scope of application ta o arat ad ini t r d or an and ro ra o t nit d ation . Section 2 Section 2 . r nt tin a a to a ta o t nit d ation , inc din Scope of . application nit d ation Scope of orc application cond ctin o ration nd r nit d ation co and ta o arat ad ini t r d or an and ro ra o t nit d ation . and contro ar ro i it d ro co ittin act o a oitation and a . r nt tin . a a r nt to a tin ta a o t a nit d to ation ,a ta o inc din t nit d ation , inc din a , and a . a artic ar nit d ation d t o orc car to ard cond ctin o n o ration and c i dr n, nd r r ant nit d ation to co and ta o arat ad ini t r d ta o arat or an and ad ini t r d ro ra or an o t nit dand ro ra ation . o t nit d ation . ction o cr tar n ra and contro ar ro i it d tin , ro co ittin ntit dact o a r anc oitation and a . nit d nit d ation ation orc . a , orc cond ctin nit d ando int rnationa a ation o ration a artic ar orc anitarian nd r cond ctin d t nit do a .car o ration ation to ard co and o n nd r nit dand c i dr n, ation r ant co and to and contro ar ro i it dand ction ro contro co ittin o ar cr tar n ra ro i it d act o ro a tinco ittin oitation , act ando a a ntit d oitation r anc and a . cr tar n ra tin , ntit d ro otion o a a , and a a artic ara , nit d d t and ation o a car orc a to ard artic ar o int rnationa o n d t o and car anitarian c i dr n, to ard r ant o n a . toand c i dr n, r ant to tr at nt o n and o n in t cr tariat and r ntion o a ction o cr tar n ra ction tino cr tar n ra , tin ntit d , r anc ntit d r anc ara nt , and . t cr tar n ra r at d ad ini trati tin in tr ction , t ort ntit d o ici ro otion and o a nit d ation orc o nit d int rnationa ation anitarian orc o int rnationa a . anitarian a . roc d r or tr at nt and in ca o n o a and ara nt o n in int t cr tariat cr tariat o and t r ntion nit d o a . cr tar n ra ation . arat . ara nt , tin cr tar n ra ad ini t r d , and t or an r at d tin ntit dand ad ini trati ro ra , ro otion o in tr ction t o ntit d nit d a t ro otion ation ort o ici o a and tr at nt a o ro at d n andtr at nt roc d r o n i i ar o o ici in or nt and in and cr tariatand roc d r . ca o n o and a in r ntiont ara nt cr tariat o in a t and cr tariat r ntion o t o nit d a ara nt ,______and t ara nt ,r at d ation . ad ini trati arat and t ad ini t r d r at din tr ction ad ini trati or an t ort and o ici ro ra in tr ction and to t ort nit d o ici ation and roc d r rr nt or and in I , roc d r a ca ntit d ro at d o a or roc d r and in ara nt i i ar or ca d a in o ici in o t it a and cr tariat a roc d r . ara nt ara nt . o t in nit d t cr tariat o t nit d ation . arat ______ad ini t r d ation . arat or an and ad ini t r d ro ra or an o t and nit d ro ra ation o t nit d ation 4 a ro at d i i ar a rr nt o ici ro at d I , and roc d r . i i ar ntit d o ici roc d r and or roc d r . d a in it a ara nt . ______*0355040* rr nt I , 4 ntit d rr nt roc d r I , or d a in ntit d it roc d r a ara nt . or d a in it a ara nt . *0355040* 4 4 *0355040**0355040* 18
2 ANNEX 2 ST/SGB/2003/13 2 ST/SGB/2003/13 2a.UN Secretary-General’s SpecialBulletinonMeasures for Protection from SexualExploitationand Abuse (2003) i t d in ction . a o a n io at d or an a io r r rr d to in ction into r rr d io at d a io r or an n a i t d in ction a o . or ta in r on i a a ro riat i ion or ic action o art nt, in ca ad r t r i r a on to i t atan tandard t o 4. t r nt tin and a c rtain t at ac ta r r c i a co t r o . ad o art nt, ic or i ion a in or i or r ta o t cont nt o a a , a and ta a ro riat a r or t i r o . artic ar, In t or t at aintainin cr atin a oitation and r nt and n iron nt an ad o art nt, ic or i ion,a a ro riat , a r on i 4. DutiesHeads ofDepartments, of Offices and Missions Section 4 ta to ation . r ant and t nit d ation di i a , ar a r , action inc din or di ci inar ad ini trati or ro nd a t o a a a io r oiti or a i to i t. not an a ti t int nd d t r ar a o tandard o t . n iron nt. aintain artic ar t at t i t r on i i it ortand d o to a a a at ana r a . a and oitation a t at r nt c ani r ortin ta i d ia conc rn c r ort t or t , it in ation or not t r nit d or nott and a nc a in or r, t r t a o or a oitation a a r ardin di co ra d t cr di i it and tron ar ation and nit d o or int rit t t o nd r in d na ic , o r n a in r nt on a d ar t inc a i tanc , a i tanc o n iciari to d i t at a i tanc o c an an inc d i ro i it d. a a o r or ot r oitati a io r, o or i iatin , or d radin i o i a c i d not a d nc r ard o t a o a orit or a o con nt oca . i ta n i in t a and ar t r or ro nd or di ci inar a r , di i a inc din ar , ta ar ro at d and ation ation t nit d nd r o i ation and c i dr n, t o o in ci ic o n ic tandard r it rat cia o ation , In o t i tin n ra to rt r t rot ct ord r n ra . ta ation nit d ro i it d t ation and . i ta .cond ct ation or nit d c cond ct ro i it d and a io r int rnationa a io at r co ni d ni r a oitation nor a and a a and tandard and a a a n nacc ta . Prohibition ofsexual exploitation sexual and abuse Section 3 nit d ation ta ar o i d aintainto cr at n iron nt an and or icion conc rn d o ta a ation r r nit d ta ation nit d a o n iciari t n and r ation i d inc din or , r ic or on , ood o c an o nt, c ro i it d i 8 o t a nd r it acti it r on c i dr n a a oitation a a con tit t and act rio i cond ct o a Prohibition ofsexual exploitation sexual and abuse Section 3 r ant to t nit d ation ta to ation . r ant and t nit d ation di i a , ar a r , action inc din or di ci inar ad ini trati or ro nd a t o a a a io r oiti or a i to i t. not an a ti t int nd d t r ar a o tandard o t . n iron nt. aintain artic ar t at t i t r on i i it ortand d o to a a a at ana r a . a and oitation a t at r nt c ani r ortin ta i d ia conc rn c r ort t or t , it in ation or not t r nit d or nott and a nc a in or r, t r t a o or a oitation a a r ardin di co ra d t cr di i it and tron ar ation and nit d o or int rit t t o nd r in d na ic , o r n a in r nt on a d ar t inc a i tanc , a i tanc o n iciari to d i t at a i tanc o c an an inc d i ro i it d. a a o r or ot r oitati a io r, o or i iatin , or d radin i o i a c i d not a d nc r ard o t a o a orit or a o con nt oca . i ta n i in t a and ar t r or ro nd or di ci inar a r , di i a inc din ar , ta ar ro at d and ation ation t nit d nd r o i ation and c i dr n, t o o in ci ic o n ic tandard r it rat cia o ation , In o t i tin n ra to rt r t rot ct ord r n ra . ta ation nit d ro i it d t ation and . i ta .cond ct ation or nit d c cond ct ro i it d and a io r int rnationa a io at r co ni d ni r a oitation nor a and a a and tandard and a a a n nacc ta . i t d in ction . a o a n io at d or an a io r r rr d to in ction into r rr d io at d a io r or an n a i t d in ction a o . or ta in r on i a a ro riat i ion or ic action o art nt, in ca ad r t r i r a on to i t atan tandard t o 4. t r nt tin and a c rtain t at ac ta r r c i a co t r o . ad o art nt, ic or i ion a in or i or r ta o t cont nt o a a , a and ta a ro riat a r or t i r o . artic ar, In t or t at aintainin cr atin a oitation and r nt and n iron nt an ad o art nt, ic or i ion,a a ro riat , a r on i 4. DutiesHeads ofDepartments, of Offices and Missions Section 4 nit d ation ta ar o i d aintainto cr at n iron nt an and or icion conc rn d o ta a ation r r nit d ta ation nit d a o n iciari t n and r ation i d inc din or , r ic or on , ood o c an o nt, c ro i it d i 8 o t a nd r it r on acti it c i dr n a a oitation a a con tit t and act rio i cond ct o a Annex 2 – International Commitments on PSEA 19
ST/SGB/2003/13 ST/SGB/2003/13 . a o a occ rr d. i action a ta n in accordanc it ta i d r and . roc d r a o a or occ rr d.d a in it i ca action o ta a i cond ct. ta n in accordanc it ta i d 4. r ad and o roc d r art nt, or ic d a in or it i ion ca o a ta a oint i cond ct. an o icia , at a ici nt 4. i , ad to o r art nt, a a oca ic oint or or i ionr c i in a r ort a oint on ca an o icia , o at a a oitation ici nt and i a , a .to r it a ar ct oca ointto i ion , or r c i in t ta r ort o t on ca o i ion and a t oitation oca o ation and a a a . ro r it in or d r ct o to t i ion , i t nc t and ta o t ro o t i ion oca and oint t and oca o o o ation to contact a i ro r or r. in or d r ort o o t a i t nc and oitation and a a a and d in a con id ntia ann r in ord r to
ro o t oca oint and o o to contact i or r. r ort o a ANNEX 2 rot ct t oitation ri t o anda a in o d. a o r, a c and d r ort in a con id ntia a d, ann r r in ord r to n c ar , rot ct or action t ta nri t r ant o a toin o d. ction 4. o r, a o . c r ort a d, r 4.4 n c ar , ad o or art nt, action ta n ic r ant or i ionto ction a 4. a o .not a t tandard r cri d4.4 in ction ad . ,o art nt, r a ta ic r or i i ion a a arri d not toa o on t tandard nd r t r cri d a o 8 in t ction o r . t ,a r o a orit a ta or r con nt i in a t ir arri dco ntr too o on citi n i . nd r t a o 8 t o r t a o a orit or con nt in t ir co ntr o 4. citi n i . ad o art nt, ic or i ion a i or r di cr tion in a in 4. t tandard ad r cri d o art nt, in ction ic . d , or r i ion n iciari a i o ora i tanc r di cr tion in ar o r t a in a o t 8 and tandard t circ tanc r cri d in o ction t ca . ti d , r an c tion. n iciari o a i tanc 4. ar ad o r o t art nt,a o 8 and ic t circ tanc or i ion o a t ca ro t ti anin or c tion. t art nt4. o ana nt ad o o art nt, it in ti ation ic intoor ca i ion o a a ro t oitation in or t and a art nt a , and o t ana nt action it a o ta n it in ti ation a a r t o c into in ti ation .ca o a oitation and a a , and t action it a ta n a a r t o c in ti ation . Section 5 Referral Sectionto national 5 authorities I , a t rReferral ro r to in ti ation,national authorities t r i id nc to ort a ation o a oitation or I , a a t r a , ro r t in ti ation, ca a , t r on i id nc con tation to ort it t a ation ic o o a a air , oitation r rr d or a to nationa a , a t oriti t ca or a , cri ina on ro c tion. con tation it t ic o a air , r rr d to nationa a t oriti or cri ina ro c tion. Section 6 CooperativeSection arrangements 6 with non-United Nations entities or individuals . nCooperative nt rin into arrangements coo rati witharran nt non-United it Nations non nit d entities ation or individuals ntiti or indi id a , . n r ant nt rin nit d into ation coo rati o icia arran nt a in or it non nit dt o ntiti ation or ntiti indi id a or o indi id a , t tandard r ant o cond ct nit d i t d ation in ction o icia , and a a r c i in or at o ritt n ntiti or nd rta in indi id a ro t o o t ntiti tandard or indi id a o cond ct t at i t d t in acc t ction t , and tandard . a r c i a ritt n . nd rta in ai r o t o ro ntiti t o ntiti or indi id a or indi id a to ta t at r nti t acc t a r t a ain t tandard . a oitation . ai r or a o t o a , ntiti to in ti at or indi id a a ation to ta t r o , r nti or a r to ta a ain t corr cti a action oitation n a or a oitation a , or to a in ti at a a ation a occ rr d, t r o , a or to ta con tit t corr cti ro nd oraction t r ination n a o an oitationcoo rati arran ntor a a it a t nit docc rr d, a ation . con tit t ro nd or t r ination o an coo rati arran nt it t nit d ation . Section 7 Entry intoSection force 7 Entry r nt into tin force a nt r into orc on cto r . r nt tin a nt r into orc on cto r . Signed o i . Annan cr tar n ra Signed o i . Annan cr tar n ra
3 3 20 ANNEX 2 exploitation andabuse by ourpersonnel We recall the six core principles core six the recallWe welcome future endorsement ofthisStatement by others. Exploitation and Abuse by UN and NGO Personnel on 4 December 2006 in New Sexual York, USAEliminating and on Conference High-level the at Statement this of issuance the note We 3 2 1 entities non-UN and UN We, and Abuse by UNandNon-UNPersonnel Statement ofCommitmentonEliminatingSexualExploitation IASC sixcore principlesonsexual exploitation andabuse. the implementing of stages different at are we that note and personnel, our by abuse and We recognize that significant progress has been made to-date to eliminate sexual exploitation and commanders inthisregard, outlinedfor theUnited Nations insection4oftheBulletin. ofmanagers duties specific occur. the do note acts We such when action decisive swift, for We underline the importance of preventing sexual exploitation and abuse and stress the need all contribute to theprevention of sexual exploitation andabuse. men at all levels of the organization and and the adequacy of women the living and working environment of representation equal the organization, an of culture management the that sexual exploitation and abuse is both an individual and organizational responsibility. We note We further recall that creating and maintaining a living and working environment that prevents exploitation andabuse,includinghumantrafficking, byour personnel andothers. sexual to communities of vulnerability the increase conflict, to structuresdue community of wherewe destruction the in countries and displacement poverty, and law as operate, of such conditions rule weak that and recognize boys, and girls women, vulnerable especially most populations, the protect further to promulgated were standards these that recall We Special measures for protection from sexual exploitation and sexual abuse (ST/SGB/2003/13). on United Nations staff and related personnel and outlined in the Secretary-General’s binding are particular, they Bulletin In personnel. on binding thereby are and regulations and of conduct, rules codes organization-specific into incorporated been have principles these that 2b. StatementofCommitmentonEliminatingSexualExploitationand Abuse by UNandNon-UNPersonnel See “Appendix 2:SixCore Principles Relating to Sexual Exploitation andAbuse”. as defined by international organizations and their membership bodies; and personnel of non-governmental organizations. observers, as well as military members of national contingents serving in United Nations peacekeeping missions); personnel Unitedincluding mission Nations officers, police membersof national units, formedpolice corrections andofficers military corporate on contractors), and experts individual as well as consultants local and international interns, (including Nations or personnel Volunteers, Nations United employees of non-United Nations as entities or individuals who have such entered into personnel a cooperative arrangement related with the United and staff Nations United includes: personnel” “Our on ofCommitment the Statement that endorse of entities Eliminating Sexual Exploitation andAbuse byUNandNon-UN Personnel. listing a full for Entities” Endorsing of List 1: “Appendix See 1 , re-affirm our determination to prevent future acts of sexual acts future to prevent determination our re-affirm , 3 relating to sexual exploitation and abuse adopted by note by adopted abuse and exploitation sexual to relating 2 . Annex 2 – International Commitments on PSEA 21
We re-affirm our goal of achieving full implementation of these principles as a matter of urgency and commit to:
1. Develop organization-specific strategies to prevent and respond to sexual exploitation and abuse. These would include time-bound, measurable indicators of progress to enable our organizations and others to monitor our performance.
2. Incorporate our standards on sexual exploitation and abuse in induction materials and training courses for our personnel.
3. Prevent perpetrators of sexual exploitation and abuse from being (re-)hired or (re-)
deployed. This could include use of background and criminal reference checks. ANNEX 2
4. Ensure that complaint mechanisms for reporting sexual exploitation and abuse are accessible and that focal points for receiving complaints understand how to discharge their duties.
5. Take appropriate action to the best of our abilities to protect persons from retaliation where allegations of sexual exploitation and abuse are reported involving our personnel.
6. Investigate allegations of sexual exploitation and abuse in a timely and professional manner. This includes the use of appropriate interviewing practice with complainants and witnesses, particularly with children.
7. Take swift and appropriate action against our personnel who commit sexual exploitation and abuse. This may include administrative or disciplinary action, and/or referral to the relevant authorities for appropriate action, including criminal prosecution.
8. Provide basic emergency assistance to complainants of sexual exploitation and abuse.
9. Regularly inform our personnel and communities on measures taken to prevent and respond to sexual exploitation and abuse. Such information should be developed and disseminated in-country in cooperation with other relevant agencies and should include details on complaints mechanisms, the status and outcome of investigations in general terms, feedback on actions taken against perpetrators and follow-up measures taken as well as assistance available to complainants and victims.
10. Engage the support of communities and governments to prevent and respond to sexual exploitation and abuse by our personnel. 22 ANNEX 2 17. 16. 15. 14. 13. 12. 11. 10. 9. 8. 7. 6. 5. 4. 3. 2. 1. United Nationsentities Appendix 1: List ofendorsingentities 2b. StatementofCommitmentonEliminatingSexualExploitationand Abuse by UNandNon-UNPersonnel Major-General Wolfgang Jilke, Force Commander United Nations Disengagement Observer Force (UNDOF), Mr Kemal Administrator Dervis, United Nations Development Programme (UNDP) Secretary-General for Children andArmedConflict Ms Radhika Coomaraswamy, Under-Secretary-General /SpecialRepresentative ofthe Conflict (OSRSG/CAAC) Office oftheSpecial Representative oftheSecretary-General forChildren andArmed Mr JosephLegwaila Legwaila, Under-Secretary-General Office oftheSpecialAdviseronAfrica (OSAA) Mr Nicolas Michel,Under-Secretary-General/ TheLegal Counsel Office ofLegal Affairs (OLA) Ms LouiseArbour, HighCommissionerfor HumanRights Office oftheUnited Nations HighCommissioner forHumanRights (OHCHR) Coordinator Mr JanEgeland, Under-Secretary-General for Humanitarian Affairs andEmergency Relief Office fortheCoordination ofHumanitarian Affairs (OCHA) Patricia Francis International Trade Centre (ITC) Director-GeneralMr WilliamLacySwing, International Organization forMigration (IOM) Mr JacquesDiouf, Director-General Food andAgriculture Organization (FAO) Mr David Veness, Under-Secretary-General Department ofSafety andSecurity(DSS) Mr Warren SachOIC Department ofManagement Mr Jean-MarieGuéhenno, Under-Secretary-General for Peacekeeping Operations Department ofPeacekeeping Operations (DPKO) Mr ShashiTharoor, Under-Secretary-General for Communications andPublicInformation Department ofPublicInformation (DPI) Mr Ibrahim AgboolaGambari,Under-Secretary-General Department ofPolitical Affairs (DPA) Mr JoséAntonio Ocampo, Under-Secretary-General Department ofEconomic andSocialAffairs (DESA) Mr NobuakiTanaka, Under-Secretary-General Department for Disarmament Affairs (DDA)
Annex 2 – International Commitments on PSEA 23
18. United Nations Human Settlements Programme (UN-HABITAT) Ms Anna Tibaijuka, Executive Director
19. Office of the United Nations High Commissioner for Refugees (UNHCR) Mr Antonio Manuel De Oliveira Guterres, High Commissionner for Refugees
20. United Nations Children’s Fund (UNICEF) Ms Ann Veneman, Executive Director
21. United Nations Interim Force in Lebanon (UNIFIL) Major-General Clausio Graziano, Force Commander
22. United Nations Interim Administration Mission in Kosovo (UNMIK) ANNEX 2 Mr Joachim Rucker, Special Representative of the Secretary-General
23. United Nations Integrated Mission in Timor-Leste (UNMIT) Mr Atul Khare, Special Representative of the Secretary-General
24. United Nations Office on Drugs and Crime (UNODC) Mr Antonio Maria Costa, Director General
25. United Nations Mission in Côte d’Ivoire (UNOCI) Mr Abou Moussa, OIC
26. United Nations Mission in Ethiopia and Eritrea (UNMEE) Mr Azouz Ennifar, Acting Special Representative of the Secretary-General
27. United Nations Mission in Sudan (UNMIS) Mr Taye-Brook Zerihoun, Acting Special Representative of the Secretary-General
28. United Nations Mission for the referendum in Western Sahara (MINURSO) Julian Harston, Special Representative of the Secretary-General
29. United Nations Military Observer Group in India and Pakistan (UNMOGIP) Major-General Dragutin Repinc, Chief Military Observer
30. United Nations Observer Mission in Georgia (UNOMIG) Mr Jean Arnault, Special Representative of the Secretary-General
31. United Nations Organization Mission in the Democratic Republic of Congo (MONUC) Mr William Lacy Swing, Special Representative of the Secretary- General
32. United Nations Office at Geneva (UNOG) Mr Sergei Ordzhonikidze, Director-General
33. United Nations Office for Project Services (UNOPS) Mr Jan Mattsson, Executive Director
34. United Nations Peacekeeping Force in Cyprus (UNFICYP) Mr Michael Moller, Special Representative of the Secretary-General and Chief of Mission
35. United Nations Populations Fund (UNFPA) Ms Thoraya Obaid, Executive Director
36. United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) Ms Karen Koning Abu Zayd, Commissioner-General
37. United Nations Stabilization Mission in Haiti (MINUSTAH) Mr Edmond Mulet, Special Representative of the Secretary-General 24 ANNEX 2 13. 12. 11. 10. 9. 8. 7. 6. 5. 4. 3. 2. 1. Non-United Nationsentities 42. 41. 40. 39. 38. 2b. StatementofCommitmentonEliminatingSexualExploitationand Abuse by UNandNon-UNPersonnel Ms CarmenM.Madriñán, Executive Director (ECPAT International) End ChildProstitution, Child Pornography and Trafficking ofChildren for SexualPurposes Mr Tom Arnold,Chief Executive Concern Worldwide Mr Andrew Ryskamp, Director Christian Reformed World Relief Committee (CRWRC-US) Mr. BillLeahey, ActingChief Executive Officer Christian Children’s Fund(CCF) Mr Ken Hackett, President Catholic Relief (CRS) Services Mr Duncan MacLaren, Secretary-General Caritas Internationalis Mr DenisCaillaux,Secretary-General Care International Mr Wolfgang Kopetsky, Secretary General Austrian Red Cross Mr P.M. Tripathi, President Association of Voluntary Agencies for Rural Development (AVARD) Mr HughParmer, President American Refugee Committee International (ARC) Mr JuliusE.Coles,President Africare Ms Barbara E.Harrell-Bond, OBE,Executive Director for Overseas Operations Africa andMiddleEast Refugee Assistance (AMERAUK) Mr JohnNduna,Director Action By Churches Together (ACT) Mr JamesT. Morris,Executive Director World Food Programme (WFP) Dr Anders Nordström, ActingDirector-General World HealthOrganization (WHO) Mr AddeRaad,Executive Coordinator United Nations Volunteers (UNV) Major-General IanGordon, Chief ofStaff United Nations OrganizationsTruce Supervision (UNTSO) Mr Stephen Kisambira, President United Nations Staff Union
Annex 2 – International Commitments on PSEA 25
14. HelpAge International (HAI) Mr Richard Blewitt, Chief Executive
15. International Medical Corps Ms Nancy Aossey, President and Chief Executive Officer
16. International Rescue Committee (IRC) Mr George Rupp, President and Chief Executive Officer
17. Irish Red Cross Mr John Roycroft, Secretary General
18. Italian Red Cross ANNEX 2 Mr Massimo Barra, President
19. Lutheran World Relief Mr Jeff Whisenant, Executive Vice President
20. Mercy Corps Ms Nancy Lindborg, President
21. Red Cross of Monaco HSH Prince Albert II
22. Médecins du Monde (MDM France) Dr Pierre Micheletti, Chairman
23. Refugees International (RI) Mr Kenneth H. Bacon, President
24. Operation USA Mr Richard M. Walden, President and Chief Executive Officer
25. Relief International Mr Farshad Rastegar, CEO
26. Pact, Inc. Ms Sarah Newhall, President and Chief Executive Officer
27. Plan International Mr Tom Miller, Chief Executive Officer
28. Population Action International (PAI) Ms Amy Cohen, Chief Executive Officer and President
29. Save the Children UK (SC UK) Ms Jasmine Whitbread, Chief Executive
30. Save the Children Alliance Ms Jasmine Whitbread, Chief Executive
31. Tearfund Mr Matthew Frost, Chief Executive
32. Temporary International Presence in Hebron (TIPH) Mr Karl-Henrik Sjursen, Head of Mission 26 ANNEX 2 4 1. and abuse Appendix 2: Six core principlesrelating tosexualexploitation Status asofDecember 2011 36. 35. 34. 33. 4. 6. 5. 2. 3. 2b. StatementofCommitmentonEliminatingSexualExploitationand Abuse by UNandNon-UNPersonnel See Report of the Inter-Agency Standing Committee Task Force on Protection from Sexual Exploitation and Abuse in and Exploitation Sexual from Protection on Force HumanitarianI.A. Crisesof13June2002,PlanAction, Section Task Committee Standing Inter-Agency the of Report See of conduct. Managersconduct. of levelsatall have particular responsibilities support to or other forms of humiliating, degrading or exploitative behaviour is behaviour exploitative or degrading humiliating, of forms other or Sxa epotto ad bs b hmntra wres osiue cs of gross acts constitute workers humanitarian by abuse and exploitation “Sexual Kevin J. Jenkins,President andChief Executive Officer World VisionInternational Ms Carolyn Makinson,Executive Director Women’s Commissionfor Refugee Women andChildren Mr Frank Tugwell, President andChief Executive Officer Winrock International Institute forAgricultural Development (Winrock International) Ms DeliaChatoor, President Trinidad andTobago Red Cross Society systems which maintain this environment.”this maintain which systems Sexual relationships between humanitarian workers and beneficiaries are strongly beneficiaries and workers humanitarian between relationships Sexual beneficiaries. to due is that assistance of exchange includes the age of majority or age of consent locally.age consent Mistakenregarding the of belief age or majority of age the uaiain okr ae bie t cet ad anan n niomn which environment an maintain and create to obliged are workers Humanitarian mechanisms. reporting agency established via concerns such report or exploitation by a fellow worker, whether in the same agency or not, he or he not, or agency same the in worker, whether fellow a by exploitation or prevents sexual exploitation and abuse and promotes the implementation of their of implementation the promotes and abuse and exploitation sexual prevents sexual regarding suspicions or Such concerns develops worker humanitarian dynamics. a Where power unequal inherently on work. aid humanitarian of based integrity and credibility the undermine arerelationships they since discouraged regardless is prohibited 18) of age the under (persons children with activity Sexual employment. of termination for grounds therefore are and misconduct xhne f oe, mlyet gos o srie fr e, nldn sexual including sex, for services or goods, employment, money, of Exchange defence.a not is 4
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Annex 2 – International Commitments on PSEA 27
IASC Minimum Operating Standards Protection from Sexual Exploitation and Abuse by own Personnel (MOS-PSEA)1
To provide protection from sexual exploitation and abuse (PSEA) by own personnel the compliance with a set of Minimum Operating Standards for PSEA (MOS‐PSEA) is required. The MOS‐PSEA are modelled after the well‐known Minimum Operating Security Standards for Staff Safety (or MOSS) compliance mechanism, which is mandatory for the UN System to ensure there is a common set of requirements that all agencies follow in order to ensure staff safety. ANNEX 2
What are the MOS-PSEA?
The MOS‐PSEA are based on:
1. The Statement of Commitment on Eliminating Sexual Exploitation and Abuse by UN and Non‐UN Personnel, August 2008
2. The Global Review of protection from Sexual Exploitation and Abuse by UN, NGO, IOM and IFRC Personnel, July 2010
3. IASC Six Core Principles Relating to Sexual Exploitation and Abuse, June 2002
What are the key elements of the MOS-PSEA?
The four pillars of the current PSEA work provide the framework for the mechanism. These are:
1. Management and coordination: Effective policy development and implementation; Cooperative arrangements; Dedicated department / focal point committed to PSEA.
2. Engagement with and support of local community population: Effective and comprehensive communication from HQ to the field on (a) what to do regarding raising beneficiary awareness on PSEA and (b) how to establish effective ‐community based complaints mechanisms.
3. Prevention: Effective and comprehensive mechanisms to ensure awareness‐raising on SEA amongst personnel; effective recruitment and performance management.
4. Response: Internal complaints and investigation procedures are in place.
1 These MOS have been discussed among IASC PSEA TaFo Members; the document is work in progress and reflects the status of the Task Forces’ current thinking. 28 ANNEX 2 2c. IASCMinimum OperatingStandards for PSEA(2012) PSEA Minimum Operating Standards Key Indicators
1 Effective Policy Development and • A policy stating standards of conduct, including acts of SEA, exists and a work plan to implement the policy is in place. Implementation • The policy/standards of conduct have been conveyed to current staff and senior management (at HQ and field level) on repeated occasions (such as inductions and refresher trainings).
2 Cooperative Arrangements • SG’s Bulletin (ST/SGB/2003/13) or respective codes of conduct are included in general contract conditions. • Procedures are in place to receive written agreement from entities or individuals entering into cooperative arrangements with the agency that they are aware of and will abide by the standards of the PSEA policy.
3 A dedicated department/focal point is • A dedicated department/focal point have the overall responsibility for the development and implementation of committed to PSEA PSEA policy and activities. • The responsible department/focal point is required to regularly report to senior management on its progress on PSEA through the Senior Focal Point on PSEA. • Staff members dealing with PSEA have formalised responsibility for PSEA in their job description, performance appraisal or similar. • They have received systematised training on PSEA and the time committed to PSEA is commensurate with the scale of implementation required under the current situation of the organisation.
4 Effective and comprehensive • The HQ has communicated in detail the expectations regarding beneficiary awareness raising efforts on PSEA communication from HQ to the field (including information on the organisation’s standards of conduct and reporting mechanism). on expectations regarding raising • The HQ has distributed examples of awareness raising tools and materials to be used for beneficiary awareness beneficiary awareness on PSEA raising activities.
5 Effective community based complaints • The HQ urges its field offices to participate in community based complaint mechanisms that are jointly developed mechanisms (CBCM), including victim and implemented by the aid community adapted to the specific locations. assistance. • There is guidance provided to the field on how to design the CBCM to ensure it is adapted to the cultural context with focus on community participation. • There is a mechanism for monitoring and review of the complaint mechanism. • The organisation has written guidance on the provision of victim assistance. Annex 2 – International Commitments on PSEA 29 ANNEX 2 come is shared with the complainant. is shared ‐ come The organisation makes sure that all candidates are required to sign the code of conduct before being offered a being offered conduct before code of to sign the required are candidates all that sure makes The organisation contract. former misconduct. for vetting checking and reference of system its to improving commits organisation Each trainings (or in Code of Conduct participation to include adherence appraisals Supervision and performance includes PSEA. similar) that an environment and maintain create to include the adherence Senior Management for appraisals Performance code of ST/SGB/2003/13 or of the the implementation and abuse promotes exploitation sexual which prevents conduct. Staff receives annual refresher training on the standards of conduct, learn about the mechanism to file complaints complaints to file conduct, learn about the mechanism of standards on the training refresher annual receives Staff standards. these of breaching and the implications of misconduct and reports process. forms part of the induction SEA) mentioning (specifically on misconduct Training for is a policy there that aware are and SEA/misconduct report to of their obligation aware are members Staff in place. retaliation from Protection are in place. or beneficiaries members staff handling from complaints/reports on procedures Written for handling procedures and the complaint/report to file a regular basis of how on a informed are members Staff these. practice. investigation to guide issued and used or equivalent procedures operating investigation Standard trained on sensitive are also who professionals experienced and qualified by are undertaken Investigations SEA. of such as allegations investigations about out information and commenced within 3 months are Investigations Substantiated complaints have resulted in either disciplinary action or contractual consequences and, if not, the in either disciplinary contractual action or resulted have complaints Substantiated why not. to justify is able entity • • • • • • • • • • • • • Effective recruitment and performance and performance recruitment Effective management Effective and comprehensive comprehensive and Effective ensure to established mechanisms are amongst on SEA raising awareness personnel Internal complaints and investigation and investigation complaints Internal in place procedures 6 7 8 30 ANNEX 2
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Annex 2 – International Commitments on PSEA 31
Take note o t t ractic and on arn d ro t n ro t di and initiati carri d o t t I and ot r int rnationa or ic id nti i t at can on addr d at t o a
Find t at co it nt ar not ni r a i nt d in ractic , and t rioriti ta in rt r action on t co it nt to in o r a c an
Commit to t o o in ction oint in ord r to i o r r io and on oin co it nt to
i t o r o n r onn , and to n r t at a r on ar d o d in a ann r t at a anc r ct or d roc it a r i or c nt r d a roac in ic t r i or’s i , a t , and in r ain a riorit in a att r and roc d r
. Fully implement the Minimum Operating Standards, inc din d o in o rationa ANNEX 2 Take notetoo o at nd c ar t r idaactic nc a ornd t on i d onar na d n rco c o t n it nt ro a nd t d aciti iti and initito arotti c t aca arrin ti d o t t I a a nd oitation ot r intand rn a tion a, ot or at t ic in id ntitit tion a and i co c t atti 4ca n on . i a ddrr ir d at t o n rin a t at o a tandard o ratin roc d r on coo ration in int ra nc co aint c ani , and ci ica on ca r rra and o o , ar d o d and ndor d Find t at a .co i It nt a o ra r ir not ni cti r a a ndi contin o nt d in ta rac trtiac inin , and a t anita rioritriani ta in a rt n cri , action to onn t r t at co it nt t ir i d oto i in o c nd r a r tca ndan t ir a nci ’ co it nt and od o ond ct o i ation , and ic o t r ca acit i din and a iora c an to Commita ddrto t t o o in root ca ction o . oint in ord r to i o r r io and on oin co it nt to i t o r o n r onn , and to n r t at a r on ar d o d in a ann r t at
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ort o t cr tar n ra , cia a r or rot ction ro a oitation and a r ar o r n i r i o t o tion o ac in o ration in a t ir a ct , n , – 44 , ara . o a t d on t I ntation o nit d ation c rit o nci o tion , I , o a i o rot ction ro a oitation and , , I and I r onn , Ind nd nt o o t i o rot ction in t ont t o anitarian ction, o i ion d t or ian o nci on a o t Int r nc tandin o itt and t o a rot ction t r a , . and I , rot ction ro a oitation and o ndi o ractic on o nit a d o aint c ani . 4 o cti co it nt to r nt inc d # to n a in oo rati rran nt , and tat nt o o it nt # “ n a t ort o co niti and o rn nt to r nt and r ond to a oitation and a o r r onn .” nd r t id nt oordinator n ric o cri tion, r ar 4, t i r on i or n rin t at a n t or o oca oint or t i ntation o t ro i ion contain d in t tin on cia a r or rot ction ro a oitation and a a i o rationa and ortin t d o nt and i ntation o a co ntr action an to addr t i . ort , r at a o ition nd r t o ic o t to ort i r or a oca oint or and t co t o t o ition i to ar d a ntiti o ratin in t i d i ion. o I , o a i o rot ction ro a oitation and , , I and I r onn , .
32 ANNEX 2
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n n d d
a a
o o c c a a i i a a n n
ti ti i i ti ti n n t t ti ti c c a a … … ra ra o o c c I I a a o o i i a a nn nn n n o o c c n n
d d , , ” ”
ti ti d d
t t
or or
an and and an d d i i t t o o i i r r r.” r.” r.” n n . . n n . . a a d d . .
r r . .
ANNEX 3
Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs
IASC
Protection against Sexual Exploitation and Abuse (PSEA)
Inter-agency cooperation in community-based complaint mechanisms
MAY 2016
Global Standard Operating Procedures
An IASC commitment to develop operational tools and clear guidance for the field on agency commitments and activities to protect against sexual exploitation and abuse, both at the institutional and collective levels.
(IASC Statement on PSEA, endorsed by the IASC Principals on 11 December 2015) 36 ANNEX 3
4. 3. 2. Key definitions Acronyms Developed incollaboration with TABLE OFCONTENTS 1. 4.3. Referral for investigation andpossibleadministrative action. 4.2. Receiving andassessingcomplaints. 4.1. Setting upthe inter-agency CBCM. Complaint mechanismprocedures. Guiding principles Roles &responsibilities ofCBCM stakeholders. 1.2. Objective andscope of standard operating procedures (SOPs). 1.1. Background onSEA andinter-agency cooperation Introduction Contact List.
4.3.4. Provide feedback to survivors andcomplainants . 4.3.3. Communicating investigation status andfindings totheCBCM 4.3.2. Specialnote onagency investigation of complaints. 4.3.1. Referral to theconcerned agency for follow-up 4.2.3. Recording andtracking case handling 4.2.2. Processing complaints. 4.2.1. Receive complaints through theCBCM 4.1.2. DesigningtheCBCM 4.1.1. Creating an effective and sustainable CBCM 1.2.3. Additional relevant policiesandprocedures. 1.2.2. Scope. 1.2.1. Objective......
. 4.2.2. (b)Processing SEA allegations for referral. 4.2.2. (a)Referrals for immediate assistance...... 65 67 65 64 63 63 62 61 59 59 56 56 54 53 53 50 53 47 46 45 44 41 37 44 37 41 38 Annex 3 – Global Standard Operating Procedures on Int rInter-Agency nc Cooperation in CBCMs 37
DEVELOPED IN COLLABORATION WITH:
o o in a nci or ani ation artici at d in t dra tin o t o a Int rnationa , , I , I , I , , , a t i dr n Int rnationa , a t i dr n , , , , I , , , and or d i ion Int rnationa .
Date of Review/Revisions
t ra t cto r
nd ra t o r
rd ra t 4 r ar
4t ra t 4 ri
ina a
ACRONYMS
ANNEX 3 CBCM o nit a d o aint c ani
CBO o nit a d r ani ation
GBV nd r a d io nc
IASC Int r nc tandin o itt
IGO Int r o rn nta r ani ation
IP I ntin artn r
MOS-PSEA ini ratin tandard on
NGO on o rn nta r ani ation
PSEA rot ction ro a oitation and
SEA a oitation and
SOC ct o t o aint
SOP tandard ratin roc d r
TORs r o r nc
UN nit d ation
38 ANNEX 3 Inter-Agency PSEACBCMSOPs co rcion, co rcion, in ict t at act It inc d nd r . againsta person’s will and that is based on socially co rcion, in ict t at act It inc d nd r . againsta person’s will and that is based on socially circ tanc . circ tanc . in or a co nit tr ct r , r indi id a ar a and nco ra d to a r ort incid nt o in or a co nit tr ct r , r indi id a ar a and nco ra d to a r ort incid nt o Gender inc can trainin r ortin co aint . di tinction t n t t o i i ortant o t ata nc o ici and ta although agencies’ internal procedures for reporting sexual harassment allegations may the be same as for Gender inc can trainin r ortin co aint . di tinction t n t t o i i ortant o t ata nc o ici and ta although agencies’ internal procedures for reporting sexual harassment allegations may the be same as for o t n a d ca o t ir n ra tat a o n, ir , o ir , o n, a tat n ra t ir o ca a d o t n o ir , o n, a tat n ra t ir o ca a d o t n 4 4 n ant d r a or ica cond ct a o a nat r t n occ r ara nt a Sexual n ant d r a or ica cond ct a o a nat r t n occ r ara nt a Sexual Sexual Exploitation and Abuse (SEA) DEFINITIONS KEY Sexual Exploitation and Abuse (SEA) DEFINITIONS KEY r ort d in anitarian cont t , ci ica a d a ain t anitarian or r . or r . anitarian a ain t a d ci ica cont t , anitarian in r ort d or r . anitarian a ain t a d ci ica cont t , anitarian in r ort d Community Community
I id in . a t orit ara nt, o 8 anda I cto r cr tar co r d i ara nt a Secretary General’s Bulletin on SEA (2003). Rules.” and ad ini trati actionor di ci inar a r , inc din ar di i a , r ant to t nit d ation ta ation int nd d to an a ti i t. t r t o a oiti . or a a i di co ra d. tron ar and ation nit d t a i tanc , inc t ar a d on in r nt n a o rd na ic , nd r in t a i tanc t ati d to n iciari o a i tanc d a i r ation i a io r, t n oitati nit d or ation d radin ta and n iciari i iatin , o or ot r or a o r I id in a . inc din , or r ic or ood o nt, on , o c an c d nc a not i c i d a o a in t i a t orit ara nt, o 8 anda it c i dr n r on I nd r t cto r a o 8 i ro i it d cr tar r ard o t a cr tar t nd r a , and oitation co r d i ara nt a ST/SGB/2003/13 (9 OctoberSecretary 2003) [hereinafter General’s Bulletin Secretary on SEA (2003). General’ cr tar ation nit d Rules.” and c ad ini trati actionor di ci inar a r , inc din ar di i a , r ant to t nit d ation ta ation o d inition I int nd d t t at to citin an a ti and or , i t.co on t r or t t o o o a a on oiti i . ar , orcan a a i di co ra d. r co ni d o tron t ar i and ation nit d t nd r oordinatin or and oo a i tanc , inc t ar a d on in r nt Gender n a o rd na ic ,workers”); nd r in humanitarian t to relating specifically contexts, a i tanc t ati d to n iciari o a i tanc d a i r ation i a io r, t n oitati nit d or ation d radin ta and n iciari i iatin , o or ot r or a o r a inc din , or r ic or ood o nt, on , o c an c d nc a not i c i d a o a in t i it c i dr n r on nd r t a o 8 i ro i it d r ard o t a cr tar t nd r a , and oitation ST/SGB/2003/13 (9 October 2003) [hereinafter Secretary General’ cr tar ation nit d c o d inition I t t at citin and or , co on or t o o a on i ar , can r co ni d o t i nd r oordinatin or and oo Gender workers”); humanitarian to relating specifically contexts, Annex 6, p. 336(“Sexual exploitation and abuse are forms of gender . Annex 6, p. 336(“Sexual exploitation and abuse are forms of gender . Action Action arationon t i ination o io nc ain t o n , . arationon t i ination o io nc ain t o n , . – – Int r Int r inc din in t a o io nc ic to ci ic at inc din in t a o io nc ic to ci ic at
- - on tari , ocia or o itica ro t a oitation o o oitation t a ro o itica or ocia on tari , di r ntia o r, or tr t, or a r o , inc din , t no force or under unequal or coercive conditions.” a oitation a force or under unequal or coercive conditions.” a o oitation t a ro o itica or ocia on tari , di r ntia o r, or tr t, or a r o , inc din , t no oitation a Harassment versus SEA versus Harassment SEA versus Harassment – – Based Violence Based Violence Based – –
and ot r d ri ation i rt . o and ot r d ri ation i rt . o
Reducing Risk, Promoting Resilienceand Aiding Recovery Reducing Risk, Promoting Resilienceand Aiding Recovery ic nco a ic nco a nc tandin o itt , nc tandin o itt ,
- - Based Complaints Mechanism (CBCM) Based Complaints Mechanism (CBCM)
roc d r in t i roc d r in t i
d ci ic in tr ction on t roc d r to d ci ic in tr ction on t roc d r to : “The actual or threatened physical intrusion of a sexual nature, whether by by whether nature, sexual a of intrusion physical threatened or actual “The : by whether nature, sexual a of intrusion physical threatened or actual “The : General’s Bulletin, “Special measures forprotection from sexual exploitation and sexual abuse” General’s Bulletin, “Special measures forprotection from sexual exploitation and sexual abuse”
versus SEA versus SEA versus
: “Any actual or attempted abuse of a position of vulnerability, vulnerability, of a position of abuse attempted or actual : “Any vulnerability, of a position of abuse attempted or actual : “Any
– – a d io nc Int r ntion in anitarian ttin . t a d io nc Int r ntion in anitarian ttin . t
“draws from the officialdefinition of violence againstwomen” in ArticleOne of theUN “draws from the officialdefinition of violence againstwomen” in ArticleOne of theUN cr tariat d ini trati In tr ction it d ini trati d a in cr tariat roc d r or a ara nt In tr ction it d ini trati d a in cr tariat roc d r or a ara nt occ r a ain t a n iciar or r o t co nit . co nit . t o r or a n iciar a ain t occ r co nit . t o r or a n iciar a ain t occ r Guidelines for Integrating Gender Guidelines for Integrating Gender General’s Bulletin, Prohibition of discrimination, harassment, including sexual General’s Bulletin, Prohibition of discrimination, harassment, including sexual ica , a or nta ar or rin or ar nta or a ica , rin or ar nta or a ica , r onn r onn
i an r a t r or an ar act t at i r trat d r trat d i t at act an ar or t r r a an i r trat d i t at act an ar or t r r a an i
doc nt on co r co r on doc nt co r on doc nt General’s Bulletin, includes the following specific standards: Sexual activity General’s Bulletin, includes the following specific standards: Sexual activity artic ar or o nd r o or artic ar nd r o or artic ar
can n a a or o , a icti o ar ar o icti a , o a or a n can ar o icti a , o a or a n can
r ar 8 . r ar 8 . ta ta , and in o an n co a ad anc or , and in o an n co a ad anc or a cri d di r nc t n a and a i. . i. . a and a t n di r nc a cri d i. . a and a t n di r nc a cri d (d). See alsowhich §3.3 clarifies that the standards are “not (d). See alsowhich §3.3 clarifies that the standards are “not . a . ara nt i a . ara nt i
i t a ndin ot or a and i t a ndin ot or a and
a d io nc r a o on i i it or in ro , a d io nc r a o on i i it or in ro , tinon . tinon . a d io nc t at a a d io nc t at a
r ort ac r ort ac r ort
o a orit or a o con nt oca . i ta n i ta n oca . con nt o a or a orit o i ta n oca . con nt o a or a orit o ri ro i t o d id in ri ro i t o d id in
r ina t r r ina t r -Based ViolenceInterventions in Humanitarian -Based ViolenceInterventions in Humanitarian co aint co aint
ro i it d. i inc d an c an o ro i it d. i inc d an c an o Int r Int r a d io nc a d io nc . .
another.” another.” cr di i it and int rit o t or o o or t o int rit and cr di i it o or t o int rit and cr di i it
I id in I id in t i it d to, ro itin ro itin to, t i it d t i it d to, ro itin ro itin to, t i it d . .
nc nc
not co r d t t co r d not t co r d not , ,
a io r a ro nd or or ro nd a a io r or ro nd a a io r or n n in o o in n n or o in n n or n r ort d in anitarian anitarian in r ort d n anitarian in r ort d n , t r at o c act , act , c o t r at , act , c o t r at ,
ro i ition o a a o ro i ition a o ro i ition
t at a n n a t at n a t at atin t at t at atin t at atin
o o o 4 4
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 39 Int r nc
. oca co niti ar in o d in d o in and a ro in t o t at t tr ct r i ot c t ra and nd r n iti . c ani o d a ti ntr oint , a o in ot n iciari and ta t o ort nit to r ort at t or ani ationa – int rna t ro t network’s or field agency focal oint – or at t co nit . ri ar conc rn o t c ani i to aid no n and ot ntia r i or , and a o i a r ntion nction t ro a ar n rai in ort . o d not a arat , ara t to ot r co aint and d ac tr ct r in a i n ar a, t rat r in to and i d onInt r i tin nc tr ct r to cr at on t or and in d ac and co aint .8
.Beneficiaries oca co niti of Humanitarian ar in o d Assis intance d o in r on and a ro in o r c i t a i tanc o t ata t art tr ct r o it r i ot r nc c t ra r i and or nd r d o nt n iti . aid t ro c ani a i tanc o d ro ra a ti . r on ntr nd r oint , t i a o in tit inc d ot r n iciari o a ct dand ta o ation t o ort nit inc din to r ortr , at t int rna or ani ationa di ac d r on – int rna and ot r t ro n ra t indi id a ,network’s or a field agencya o t co nit focal oint r . – or at a t co nit oitation . or a o ri ar a n iciar conc rn i o , t c ani o r t i indi id a to aid no n n d andnot ot ntia in a n ra r i or , o ition and a a odi r ntia i a o r r ntion or tr t nction r ation i t ro i a ar n ici nt to rai in ta i ort . . o d not a arat , ara t to ot r co aint and d ac tr ct r in a i n ar a, t rat r in to and i d on i tin tr ct r to cr at on t Complainant or and in r on d ac o and rin co aint . an a ation8 o to t in accordanc it ta i d roc d r . i r on a an r i or or anot r r on o i a ar o t ron doin . ot t Beneficiaries r i or and of t Humanitarian co ainant, i Assis di r nttance ro t r on r i or, o o r c i d a i tanc rot ct d ro a art r ta iation o it r or r ortin r nc . r i r or d o nt t r i an aidcon ict t ro o int r ta i tanc t n ro ra t r i or . r on and anot r nd r t i int r t d tit inc d art , the r survivor’s o a ct d wishes o ation must be t inc din rinci r ,con id ration int rna in ca di ac d and in , r on artic ar and ot r n n ra t r i a ri indi id a , o additiona a ica a o t and or co nit otiona r . ar . a oitation or a o a n iciar i , o r t indi id a n d not in a n ra o ition a di r ntia o r or tr t r ation i i W ici nthistleblower to ta i or .t r o o t a i t o r i a t o co ainant, not t ANNEX 3 r i or, o i a anitarian aid or r a in a r ort o . r ani ationa i t o in o ici Complainant nco ra r on ta oto r ort rin conc rn an a ation or icion o to o t i cond ct in accordanc co a it ta i d o rin roc d r . rot ction ro i r onr ta iation a or an r ortin , r i or and orc ari anot r t r on r o and i a ar roc d r o t or ron doin . r ortin ot and t addr in r i or c and t ca . co ainant, r or i t di r nt d inition, ro co t r i or,, and rot ction o d a r rot ct d a ro di r r ta iation t n or r ortin or ani ation . . r t r rinci i an . . con ict con id ntia it o int r t t n a tot i t o r r i or and anot r a t int r t d o d to art , an theco ainant, survivor’s and wishes int rna must a nc be t o ici rinci a con id ration rot ct i t o r in ca and in , on artic ar ro r ta iation, n ot r on i a a ri t r ort o additiona i ad ica in ood and or ait and otiona in co ianc ar . it int rna a nc o ici .
WSurvivorhistleblower r on or ot r o a r trat do t a ain t a i t o r i r or an i att t a t to o r trat co ainant, nota ain t t r i or, i r. o or i t a r o anitarian o t aid , or r r on a in o a r ort r ort o . co itt d r ani ationa a ain t i t o in t ar o ici tr at d a nco ra r i or or ta t to r o r ort o conc rn c rit or and icion n d a o nt i cond ct. co a o rin rot ction ro r ta iation or r ortin , and c ari t r and roc d r or r ortin and a ddr in or or on c d i nin ca . a c t ra r or and nd r t d inition, n iti , co , 4. and ttin rot ction t Int r a r nc . a di r t n or ani ation . anitarian or r a rinci a d t to r ort . . an con id ntia it conc rn, do t, ora a ation to o i t o r in accordanc a it t t o d int rna to o ici an co ainant,and roc d r and o t irint rna a nc or ani ation. a nc o ici a or rot ct in t Int r i t o r nc tandin on o itt ro Inter r ta iation,-Agency PSEA o on -CBCM a t Best r ort Practices i ad Guide in r ina t r ood ait I and in co ianc t ractic it id . int rna a nc o ici . 8 or or on int ratin t it i tin tr ct r , 4. . i nin t . “Statement of Commitment on Eliminating Sexual Exploitation and Abuse by UN and Non UN Personnel” (2006, dat d Survivor r ina t r r on tat nt o o a o it nt r trat d 06)] #5 a ain t(“Take appropriate i r actionor an to att t the best ofto our r trat abilities to protect a ain t persons i r ro r ta iation. or t r r o a ation o t o sexual , exploitation r on oand abuser ort are reported co itt d involving a ain t our personnel.”). t Note: ar tr at dST/SGB/2005/21 a r i or requires or t also r o that the report o c rit be made and “a oonn d a a o i nt and not. at r t an i ar a t r t indi id a becomes aware of the misconduct. The individual must […] submit information or evidence to support a reasonable belief that i cond ct has occurred”. or or on rot ction d i nin a ain ta c t ra r ta iation and nd r or n iti r ortin , i cond ct 4. and ttin or coo rat t Int rin nc it d . a t ori d a dit or anitarianin ti ation or r a a d t to c r r ort an conc rn, . . do t, or a ation o in accordanc it t int rna o ici and roc d r r on o o i , t ir or a a nc or ani ation. n, a oit d or or ina d t Int r. i nc t r i i tandin tr n t , o itt r i i nc , Inter-Agency and t PSEA ca acit -CBCM to Bestsurvive. Practices “The terms Guide ‘victim’ r ina t r and ‘survivor’I can tbe used ractic interchangeably. id . ‘Victim’ is a term often used in the legal and medical 8 sectors, or or while on int ratin the term t ‘survivor’ is it generally i tin preferred tr ct r , in the 4. . p c o o ica i nin and t ocia . ort ctor ca it i i “Statementresiliency.” ofSee Commitment Int r Agency on EliminatingStanding Committee’s Sexual Exploitation a orc and Abuseon rot ction by UN and ro Non a UN Personnel” oitation (2006, and dat d , “Guidelines r ina t r to implement tat nt the o Minimum o it nt Operating 06)] Standards #5 (“Take for appropriate Protection action from toSexual the best oitation of our abilities and to protect persons and ro r ta iation r a ation o sexual exploitation and abuse are reported involving our personnel.”). Note: ST/SGB/2005/21 requires also that the report be made “a oon a o i and not at r t an i ar a t r t indi id a becomes aware of the misconduct. The individual must […] submit information or evidence to support a reasonable belief that i cond ct has occurred”. rot ction a ain t r ta iation or r ortin i cond ct and or coo ratin it d a t ori d a dit or in ti ation c r . . r on o i , or a n, a oit d or a d. i t r i i tr n t , r i i nc , and t ca acit to survive. “The terms ‘victim’ and ‘survivor’ can be used interchangeably. ‘Victim’ is a term often used in the legal and medical sectors, while the term ‘survivor’ is generally preferred in the p c o o ica and ocia ort ctor ca it i i resiliency.” See Int r Agency Standing Committee’s a orc on rot ction ro a oitation and , “Guidelines to implement the Minimum Operating Standards for Protection from Sexual oitation and and
40 ANNEX 3 Inter-Agency PSEACBCMSOPs Humanitarian Aid Worker t r . t nd r Subject the of Complaint Humanitarian Aid Worker t r . t nd r Subject the of Complaint with “survivor”. with “survivor”. with tr n t , r i i nc , or ca acit to r i . to ca acit or r i i nc , tr n t , i d i nation it r a i tanc . icti di c in n in ind it t ar t it in ro idin rot ction and or a i tanc to a ct d o ation and o a a contract a r ation i r i . to ca acit or r i i nc , tr n t , i d i nation it r a i tanc . icti di c in n in ind ar t it in ro idin rot ction and or a i tanc to a ct d o ation and o a a contract a r ation i ro i ion a i tanc a i tanc ro i ion ro i ion a i tanc r r to a ta o anitarian a nci and or ani ation , inc din a nci , I , , I , a nci , inc din or ani ation , and a nci anitarian o ta a to r r , I , a nci , inc din or ani ation , and a nci anitarian o ta a to r r d ration o t ir contract. t ir o d ration r r nt contract. t ir o d ration r r nt Staff Staff Code of t “humanitarian are partner an implementing by, employed those all and ta i d , I or roc d r ,to ro id r ic and d i r anitarian a i tanc . ta o , Implementing Code of t “humanitarian are partner an implementing by, employed those all and ta i d , I or roc d r ,to ro id r ic and d i r anitarian a i tanc . ta o , Implementing 4 4 Victim Victim o t t or d ration o t ir contract. o d ration t or t o or r ,andan on r or in a ta on a an o anitariana nc or or ani ation, r ard r ant and artn r , i ntin t ir contract. o d ration t or t o or r ,andan on r or in a ta on a an o anitariana nc or or ani ation, r ard r ant and artn r , i ntin
Inc nti or r ar indi id a o r c i non Inc nti or r ar indi id a o r c i non I id in I nt to t Allegations ofAbuse and Exploitation by HumanitarianWorkers” (2007) International Council ofVoluntary Agencies, “Building SaferOrganizations Guidelines: Receiving and Investigating Id I id in I nt to t Allegations ofAbuse and Exploitation by HumanitarianWorkers” (2007) International Council ofVoluntary Agencies, “Building SaferOrganizations Guidelines: Receiving and Investigating Id id in , art I non id in , art I non .int raction.or do ar r nt r o t n iciar co nit . t a oitation and o ar at .int raction.or do ar r nt r o t n iciar co nit . t a oitation and o ar at . .
UN [hereinafter (March Personnel” 2013) Guidelines IASC to Implement the MOS UN [hereinafter (March Personnel” 2013) Guidelines IASC to Implement the MOS or t r o t o , or t r o t o , . . o int nd d to r ct a r ct to int nd d o a r ct to int nd d o C C onduct onduct t at t at t at
tici atin or ani ation artn r , inc din inc nti or r inc nti inc din or ani ation artn r , tici atin or r inc nti inc din or ani ation artn r , tici atin or ani ation, t r not or i co n at d on tari and r ard t o t or or ani ation, t r not or i co n at d on tari and r ard t o t or P P artners artners t o tandard o a ior t at ta o an or ani ation ar o i d to ad r to. ad r to o i d ar an or ani ation o ta t at a ior o tandard o t to. ad r to o i d ar an or ani ation o ta t at a ior o tandard o t
These SOPs use the term “survivor” for consistency. However, as much literature on on literature much as However, consistency. for “survivor” term the use SOPs These These SOPs use the term “survivor” for consistency. However, as much literature on on literature much as However, consistency. for “survivor” term the use SOPs These t at a o rc d or t t or o rc d a t at t at a o rc d or t t or o rc d a t at c nt a c nt a Introd ction . . Introd ction . .
ntiti or or ani ation t at o t at or ani ation or ntiti o t at or ani ation or ntiti nc a co aint a n i d, t a d r trator o o r trator a d t i d, a n aco aint nc o r trator a d t i d, a n aco aint nc
(see also “Implementing Partners”) (see also “Implementing Partners”)
or t r o o t , t i t r nco a a r on in o d in o d r on a nco a t r t i , t o r o t or in o d r on a nco a t r t i , t o r o t or o ar o ar r on o a r trat d a ain t i r, d int rc an a int rc an a d i r, a ain t r trat d a o r on int rc an a d i r, a ain t r trat d a o r on
. .
4 4
“staff” of an organization an organization of “staff” an organization of “staff” on tar on tar on tar
. .
inc din aid ta , ta , aid inc din ta , aid inc din
co n ation or or or r r ntation or an or ani ation, and and or ani ation, an or r r ntation or or or co n ation and or ani ation, an or r r ntation or or or co n ation uses the “victim” terminology, th terminology, “victim” the uses uses the “victim” terminology, th terminology, “victim” the uses . . rat at co ntr , in accordanc it it accordanc in , co ntr at rat it accordanc in , co ntr at rat
in an a an in in an a an in i i i Int r Int r o nt r , contractor , inc nti inc nti contractor , o nt r , inc nti contractor , o nt r , aid aid aid an r on o or or or or or or o r on an or or or o r on an
workers” for the purposes of workers” for the purposes of ro tar t co niti . It tar t co niti . ro It tar t co niti . ro nc nc , and , I and , I ant to i a ac o o a ac i to ant ant to i a ac o o a ac i to ant i o o i o o i o o i o o i r rr d to to r rr d i to r rr d i
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 41
1. INTRODUCTION
1.1. Background on SEA and Inter-Agency Cooperation 1. INTRODUCTION a oitation and a aid or r dir ct contradict t rinci on ic anitarian1.1. Background action i a d on and SEA r r nt and Inter a rot ction-Agency ai r Cooperation on t art o t aid co nit . in ict ar on t o o t anitarian co nit i o i at d to rot ct, a a
o ardi t cr di i it o a a i tanc a nci . anitarian or r ar ct d to o d t a oitation and a aid or r dir ct contradict t rinci on ic i t tandard o r ona and ro iona cond ct at a ti to rot ct n iciari o anitarian action i a d and r r nt a rot ction ai r on t art o t aid co nit . a i tanc . a oitation and a o a ct d o ation con tit t ro i cond ct and in ict ar on t o o t anitarian co nit i o i at d to rot ct, a a i r t in di ci inar action, inc din i diat t r ination o o nt and r rra or o ardi t cr di i it o a a i tanc a nci . anitarian or r ar ct d to o d t cri ina ro c tion, r a ro riat . i t tandard o r ona and ro iona cond ct at a ti to rot ct n iciari o a i tanc . a oitation and a o a ct d o ation con tit t ro i cond ct and In r co nition o t o a conc rn o r , t Int r nc tandin o itt I a i r t in di ci inar action, inc din i diat t r ination o o nt and r rra or rioriti d ort to r nt and r ond to t a at ot t a nc and t ro cri ina ro c tion, r a ro riat . 8 co cti ort in t i d. In t I ado t d i cor rinci int nd d to t ort
tandard to r nt In r co nition o t o a conc rn o r , t Int r nc tandin o itt I a
rioriti d ort to r nt and r ond to t a at ot t a nc and t ro Six Core Principles Relating to Sexual Exploitation and Abuse 8 co cti ort in t i d. In t I ado t d i cor rinci int nd d to t ort . a oitation and a anitarian or r con tit t act o ro i cond ct tandard to r nt and ar t r or ro nd or t r ination o o nt.
. a acti it it c i dr n r on nd r t a o 8 i ro i it d r ard o t Six Core Principles Relating to Sexual Exploitation and Abuse ANNEX 3 a o a orit or a o con nt oca . i ta n i r ardin t a o a c i d i not . a oitation and a anitarian or r con tit t act o ro i cond ct a d n . and ar t r or ro nd or t r ination o o nt. . c an o on , o nt, ood , or r ic or , inc din a a o r or . a acti it it c i dr n r on nd r t a o 8 i ro i it d r ard o t ot r or o i iatin , d radin or oitati a io r i ro i it d. i inc d a o a orit or a o con nt oca . i ta n i r ardin t a o a c i d i not c an o a i tanc t at i d to n iciari . a d n . 4. a r ation i t n anitarian or r and n iciari ar tron . c an o on , o nt, ood , or r ic or , inc din a a o r or di co ra d inc t ar a d on in r nt n a o r d na ic . c r ation i ot r or o i iatin , d radin or oitati a io r i ro i it d. i inc d nd r in t cr di i it and int rit o anitarian aid or . c an o a i tanc t at i d to n iciari . . r a anitarian or r d o conc rn or icion r ardin a a or 4. a r ation i t n anitarian or r and n iciari ar tron oitation a o or r, t r in t a a nc or not, or t r ort di co ra d inc t ar a d on in r nt n a o r d na ic . c r ation i c conc rn ia ta i d a nc r ortin c ani . nd r in t cr di i it and int rit o anitarian aid or . . anitarian or r ar o i d to cr at and aintain an n iron nt ic r nt . r a anitarian or r d o conc rn or icion r ardin a a or a oitation and a and ro ot t i ntation o t ir cod o cond ct.
oitation a o or r, t r in t a a nc or not, or t r ort
c conc rn ia ta i d a nc r ortin c ani .
These . principles anitarian were or r incorporated ar o i d into the to UN cr at Secretary and aintain General’s an Bulletin n iron nt on SEA ic in 2003. r nt The
tin a o t in oitation a ro to ranc and a o ic and to ard ro ot , t o i i ntation ta o to t ir r ort cod incid nt o cond ct. o a , and i indin on a ta , inc din a a nci and indi id a o a coo rati a r nt it t . nt o ntar a nc co it nt , c a t tat nt o These principles were incorporated into the UN Secretary General’s Bulletin on SEA in 2003. The o it nt on i inatin a oitation and and on r onn , a tin o t in a ro to ranc o ic to ard , o i ta to r ort incid nt o a , a int rna a nc o ici , a tantia road n d t int rnationa co it nt to i t and i indin on a ta , inc din a a nci and indi id a o a coo rati and a ta i d tandard o cond ct t at ar a ica to a “personnel” and at a ti , a r nt it t . nt o ntar a nc co it nt , c a t tat nt o o it nt on i inatin a oitation and and on r onn , a a Secretaryint rna General’sa nc Bulletin o ici , on a SEA (2003). tantia Statement road n d of Commitment t (2006).int rnationa co it nt to i t and a Int r ta i d nc tandin tandard o itt o cond ct I a t at ta i d ar a ica in toin r on a “personnel” to n ra and at a o tion ti , 4 8 ic ca d or tr n t n d coordination o anitarian a i tanc . r o tion t t I a t ri ar c ani or aci itatin int ra nc d ci ion a in in r on to co r nci and nat ra Secretarydi a t r . General’s I Bulletin i or d on SEA t (2003). r r ntati Statement ofo Commitmenta road ran (2006). o and non anitarian artn r . or rt r in or ation on t I , a acc t I it at . anitarianin o.or ia c. 8 Int r nc tandin o itt I a ta i d in in r on to n ra o tion 4 8 i ic or ca d rinci or tr n t n d r o t in d coordination t I o a anitarian orc on a i tanc . rot ction ro r o tion a t and t oitation I a t in , and ado t d t I r a nci or inc ion into t ir in tit tiona od o ond ct. ri ar c ani or aci itatin int ra nc d ci ion a in in r on to co r nci and nat ra di a t r .The Statement I of Commitment i or d (2006) t r r ntati expanded the scope o a roadof the ran Secretary o General’s and non Bulletin anitarian on SEA (2003) artn r . from orU rt rstaff to in or ation “our personnel” on t i.e. I , UN a Volunteers, acc personnel t I or i employeest at . anitarianin o.or ia c of non ntiti or indi id a . o a nt r d 8 into i a coo rati or rinci arran nt r o t in d it t t inc din I a int rn , orc int rnationa on rot ction and ro oca a con tant , andand oitationindi id a and in , and ado t d t I r a nci or inc ion into t ir in tit tiona od o ond ct. The Statement of Commitment (2006) expanded the scope of the Secretary General’s Bulletin on SEA (2003) from U staff to “our personnel” i.e. UN Volunteers, personnel or employees of non ntiti or indi id a o a nt r d into a coo rati arran nt it t inc din int rn , int rnationa and oca con tant , and indi id a and
42 ANNEX 3 1. Introduction r ntionand r on to . r ntionand r on to . o ation rationa ra or , in ort to i ro co cti anitar co cti i ro to in ort ra or , rationa o ation ct d to cco nta i it t inc din rotoco , o a ri and nda ran or ati t anitar co cti i ro to in ort ra or , rationa o ation ct d to cco nta i it t inc din rotoco , o a ri and nda ran or ati t In t I a orc on on orc a I t In con id ntia co aint and in ti ation roc d r at ot t t and indi id a a nc . on orc a I t In con id ntia co aint and in ti ation roc d r at ot t t and indi id a a nc . aint nanc o co nit o aint nanc co nit o aint nanc or ani ation o it nt o tat nt in t o t t t rinci o o co ainant . ot ntia or a o i trai t or ard or ani ation coordination to n r con i t nt a in o it nt o tat nt and in t o t t t at t rinci acc o o to t c ani i road a and co ainant . ot ntia or a o i trai t or ard coordination to n r con i t nt a in and t at acc to t c ani i road a and stakeholder dissatisfaction.” stakeholder and o ic in r ac a o t co aint ro and arn to r ond roc , r c i , co nicat , d ac and co aint c ani ar tr a in d, a ro riat and ro t no d a to it “seektheviews affected of populationsto improve policyand practice dissatisfaction.” stakeholder and o ic in r ac a o t co aint ro and arn to r ond roc , r c i , co nicat , d ac and co aint c ani ar tr a in d, a ro riat and ro t no d a to it “seektheviews affected of populationsto improve policyand practice lacking.” lacking.” 4 4 c in n a to co it nt inc din o ation , ct d to cco nta i it a nc to in d dir ct i co nit . anitarian road r t and c in n a to ar co it nt r ct d inc din in a nt o ation , ct d to co it nt cco nta i it a nc on to ro i it d in d dir ct ta i cond ct, ot a nci a . on and d t o n inc din co nit . anitarian road r t and ar r ct d in a nt co it nt on ro i it d ta cond ct, ot a nci a . on and d t o n inc din r ti a nci ar r nt. rt r or , an cti r ir int r r ir cti an rt r or , r nt. ar a nci ti r r anitarian a in cia occ r , i c ani co aint a ro riat t acc to o in or d to n d ot ta anitarian and a i tanc anitarian t at in or d int r r ir cti an rt r or , r nt. ar a nci ti r r anitarian a in cia occ r , i c ani co aint a ro riat t acc to o in or d to n d ot ta anitarian and a i tanc anitarian t at in or d it t i co cti artic ation o co it nt, a aid or r contin . or r aid a co it nt, o artic ation co cti t i it contin . or r aid a co it nt, o artic ation co cti t i it r . o it nt r r o it nt r . ro o and a r d to incor orat t into t o ici and o rationa id in t ir o or ani ation and rinci a a o ndor d i o it nt r to cco nta i it o it nt r . to ct d o ation c a co nication and d ac r ant ro o using populations affected with communicate “systematically to is objectives key the of one and and a r d to incor orat t into t o ici and o rationa id in t ir o or ani ation and cco nta i it ra or ac no d t at r ntin rinci a i con id r da o ndor d int ra i to o it nt a o ration , to cco nta i it to ct d o ation c a co nication and d ac r ant using populations affected with communicate “systematically to is objectives key the of one and cco nta i it ra or ac no d t at r ntin i con id r d int ra to a o ration , progress, “systematized engagement with affected populations and peer and populations affected with engagement “systematized progress, d it t at not d ction in anitarian rot ction o i t o o ind nd nt progress, “systematized engagement with affected populations and peer and populations affected with engagement “systematized progress, d it t at not d ction in anitarian rot ction o i t o o ind nd nt
“Specific issues raised by affected individuals regarding violations and/or physical abuse that may have human rights and “Specific issues raised by affected individuals regarding violations and/or physical abuse that may have human rights and o nit o nit n ra , cia a r or rot ction ro a oitation and a r ar . ando ic o t cr tariat and a nci , nd , and ro ra o t in 4. ort o t cr tar r onn . cr tar n ra a o n r ort d t at a ation o r r c i d ro t d art n ra , cia a r or rot ction ro a oitation and a r ar . ando ic o t cr tariat and a nci , nd , and ro ra o t in 4. ort o t cr tar r onn . cr tar n ra a o n r ort d t at a ation o r r c i d ro t d art onc rn or d id , Int rnationa , I, I , I , I , Iri d ro , Ita ian d ro , , rc , ro , Ita ian d I ,I ,Iri ro , d I , Int rnationa , I, onc rn or d id , I ,Int rnationa , ar , , trian d ro , arita , , o , t tat nt o o it nt a ndor d t o o in non Int r rc , ro , Ita ian d I ,I ,Iri ro , d I , Int rnationa , I, onc rn or d id , I ,Int rnationa , ar , , trian d ro , arita , , o , t tat nt o o it nt a ndor d t o o in non Int r t di t , and o rt a t d cad a r o doc nt and in or a , c o o ica or ot r i ication o d a t a ntr oint a ro ra t di t , and o rt a t d cad a r o doc nt and in or a , c o o ica or ot r i ication o d a t a ntr oint a ro ra o rn nta or ani ation . o rn nta int r d in d a r onn i ion corr ction o ic r and i itar o r r , and i itar r o nationa contin nt contr r in in cor orat ac in or ani ation . o rn nta int r d in d a r onn i ion corr ction o ic r and i itar o r r , and i itar r o nationa contin nt contr r in in cor orat ac in or ian o nci on a o t Int r nc tandin o itt and t o a rot ction t r a , . a . t r rot ction o a t and o itt tandin nc Int r t o a on o nci or ian , . a . t r rot ction o a t and o itt tandin nc Int r t o a on o nci or ian Independent Whole of S Independent Whole of S nc tandin o itt , nc tandin o itt , t t it o rationa artn r , it in anitarian o ntr a , and a on t c t r c t r a on t and a , o ntr anitarian it in artn r , o rationa it t t c t r a on t and a , o ntr anitarian it in artn r , o rationa it t t
Based Complaints Mechanisms”(2012). Based Complaints Mechanisms”(2012). on tation and ar ar and on tation ar and on tation
arc r not d conc rn t at r ir a cia i d a roac , inc din inc din a roac , a cia i d r ir t at conc rn not d arc r inc din a roac , a cia i d r ir t at conc rn not d arc r
these should be adapted accordingly.” See these should be adapted accordingly.” See 4 4 actor , rt on i ion inc din o ic o ic r , r o nationa or d o ic nit , actor , rt on i ion inc din o ic o ic r , r o nationa or d o ic nit ,
anitarian a i tanc i r and n r condition d on a a or . n iciari o o n iciari a or . a on condition d n r and r i a i tanc anitarian o n iciari a or . a on condition d n r and r i a i tanc anitarian
dir ct r at to t cr ation and aint nanc o co aint c ani co aint o aint nanc and cr ation t to r at dir ct c ani co aint o aint nanc and cr ation t to r at dir ct ic o rationa ic o rationa ystem Review ofProtection inthe Context of Humanitarian Action ystem Review ofProtection inthe Context of Humanitarian Action
a d co aint c ani a a co on nt in t t in co on nt a a c ani co aint a d t in co on nt a a c ani co aint a d
ra or ra or r atin to d ac and o aint o aint and d ac to r atin o aint and d ac to r atin “Protection “Protection
orco aint co to or ard, oca co niti orco aint co to or ard, oca co niti nationa or ani ation and t ir r i odi and r onn o non o r onn and odi r i t ir and or ani ation nationa non o r onn and odi r i t ir and or ani ation nationa a d ac . In c r t I rinci a t ort ort t rinci a I t c r In d ac . a ort t rinci a I t c r In d ac . a id nti i d int r id nti i d int r id nti i d o r, t initia cor tandard t ort t I ort t tandard cor initia t o r, t I ort t tandard cor initia t o r,
aa aa ro a oitation and ro a oitation and . . r ina t rI o . ractic o ndi r ina t rI o . ractic o ndi nisms” throughout all phases the of programme cycle. nisms” throughout all phases the of programme cycle.
tt int ra nc tandin co itt .or acco nta i it tt int ra nc tandin co itt .or acco nta i it
a nc coo ration in t cr ation and and cr ation t in coo ration a nc and cr ation t in coo ration a nc a d t r c rr nc o a d t r c rr nc o Int r Int r
o ndi o ractic o ndi o ractic in ro ra in , n rin t at t at n rin ro ra in , in t at n rin ro ra in , in
acti co it a nci to to a nci co it acti to a nci co it acti t t nc nc o o ntiti , , ntiti , , ndor d nt ndor d nt ndor d t co aint , t roc d r t co aint , t roc d r r acco nta i it i ti ti i acco nta i it r r acco nta i it i ti ti i acco nta i it r
, o i ion d t t o i ion d , t o i ion d , ian r on . ian r on . ian on it ation on it ation
n d to n d to anitarian anitarian anitarian a ct d a ct d in in in a nc a nc a nc
i t i t i t
, , , nt nt nt on on
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 43 Int r nc
“Ensure that complaint mechanisms for reporting sexual Int rexploitation nc and abuse are accessible and that focal points for receiving complaints understand how to discharge their duties.” (Principle #4)
“ Ensure that complaint mechanisms for reporting sexual exploitation and abuse are Regularly inform our personnel and communities on measures taken to prevent and accessible and that focal points for receiving complaints understand how to discharge respond to sexual exploitation and abuse. c in or ation o d d o d and their duties.” (Principle #4) di inat d in co ntr in coo ration it ot r r ant a nci and o d inc d d tai on co aint c ani , t tat and o tco o in ti ation in n ra Regularly inform our personnel and communities on measures taken to prevent and t r , d ac on action ta n a ain t r trator and o o a r ta n a respond to sexual exploitation and abuse. c in or ation o d d o d and a a i tanc a ai a to co ainant and icti . rinci # di inat d in co ntr in coo ration it ot r r ant a nci and o d inc d d tai on co aint c ani , t tat and o tco o in ti ation in n ra t r , d ac on action ta n a ain t r trator and o o a r ta n a rt ra co a orati a i tanc a ai a ro r to co ainant a ad in and icti . it t rinci d o nt # o t ini ratin tandard or . r cr at d oint anitarian a nci
d t I a ion I ir ctor n ra i ia in , and r ndor d ot t rt r nior co a orati oca oint ro r and t a I ad a in orc it on .t d o nt i t Secretaryo t ini General’s ratin Bulletin tandard on and or t tat nt o . o it nt, t r cr at d ar co it nt oint anitarian ad a nci a nci to co at . a o ro id id in and ci ic indicator on o or ani ation can t d t I a ion I ir ctor n ra i ia in , and r ndor d ot t int rna nior tr ct r oca to oint do o. and n t I o t a o r orc i ar on . o t i t Secretary i t General’s co it nt Bulletin to “Engagementon and t with tat nt and support o o it nt,of local community t population”: ar co it nt ad a nci to co at . a o ro id id in and ci ic indicator on o or ani ation can t ANNEX 3 int rna “Effective tr ct r and to comprehensivedo o. n o communicationt o r i ar from o HQ t to the field on i (a)t whatco it nt to do to “Engagement r ardin with rai in and support n iciar of local a ar n community on population”: and o to ta i cti co nit based complaints mechanisms” (MOS i ar #
“Effective and comprehensive communication from HQ to the field on (a) what to do r ardin rai in n iciar a ar n on and o to ta i cti nc artici ation in t cr ation and aint nanc o int r a nc o nit a d o aintco nit c ani based complaintsdir ct corr at mechanisms” to t o cti (MOS o t i i ar i ar, # and i ci ica ndor d in t . In particular, the MOS-PSEA encourage agencies’ headquarters to urge their field offices to participate in CBCMs that are jointly developed and implemented by the nc artici ation in t cr ation and aint nanc o int r a nc o nit 28 a d o aintaid community, c ani and to dir ct provide corr at guidance to t to o cti the field ino t i how i ar, to desi andgn i such ci ica CBCMs. ndor d in rinci a t r co itt d . In particular,to i ntation the MOS-PSEA o t encourage agencies’ in c rheadquarters , to urge it ndor nt o t I tat nt on . I tat nt a o served to clarify PSEA’s their field offices to participate in CBCMs that are jointly developed and implemented by the ac nt it in t anitarian arc it ct r and in tit tiona i I t id r on i i it 28 aid community, and to provide guidance to the field in how to design such CBCMs. or d o in trat i and action an r in orcin r on i i iti or t rinci a r co itt d to i ntation o t in c r , it ndor nt anitarian o oordinator t I tat ntro . on . I tat nt a o served to clarify PSEA’s ac nt it in t anitarian arc it ct r and in tit tiona i I t id r on i i it or or , d o in d ro o onaco, trat i , I, and ration action , an i Int rnationa , r in orcin act Inc., an r on i i iti Int rnationa , I, or ,t anitarianSave the Children oordinator Alliance, Tearfund, ro . TIPH, Trinidad and Tobago Red Cross Society, Winrock International, Women’s o i ion or o n and i dr n, or d i ion Int rnationa . I a orc on a inc r d it t a orc on cco nta i it to ct d o ation to co or , d t ro I a o onaco, a on , cco nta i it I, ration to ct d , i o ation Int rnationa , and act. Inc., an Int rnationa , I, , Save niorthe Children oca Alliance, oint ro id Tearfund, r ar TIPH, dat Trinidad onand t ir Tobago a nci Red s’Cross progress Society, on Winrockimplementing International, the Women’s co it nt o i ion or at t i ann a o n and tin . i dr n, or d i ion Int rnationa . Int r I nc a tandin orc o itt on a , “Minimum inc r d Operating it t Standards: a orc Protection on cco nta i it from Sexual toExploitation ct d o ation and Abuse byto co o n r onn t I a PSEA)” a on (2012) cco nta i it r ina t r to ct d o ation and #5 (“Effective. community a d co aint mechanisms nior oca (CBCM), oint including ro id victim r ar assistance.”). dat on See t ir a o a nci tat nts’ progress o o it nt on implementing #4the “Ensure that co it nt co aint c ani at t i ‐ann a or r ortin tin . a oitation and a ar acc i and t at oca oint or r c i in complaintsInt r nc understand tandin how o itt to discharge, “Minimum their duties.” Operating . Standards: Protection from Sexual Exploitation and Abuse by 8 o n r onn # , PSEA)”Indicator (2012) . r ina t r #5 (“Effective community a d co aint mechanisms I Statement (CBCM), also including reaffirms victim agencies’ assistance.”). collective responsibilitySee a o tat nt to systematize o o it nt PSEA response in #4 all hu“Ensure anitarian that o ration co aint c ani and tr n t n‐ or in ti ationr ortin a and oitation rot ction r on and a to ar acc i a ation . and t at t oca Int r oint nc or r c i in tandin o itt complaints ,understand “Statement how on toProtection discharge from their duties.”Sexual .Exploitation and Abuse,” (11 December 2015) r ina t r I 8 tat nt on # , . Indicator . I I tat nt Statement on also reaffirms agencies’Action Point collective 2 (“[R]einforce responsibility the to r on i i iti systematize PSEA on response or in t all anitarianhu anitarian o ration oordinator and ro , tr n t n in ord r toin ti ation n r t at and rot ction a a c ar r on ac in t to anitarian a ation . arc it ct r t andInt r I nc t tandin id o itt r on i i it , “Statement or d o in on Protection trat i from Sexual and Exploitationaction an and i Abuse,”in tit tiona i d. (11 December o r nt 2015) it r ina t r i tin I tat nt on . I tat nt on Action Point 2 (“[R]einforce the r on i i iti on or t anitarian oordinator ro , in ord r to n r t at a a c ar ac in t anitarian arc it ct r and I t id r on i i it or d o in trat i and action an i in tit tiona i d. o r nt it i tin
44 ANNEX 3 1. Introduction response settings.” response settings.” response a on r road r it co r nc i d a on r road r it co r nc i d ttin . anitarian ttin . anitarian project to “pilot Inter “pilot to project Inter “pilot to project coo coo roc d r , t ar ar t roc d r , on a i or t . ra in on addit ar t roc d r , on a i or t . ra in on addit t i d t i d t i d 4 4 ttin . anitarian co nit a nc a , ic ca d onI a nci to artici at ina ta t a to d o on int r co itt d aid or r . t n anc ttin . anitarian anitarian a nci or ani ation r on in co nit o ration a nc to rot ct n iciari ro and tandard ratin roc d r a n a d o d , ic to aci itat ca d onI oint action a nci to artici at ina ta t a to d o on int r co itt d aid or r . t n anc anitarian a nci or ani ation r on in o ration to rot ct n iciari ro and tandard ratin roc d r a n d o d to aci itat ointaction rinci I t , c r In rinci I t , c r In a o ndor d t a o ndor d t ta i int ta i and a nci r cti t ir it in on tandard ratin ini t o i ntation affected populations and agreed to “request PSEA Senior Focal Points to work towards the int ta i and a nci r cti t ir it in on tandard ratin ini t o i ntation affected populations and agreed to “request PSEA Senior Focal Points to work towards the manner that fulfills these commitments, respects agencies’ interna agencies’ respects commitments, these fulfills that manner a in ta i d i t at n r o a t at roc d r on r nt . interna agencies’ respects commitments, these fulfills that manner a in ta i d i t at n r o a t at roc d r on r nt . icti a i tanc and a ro riat o o a ro riat and a i tanc icti n rin co aint , o r c i t a on ro ct t i ro arn d on o ration . r on ort to d o a or t atica roac to r ntin and r ondin to in ic ta i d int r rat tandard o o a ro riat and a i tanc icti n rin co aint , o r c i t a on ro ct t i ro arn d on o ration . r on ort to d o a or t atica roac to r ntin and r ondin to in ic ta i d int r rat tandard
I o ndi o ractic . I o ndi o ractic . ar r cordo t I rinci a tin , c r, ction oint . I rinci a ar t ad o a I r a nci or t ir r r ntati . ar r cordo t I rinci a tin , c r, ction oint . I rinci a ar t ad o a I r a nci or t ir r r ntati . December 2015 a oint nior ta r it t n c ar rti and a t orit to artici at in t ta t a . o aint c ani to and co aint andint r r ort on in an roc d r anitarian ratin ttin tandard and o a r t d o to I rt a nci a nc o to t a ta a ad I rinci a tin , ina ar cord and ction oint , c r . I I I cco nta i it to ct d o ation ,inc din rot ction ro int r on roc d r ratin tandard o a d o to rt a nc o t a ta a ad meeting”). theHC standingitemat annual a agenda a inc din and I o ration , rinci a anitarian tin , to ina ar r ation in cordon and ction oint , oordinator i r nc t to r ar c r . a to a ro riat i diat acc and I I I cco nta i it to ct d o ation ,inc din rot ction ro r on i i iti a id nt oordinator, t i o d inc d d o in co aint c ani , n rin t at r i or meeting”). theHC standingitemat annual a agenda a inc din and o ration , anitarian to r ation in on oordinator i r nc t to r ar a to a ro riat i diat acc and r on i i iti a id nt oordinator, t i o d inc d d o in co aint c ani , n rin t at r i or Action by:IASC Principals by31 May2016 under IOM’s leadership co aint c ani , int r and in ci ica coo ration on on roc d r o ratin tandard o a t at n rin r ir i . co cti co it nont and a nc acti iti to rot ct a ain t a oitation and a , ot at t in tit tiona and i nt t ini ratin tandard , inc din d o in o rationa too andc ar idanc t or i d co aint c ani , int r and in ci ica coo ration on on roc d r o ratin tandard o a t at n rin r ir i . co cti co it nont and a nc acti iti to rot ct a ain t a oitation and a , ot at t in tit tiona and i nt t ini ratin tandard , inc din d o in o rationa too andc ar idanc t or i d December 2015 a oint nior ta r it t n c ar rti and a t orit to artici at in t ta t a . o aint c ani to and co aint and r ort in an anitarian ttin and r t I a nci to Action by:IASC Principals by31 May2016 under IOM’s leadership rdination i ita or or ita i rdination or ita i rdination 1.2. 1.2.
t r ai o nt a in tit tiona i ation o int r o in tit tiona i ation nt a o ai t r int r o in tit tiona i ation nt a o ai t r n tr ct rin tr ct rin n tr ct rin n Objective and Scope of S of Scope and Objective S of Scope and Objective rna and I and rna I and rna co cti ca acit o t a nci and a ct d o a ct d and a nci t o ca acit co cti o a ct d and a nci t o ca acit co cti 1.2.1. 1.2.1. .” Also see IASC Principals Meeting, Final Summary Record and Action Points, 11 Dec.2015, “2) Fully Fully “2) Dec.2015, 11 Points, Action and Record Summary Final Meeting, Principals IASC see Also .” .” Also see IASC Principals Meeting, Final Summary Record and Action Points, 11 Dec.2015, “2) Fully Fully “2) Dec.2015, 11 Points, Action and Record Summary Final Meeting, Principals IASC see Also .”
Objective Objective
a d co a d co
4 4 Agency CBCMs […] which are specifically tailored to re to tailored specifically are which […] CBCMs Agency re to tailored specifically are which […] CBCMs Agency
in roc d r ar in or d in art t o tco t i o I i ot ro ct, in roc d r ar in or d in art t o tco t i o I i ot ro ct, a nc t io ia in and t ocratic ic on o o in an a nc t io ia in and t ocratic ic on o o in an PSEA Task Team’s Priority Paper,which focused on supporting a 2 PSEA Task Team’s Priority Paper,which focused on supporting a 2
cti cti cti level monitoring mechanisms to ensure accountability”. ensure to mechanisms monitoring level accountability”. ensure to mechanisms monitoring level and aintainin aintainin and aintainin and con tr ct d to a ica to int r con tr ct d to a ica to int r
aint c ani to and co aint and r ort inan aint c ani to and co aint and r ort inan
ort i t r t o a dir cti ro t I rinci a in in rinci a I t ro adir cti o r t t i ort in rinci a I t ro adir cti o r t t i ort i r a o a a r i o a a r i
oc d co aint and d ac c ani and trat i , it it trat i , and c ani d ac and co aint oc d it trat i , and c ani d ac and co aint oc d
on r on r operationalizing the humanitarian community’s commitment commitment community’s humanitarian the operationalizing commitment community’s humanitarian the operationalizing a a ca r rra and o o ca r rra and o o tandard O tandard O , and aci itatin int r aci itatin and , int r aci itatin and ,
t r a i tanc , coordinatin int r coordinatin a i tanc , t r int r coordinatin a i tanc , t r
r it rat d t at i a cor ac t o acco nta i it to to acco nta i it o ac t cor a i t at r it rat d to acco nta i it o ac t cor a i t at r it rat d iona o rc , inc din int rna a nc o ici and and o ici a nc int rna inc din o rc , iona and o ici a nc int rna inc din o rc , iona a . a .
perating perating perating idanc or or idanc or idanc .” .” ri nc a o n a ri nc o n a ri nc
22 May 2015, Action Point 18: “Request IOM to 22 May 2015, Action Point 18: “Request IOM to a nc in a anitarian anitarian a in a nc anitarian a in a nc , ar d o d and ndor d a . , ar d o d and ndor d a . P P roc d r and o i ation , roc d r and o i ation , a nc co aint r rra , a nc co aint r rra , ation ation ation rocedure rocedure Int r Int r a nc t in an an in t a nc an in t a nc
a nc a ation r rra , r ortin a nc a ation r rra , r ortin nc nc
int r int r a and oitation a and oitation to r nt andr ond to to r nt andr ond to
s s ond to and t at ond to and t at a nc o nit a nc o nit a nc coo ration in in coo ration a nc in coo ration a nc
(SOPs) (SOPs)
t at int r t at int r t at Action by: IOM by Action by: IOM by
rinci a rinci a rinci a anitarian anitarian anitarian
a nc a nc a nc a nc a nc a d a d a d ar ar ar to to
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 45 Int r nc and n r t ri t o indi id a ot n iciari and ta , a ancin d roc it a r i or c nt r d a roac . Int r nc
n and n r o t r at t t ri t ad anta o indi id a o an ot int r a nc n iciari and i t at ta it, a ancin aci itat d acc roc or a it ct d a o ation r i or c nt r d to i a roac co aint ,. ca it a iat t n d or r i or to d t r in at a nc t ir r trator or or and t n id nti t a ro riat co aint c ani t ro ic to it n o a ation . t r at t ad anta oint c ani o an a oint r ro a nc id t o tion i t ato ittin it aci itat a co aint acc or to a a ct d od ic o ation do notto i it co aint , o t ca a d it r trator a iat t o t n d i cond ct, or r i or ic to d t r in a a iat at ar a nc o r tri tion.t ir r trator I a co aint or or i and ad t n to id nti an int r t a nc a ro riat , co aint t int rat d c ani r rra t t ro ini i ic to t it c anc a ation . o co aint oint ttin c ani o t or a o roaction id can t o tionta n ando ittin ini i at co aint ot ntia to ard i a od on co ainant . . tra co t , an a arri r , ot ntia ti ati ation, con ion on r ortin ic do not it o t a d r trator o t i cond ct, ic a a iat ar o roc d r r tri tion. andI a c ani .co aint i ad to an int r a nc , t int rat d r rra t ini i t c anc o co aint ttin o t or action can ta n and ini i t ot ntia ard i heon co ainant o ecti e o . .these tra s co t , is to ro ide an a s ste arri r , ide ot ntia c arit ti ati ation, on a genera con ion ode o rocedures on r ortin so roc d r that agencies and c ani . can coo erate in esta ishing and aintaining countr e e s or addressing a egations in a sa e con identia and e icient anner roc o d he o in o ecti e t o these s a t r or is to ro ide n s ste co a orati ide c arit and a on incor orat d a genera ode d ac o rocedures ro a nci , int rnationa or ani ation , o rn nt and non o rn nta or ani ation , co nit so that agencies can coo erate in esta ishing and aintaining countr e e s or a d or ani ation , and r r ntati o a ct d o ation . ar a i in doc nt addressing a egations in a sa e con identia and e icient anner roc o t at a tai or d to t oca cont t o ac , a a dat d at t o a in in d o in t a t r or n co a orati and a incor orat d d ac ro it a nci , int rnationa d o nt . or ani ation , o rn nt and non o rn nta or ani ation , co nit a d or ani ation , and r r ntati o a ct d o ation . ar a i in doc nt t at a tai or d1.2.2. Scope to t oca cont t o ac , a a dat d at t o a in in ANNEX 3 it d o nt . ar roc d r t at r ct a od o coo rati action and indi id al organisations’ ro and r on i i iti 1.2.2. Scope or co a oratin in an int r a nc in t cont t o a anitarian ttin .
ar roc d r t at r ct a od o coo rati action and indi id al organisations’ ci ica , t ar int nd d to co r and ro id c arit on ro and r on i i iti or co a oratin in an int r a nc in t cont t o a anitarian ttin .• ro and r on i i iti o ta o d r • rinci ind co aint ca ana nt in a 8 ci ica ,• tandardi d t t od ar int nd d o r c i in to co r and a in and ro id c arit co aint on in a and •• roc d r ro and or r on i i iti r ondin to o a ation , ta o d r inc din r rra or icti a i tanc • ro i ion rinci and in ind ti ation. co aint ca ana nt in a • tandardi d t od o r c i in and a in 8 co aint in a and
• roc d r or r ondin to a ation , inc din r rra or icti a i tanc
ro i ion and in ti ation.
nt o a r i or c nt r d a roac ar a t , con id ntia it , r ct, and non di cri ination. I id in art ac ro nd .4 . or a , at t ti t ar in dra t d, t i n a in in on t r r or t at i int r ct it t roc d r . nci , t ro t I a a , o d nd a o r to dat t doc nt a d on t at t ac no d d nt t o ractic . a r i or c nt r d a roac ar a t , con id ntia it , r ct, and non di cri ination. I 8 “Assessing id in complaints” art refers ac ro nd to determining .4 . the gen ra nat r o a co aint i. . or non , in ord r to d t r in or a , t ata ro riat t ti t a nc nit ar to r r in t dra t d, co aint t or i o o n a in . in in on t r co aint r or t at do i not int r ct inc d it an action t roc d r . or in ti ation nci , to tantiat t ro t a c ai , I o r, a a , it do o d inc d nd a o r a sessing to dat the victim’s t doc nt immediate a d health, on t security, at t andac no d d c o ocia t n d . ractic . 4. . roc in o aint . 8 “Assessing complaints” refers to determining the gen ra nat r o a co aint i. . or non , in ord r to d t r in t a ro riat a nc nit to r r t co aint or o o . in co aint do not inc d an action or in ti ation to tantiat a c ai , o r, it do inc d a sessing the victim’s immediate health, security, and c o ocia n d . 4. . roc in o aint .
46 ANNEX 3 1. Introduction odi i d odi i d i d t a i n d to d o co ntr d o to n d i t a i d ord r in cont t oca t to tai or d t c ani co aint a o a ct c rtain a ar i o r, , i d t at tr ct r d i a o roc d r . co ntr d o to n d i t a i d ord r in cont t oca t to tai or d t c ani co aint a o a ct c rtain a ar i o r, , i d t at tr ct r d i a o roc d r . in a a in coo rat can a nci o c ari to ai actor . r ant a int r ntion r on orc , n t or ta a or t a in coo rat can a nci o c ari to ai actor . r ant a int r ntion r on orc , n t or ta a or t d a nci and r onn o ratin inan n iron nt it o t a . or icti r c i i or t od t o r, c ani . co aint road . or a i d a roc d r t t at r ct to t r t in tr nt , a int rnationa in o i ation a a ica in tran ition and d o nt cont t , and ta in into acco nt t road co o t r anitarian artn r coordination, on o ic , and d ci ion ttin , t roc d r ar d o d on a t o I , ic i t or or o it nt o tat nt int r n a in to t r it rat r tr ct r , a ro riat t d o in on oc to t a o in i ion i d o or t aci itat i int r n a in to t r it rat r tr ct r , a ro riat t d o in on oc to t a o in i ion i d o or t aci itat i ta and in ti ation inc din o ici , int rna o n t ir i nt to co it nt a nc int r id ta and in ti ation inc din o ici , int rna o n t ir i nt to co it nt a nc int r id action t ta i d action t ta i d
i d i d 4 4 int r in n a in ar a nci n o ici int rna nt and ro ari t at roc d r ar t o icies nterna int r in n a in ar a nci n o ici int rna nt and ro ari t at roc d r ar t o icies nterna d a nci and r onn o ratin inan n iron nt it o t a . or icti r c i i or t od t o r, c ani . co aint road . or a i d a roc d r t t at r ct to t r t in tr nt , a int rnationa in o i ation a a ica in tran ition and d o nt cont t , and ta in into acco nt t road co o t r anitarian artn r coordination, on o ic , and d ci ion ttin , t roc d r ar d o d on a t o I , ic i t or or o it nt o tat nt s r on . and r ntion s r on . and r ntion
andwork a planimplement to the policyis in place”); “Effective PolicyDevelopment andImplementation: Apolicy stating standards of conduct, including acts of SEA,exists nc co it nt to cr at and i nt int rna o ici inc d andwork a planimplement to the policyis in place”); “Effective PolicyDevelopment andImplementation: Apolicy stating standards of conduct, including acts of SEA,exists nc co it nt to cr at and i nt int rna o ici inc d o ntr o ntr Codeof Conduct obligations”). t at n r to a nci , anitarian a trainin performance”); our monitor to others and organizations our enable to progress of indicators Codeof ci ic Conduct obligations”). trat i to r t at n r to a nci , anitarian a trainin performance”); our monitor to others and organizations our enable to progress of indicators ci ic trat i to r trainin . trainin . CBCM CBCM Humanitarian Setting Humanitarian Humanitarian Setting Humanitarian a d a nci a d a nci a d a nc coo ration in and and in coo ration a nc and in coo ration a nc or , d i n d or in t anitarian cont t. o r, notin t at an o t roc d r roc d r t o an t at notin o r, cont t. anitarian t in or d i n d or , or , d i n d or in t anitarian cont t. o r, notin t at an o t roc d r roc d r t o an t at notin o r, cont t. anitarian t in or d i n d or , oint co aint oint co aint oint
Action Point 1(“Fullyimplement the M Action Point 1(“Fullyimplement the M ci ic ci ic ci ic ro id coo ration oda iti ci ica or int r or ci ica oda iti coo ration ro id ro id coo ration oda iti ci ica or int r or ci ica oda iti coo ration ro id
a i tanc , and r rrin a ation to a ro riat in ti ati nit or o o or nit in ti ati a ro riat to a ation r rrin and a i tanc , a i tanc , and r rrin a ation to a ro riat in ti ati nit or o o or nit in ti ati a ro riat to a ation r rrin and a i tanc , a nc coordination and tandardi roc d r , t t co nt d a nc coordination and tandardi roc d r , t t co nt d 1.2.3. 1.2.3. 4 4
o d r at ac o t anitarian in ra tr ct r or cc cc or in ra tr ct r anitarian t o ac r at o d cc or in ra tr ct r anitarian t o ac r at o d
to r ct t t r ct to t r ct to ar no in a int nd d to c an or o rrid int rna o ici . at r, ar no in a int nd d to c an or o rrid int rna o ici . at r, i n d to addr in ac it . ari in coo ration oda iti at t o a t o a at oda iti coo ration ari in it . in ac addr to n d i t o a at oda iti coo ration ari in it . in ac addr to n d i
Additional Relevant Policies Additional Relevant Policies nt and r ond to a oitation and a . o d inc d ti inc d o d a . and oitation a to r ond and nt ti inc d o d a . and oitation a to r ond and nt o d a r d on t a t ori d r r ntati o a t artici atin a nci . artici atin t a o r r ntati a t ori d t on a r d o d a nci . artici atin t a o r r ntati a t ori d t on a r d o d
c ani t at i co iant in co iant in i t at c ani co iant in i t at c ani
i t cr tar t i i t cr tar t i
t an a in t an a in ar not int nd d to tand a ar not int nd d to tand a a nc acti iti . acti iti . a nc acti iti . a nc an an tai or d tai or d tai or d
int r int r
do not c ar r trict ta i cond ct on to anitarian anitarian to on i cond ct ta r trict c ar not do do not c ar r trict ta i cond ct on to anitarian anitarian to on i cond ct ta r trict c ar not do Special Notes on Scope Special Notes on Scope a roac . i doc nt i i i t t ci ic i t at t at i ci ic t i i t i doc nt i a roac . t at i ci ic t i i t i doc nt i a roac . a a
to d t r in t r and o t ir in tit tiona o ici i i o ici in tit tiona t ir o and t r d t r in to i o ici in tit tiona t ir o and t r d t r in to inimumOperating Standards, including […] inimumOperating Standards, including […]
co aint and in . i t o a i r to to r i o a t i and in . co aint to r i o a t i and in . co aint to n r i ntation o t ini r ntion and and r ntion t ini o i ntation n r to and r ntion t ini o i ntation n r to nc t a in ac ac in t a nc ac in t a nc ci ic r o r nc , and ot ntia , i t i t ot ntia , and r nc , o r ci ic i t ot ntia , and r nc , o r ci ic their fieldtheir understand offices their agencies’ PSEAcommitments and fieldtheir understand offices their agencies’ PSEAcommitments and
tat nt tat nt and and General’s Bulletin General’s General’s Bulletin General’s
Procedures Procedures in it t ir in tit tiona o ici and and o ici in tit tiona t ir it in and o ici in tit tiona t ir it in o o it nt o o it nt m “aid worker”isused throughout the text m “aid worker”isused throughout the text
anitarian anitarian anitarian n and a in co aint , r rrin n and a in co aint , r rrin a on r o rc . a on r o rc .
a in . co t o i , a in . co t o i ,
to a and cti . r or , r or , cti . and a to r or , cti . and a to Int r Int r
nc nc
r on it ation r on it ation r on on on on on a nc co nit a nc a nc co nit a nc cti andcontin o ta cti andcontin o ta
coordinat d an o coordinat d an o
#9 (“Develop organization #9 (“Develop organization I tat nt on I tat nt on
o nd, a ra o nd, a ra o nd, # , Indicator # , Indicator can can , c a , c a
and t t and and t t and a d a d a d a d
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 47 Int r nc
2. ROLES & RESPONSIBILITIES OF CBCM STAKEHOLDERSInt r nc
ta o d r ar a nci ic a co itt d to artici at in oint co aint 2. c ani . ROLES & RESPONSIBILITIES o d inc d or ani ation OF ic CBCM ro id STAKEHOLDERS anitarian a i tanc in t i ntation it a nci , int rnationa and nationa , int rnationa or ani ation , a a co nit ta o d r a d ar or ani ation a nci ic and r ant a co itt d o t o rn to nt artici at a nci . in oint co aint c ani . o d inc d or ani ation ic ro id anitarian a i tanc in t The “Six Core Principles Relating to SEA,” ado t d t Secretary General’s Bulletin on SEA i ntation4 it a nci , int rnationa and nationa , int rnationa or ani ation , a a co nit and t tat nt a d or ani ation o o it nt and r ant , o tand incorporated o rn nt a nci .into organizations’ institutional cod o cond ct, r ir a anitarian a nci to cr at and aintain an n iron nt t at The r nt “Six Core and Principles to ro ot Relating t i ntation to SEA,” ado t do t ir r cti t Secretary in tit tiona General’s od Bulletin o ond ct.on SEA ana r 4 at a a a artic ar r on i i it to ort and d o tr ct r t at aintain and t 4 tat nt o o it nt , and incorporated into organizations’ institutional cod t i n iron nt. o cond ct, Inr ir addition, a anitarianin c r a nci t I to cr at rinci and aintain r a ir d an t n iron nt r ir nt t at o “effective r nt and andcontinuous to ro ot staff t training i ntation a anitarian o t ir r cti a nci , in tit tiona to n r t at od t ir i do ond ct. o ic understand their agencies’ co it nt and od o ond ct o i ation , and ic o t r ana r at a a a artic ar r on i i it to ort and d o 4 tr ct r t at aintain t i ca acit n iron nt. i din 4 and In a iora addition, in c an c r to addr t rootI ca rinci o . r a ir d t r ir nt o “effective and continuous staff training a anitarian a nci , to n r t at t ir i d o ic understand I tat nttheir agencies’ on co it nt a o r a ir d and od t ro o ond ct o t anitarian o i ation , and oordinator ic o t r and anitarianca acit i din o ntr and a iora a toc an i nt to addr t rootco it nt ca o . in a 4 anitarian r on o ration . It a o r in orc d t r on i i iti o t anitarian oordinator , co r nt it 44 i tin I r on i i iti tat nt on a id nt oordinator, a o r a ir d on t ro inc din o t anitarian t ta i nt oordinator o co aint and c ani , n rin t at r i or a acc to a ro riat i diat and on r t r a i tanc ,
anitarian o ntr a to i nt co it nt in a anitarian r on ANNEX 3 o ration .and coordinatin It a o int r r in orc d a nc a ation t r on i i iti r rra . o c ,t anitarian it i critica t at oordinator , ort to ta i co r nt a oint it i tin o dr on i i iti carri d a o t id nt in c o oordinator, coordination44 it on t actin inc din . t ta i nt o co aint c ani , n rin t at r i or a acc to a ro riat i diat and on r t r a i tanc , and i coordinatin r int r int ra nc a nc a ation i ar r rra . in or ani ationa c , it tr ct r , i critica a d t at ort on con tation to ta i it a oint t co nit o d and a ai a carri d o tr o rc , in c o t r coordination ar o it t ro actin and .r on i i iti or ici nt nctionin . i r ir artici atin a nci to d i nat r r ntati ro i ana nt i r int r i. . ada nc o o ic or i ar o ic in or ani ationa to artici at in tr ct r , a a d t rin on con tation o itt and it oca t co nit oint to acti and a ai a n a inr o rc , ot r t r acti iti . ar o ro and r on i i iti or ici nt nctionin . i r ir artici atin a nci to d i nat r r ntati ro i ana nt and i. . ad o dra t d o ic or or an o ic to it artici at o d in ro id a ci ic t rin idanc o itt to a and oca oint r to a nc acti r r ntati n a in ot r and co nit acti iti . r artici atin in acti iti , c a rai in a ar n . ar int r a nc tin ti o d d tai d in t ot a on ana in and odi dra t d and or t n an odi it to r ort o d on ro id ro r , ci ic id nti idanc a into t a ro ra in , r a nc and r r ntati ind o tion . and co nit oca tar t d r in tr ction artici atin o d in a d acti iti , on con tation c a it rai in co niti , a ar n . ar nd r int r n iti , a nc and tin ta into ti acco nt o d t a t d tai d and in c rit t i ot artic ar a on to t r ant ana in oca it odi . and t n odi to r ort on ro r , id nti a in t ro ra in , and ind o tion . oca tar t d in tr ction o d a d on con tation it teering co niti , o ittee nd r i od n iti , i co ri d and ta o into t acco nt i t ana nt a t and c rit i. . ad i o artic aro ic or to t o ic r ant o artici atin oca it . a nci at t co ntr or o ic to id and ort t d i n, i ntation and onitorin o t acti iti . t rin o itt r aci itat t id nti ication teering o ittee or no ination i od o oca i co ri d oint ro o t t ir i r cti ana nt a nci , acti i. . ad artici at o o ic orin coordination o ic o tin , artici atin ta a nci at r at dt co ntr d ci ion or ono ic a too id t ir anda nci , ort t i nt d i n, acco nta i it i ntation and and a it onitorin tandard , o t and or acti iti . co cti t rin to d o o itt r ntion r trat i aci itat andt o i i id nti ication r o rc or no ination to ort o t oca . oint ro t ir r cti a nci , acti artici at in coordination tin , ta r at d d ci ion on a o t ir a nci , i nt 4 acco nta i it a d on t I and a it i or rinci tandard , atin and to or a co cti oitation andto ,d o aid o t r ntion in Introd ction. trat i and 4 o i i See Secretary r o rc General’s to ortBulletin on t SEA . (2003) and tat nt o o it nt . 4 I tat nt on . 44 i r on i or n rin t at a n t or o oca oint or i ntin Secretary General’s Bulletin on SEA 4 a d oni o rationa , t I i and or or ortin rinci atin t d o nt to a and oitation i ntation and , o a co ntr aid o t in Introd ction.action an to addr 4 See . Secretary General’s id nt Bulletin oordinator, on SEA (2003) in con tation and tat nt it o o it nt a nci , . inc din ad o i ion cia 4 I r r ntati tat nt o on t . i ac in o ration or cia o itica i ion , i n d to d i nat a ad 44 r on ntit i i r on i to or ta i n rin and t at coordinat a n t or t o . oca oint or i ntin id nt oordinator Secretary n ric General’s o Bulletin cri tion on SEA an ar i . o rationa , and or ortin t d o nt and i ntation o a co ntr action an to addr . id nt oordinator, in con tation it a nci , inc din ad o i ion cia r r ntati o t i ac in o ration or cia o itica i ion , i n d to d i nat a ad r on ntit i to ta i and coordinat t . id nt oordinator n ric o cri tion an ar .
48 ANNEX 3 2. Roles&ResponsibilitiesofCBCMStakeholders
48 4 48 4 4 4 4 4 r on i i it t a r o itt t rin r on i i it t a r o itt t rin
idanc at d to a to at d idanc t Staffand volunteers should sign their respective agencies’ Codeof Conduct,or Comm a a to at d idanc t Staffand volunteers should sign their respective agencies’ Codeof Conduct,or Comm a a ation r rra . or non to co aint r rrin on or or r rr d. and roc d tat nt in a ar ro id d a r nt . a ontract a ation r rra . or non to co aint r rrin on or or r rr d. and roc d tat nt in a ar ro id d a r nt . a ontract t ri ntin r not or r c i d artn r co co aint o t t , a t t ri ntin r not or r c i d artn r co co aint o t t , a t d ti and r on i i iti orI can ad icit and indin inc din a a in artn r i d ti and r on i i iti orI can ad icit and indin inc din a a in artn r i d d c c a a t . t a o on od o ond ct in nn . t . t a o on od o ond ct in nn .
t ar c ar t o nt t ro I artn r i ntin o ca acit and a ar n t rai o c ar t o nt t ro I artn r i ntin o ca acit and a ar n t rai o o t in d in t I t ractic id , inc din t not i it d to i it d not t inc din id , ractic t I in t o t in d o ro ot a nc ad r nc to r ntion roc d r a to i it d not t inc din id , ractic t I in t o t in d o ro ot a nc ad r nc to r ntion roc d r a o ic and co ntr o ic and a nc ad art r to c t t ir nction t ir c t to ad art r a nc and o ic co ntr and o ic nction t ir c t to ad art r a nc and o ic co ntr and o ic o ort oc a co in it o ici , and roc d r o ort oc a co in it o ici , and roc d r to o d in artic ar nd r tand and i n a od ond ct o or i i ar r on and o r ntion in in o d ta ta . or ana nt co aint and roc d r , and a i tanc icti c ani , r ortin int rna ond ct, o od his/her agency’s internal SEA complaints handling procedures,to including o d in the artic ar institutional nd r tand to ad r and and i n a ac no d , od ond ct o nd r tand, r ad, or i i ar r on a nc and o i r it in ta r ntion a in t at n r o in o d ta ta . or ana nt co aint and roc d r , and a i tanc icti c ani , r ortin int rna ond ct, o od his/her agency’s internal SEA complaints handling procedures, including the institutional to ad r and ac no d , nd r tand, r ad, a nc i r it in ta a t at n r o r r r trainin or or trainin r r r and r onn n or trainin ind ction t ro ta a on a ar n rai o or trainin r r r and r onn n or trainin ind ction t ro ta a on a ar n rai o to i to i to Int r Int r on , i on , i nt rnationa tandard on . on tandard nt rnationa . on tandard nt rnationa a. a. d. c. d. c. . . c. c. a. a. a. a. . . . . c. c. nc tandin o itt nc tandin o itt
n r t at I a a c ar nd r tandin o at an and at t ir d ti d ti t ir at and an at o nd r tandin c ar a a I t at n r d ti t ir at and an at o nd r tandin c ar a a I t at n r Inc d I in trainin , a c a o i , to n r ad r nc and Inc d I in trainin , a c a o i , to n r ad r nc and nco ra I to to I nco ra to I nco ra irin ad r nc to c a in coo rati a r nt . coo rati in c a to ad r nc irin a r nt . coo rati in c a to ad r nc irin or ta in r ta iation or or r ta iation or ta in a i tanc icti t at n rin or r ta iation or ta in a i tanc icti t at n rin Incor orat r on i i iti into t ir r or anc r or anc t ir into r on i i iti Incor orat r or anc t ir into r on i i iti Incor orat and r on i i iti ar in r ntin and r ortin ca and r on i i iti ar in r ntin and r ortin ca r r nt to di i nc r r nt to di i nc , and a ott d t ta ti to r ar artici at in t tin in t artici at r ar to ti ta t a ott d and , tin in t artici at r ar to ti ta t a ott d and , n r t at t d i nat d t t at n r in n a d ar id ro ra atic and r o rc an ot t at n r d i nat d t t at n r in n a d ar id ro ra atic and r o rc an ot t at n r o ici o ici co it nt to . to co it nt . to co it nt
t d, inc din t not i it d to i it d not t inc din t d, to i it d not t inc din t d,
48 48 Exploitation and Abuse” (2004) Abuse” and Exploitation (2004) Abuse” and Exploitation
and and c ca or tron r n orc nt o c c a . o c n orc nt tron r or c ca c a . o c n orc nt tron r or c ca
c rr nt c rr nt
oint oint n a it t and cr at tr n t n t ir o n o n t ir cr at tr n t n and t it n a o n t ir cr at tr n t n and t it n a a orc on orc , “ a on orc , “ a
and n r t a dir ct acc to t ad o o ic o ic o ad t to acc dir ct a t n r and o ic o ad t to acc dir ct a t n r and ta on , t od ond ct, o t i ortanc o ta on , t od ond ct, o t i ortanc o
i t o in on a ation and a ation on i t o in and a ation on i t o in oca oca oca 4 4 r cr it nt o o nd r o r cr it nt o nd r o r cr it nt
r ic ar ro id d ar r ic ro id d ar r ic oint oint . .
t t
to r ort incid nt . r ort to incid nt . r ort to
ar acti n a d in t int r t in n a d acti ar int r t in n a d acti ar I t ractic id I t ractic id I t artici atin ntiti , 4. . roc in artici atin ntiti , 4. . roc in od o aint andIn ti ation roc d r and od o aint andIn ti ation roc d r and
Int r Int r
4 4
a ation a ation a ation nc nc on od o ond c on od o ond c not d in 4. . o and not d in 4. . o and
ort o ic and ort o ic and
r ort . r ort . . a o t I I t a o . I t a o .
4 4 a nc a nc a nc
t at ad r ad r t at ad r t at t i d o d d o d i t d o d i t
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 49 Int r nc
CBCM Focal Points ar a nt a oint d ro it in r a nci o ro it i to co ct and r cord co aint . ar r on i or r c i in Int r co ainant nc in r on to ta tat nt in a tandard Incid nt ort or . ro id ort in co nit con tation , CBCMa ar n Focal ca ai n , Points trainin , ar anda nt onitorin a oint d o ro co aint . it in r r a nc a nci oca oint o toro t it ,i to co ct ic and ar r cord t c nica co aint . , t ar train d, r on i co itt d, or r c i in r ar co ainant artici at in r on tin , to ta and r ct tat nt t in con id ntia it a tandard o Incid nt a ation . ort or . i n t ir ro id ro a ort iai on t n in co nit t con tation , and t ir a nc a ar n , ca ai n , or trainin , oca oint and onitorin t ro id o co aint .t at a nc oca r oint a nc nior oca no oint it into t t ir , or ani ation ic ar tot c nica a d ci ion , t a in train d, a t orit co itt d, at int r a nc r ar tin . artici at Id a , in tin , at a t andon r ct a and t on con id ntia it a oca o oint a a ation . ct d i n r t ir r ro a a nc . iai on t n t and and oca t ir a nc oint , o d or a d tai d oca oint rotoco , t ro id roc d r , t at a nc and o ici oca oint t at d in at nior o no t it in oca t ir oint or ani ation i r ort t n to a t d ci ion a in and t ir a t orit a nc . at int r a nc tin . Id a , at a t on a and on a oca oint a ct d r r a nc . and oca In oint addition, t o d a d tai d rotoco , r ir a nci roc d r , to a and o ici a d dicat d t at in tit tiona d in at o oca t oint oca on oint r ntion i r ort and t n r on t at t ad art r and t ir a nc . . i tandard a a ri o indicator or a nci , inc din In addition,• dicatin t a oca oint r ir to a a nci t o ra to a r on i i it a d dicat d in tit tiona or t d o nt oca oint and on i ntation o o ic and acti iti , a a r ar r ortin to nior r ntion and r on at t ad art r 4 . i tandard a a ri o indicator or a nci ana nt, inc din on ro r • or a i in r on i i iti o ta d a in it into t ir o d cri tion , • dicatin a oca oint to a t o ra r on i i it or t d o nt and r or anc i ntation a rai a , o or i i ar o ic and acti iti , a a r ar r ortin to nior • n rin a ro riat trainin or4 ta and a ro riat ti co itt d to o t at t ana nt on ro r • or a i in ar a to r or t irr on i i iti ro and r on i i iti o ta d a in ro r . it into t ir o d cri tion , r or anc a rai a , or i i ar ANNEX 3 It i i ortant t at a ta o d r no and nd r tand t rinci t at nd r in a • n rin a ro riat trainin or ta and a ro riat ti co itt d to o t at t co aint ar c ani a to r or , in addition t ir ro to nd r tandin and r on i i iti o it ro r . or ractica .
ItPSEA/CBCM i i ortant Coordinatort at a r ta o d r n d no on and r on nd r tand d dicat d t rinci to initiat t atin , o r nd r inin a, co aint and coordinat c ani in , in addition acti iti to nd r tandin on it o . i n it or t at ractica r on i i iti ,. inc din d o in co aint c ani , a r c nt n r in orc d or t anitarian oordinator PSEA/CBCMro , t Coordinator o d r n a d on n d t a oint nton r on o ad dicat d to initiat oordinatorin , o r . in , ci icand coordinat r on i i iti in o t acti iti on oordinator it . i n o d t at inc d n a in r on i i iti , t anitarian inc din o ntr d o in a co aint in t an c ani , to tart c a a c ani ,r c nt n in r in orc dord r to ad ocat or t or anitarian i co it nt oordinator andro , road t n a nt o d at t co ntr n a d . on t oordinator a oint nt o d o a a o noti t I oordinator a a . on ci ic r on i i iti to n r o t at t o a or oordinator aintain o d a c rr nt inc d nd r tandin n a in t o co ntr anitarian a d activities and that operational agencies’ headquarters are informed and can make sure that their Heads o ntr a in t an to tart c a c ani , in ord r to ad ocat or i co it nt o and ic road at n a nt co ntr at t nd r tand co ntr .t n d to oordinator acti artici at o d a o. noti oordinator t I i a a a a on o i tic i o to n r i t at o a in a ocation, or iai aintain t n a a nci c rr nt nd r tandin and it o t o o rn nt , co ntr a d activitiescond ct r arand that int roperational a nc agencies’ tin , headquarters and n ra are informed and can o nt make sure o in that their or ard. Heads o a in ic on at co ntr c r on it nd r tand t i r on i i it t n d to i acti a o t artici at ita to. t contin d oordinator ici nc i a and a o i tic taina i it i o a . i in a ocation, ta o d r iai t n i d cid a nci t and it and a i ication o t o rn nt , or t cond ct oordinator, r ar t t int r o ition a nc tin ,o d d and n ra a ici nt nior ta o nt r o o in i or ard. train d a in in , on data c rot ction, r on icti it t i a i tanc , r on i i it and con id ntia it i a o t a r . ita to t contin d ici nc and taina i it o a . ta o d r i d cid t and a i ication or t oordinator, t t o ition o d d a ici nt nior ta r o i train d in , data rot ction, icti a i tanc , and con id ntia it a r .
4 # , Indicator and . # , Indicator . # , Indicator 4. i inc d ta in ad at t to n r t at ot t co nit oca oint and a nc oca oint ar train d cia on t con id ntia nat r o r c i d in or ation and r i or 4 c nt r d , nd r a anc d # , Indicator a roac and a . a train d to nd r tand t nat r o int rna a nc ad ini trati in ti ation o a to# , ro r Indicator c t . t ir co aint inta nction. co on trainin ac a acro t a di c d in t I # , Indicator t 4. ractic i inc d id ta in can a i t ad at it ar oni in t to n r a nc t at trainin ot t a roac . co nit oca oint andI a nc tat nt oca on oint ar . train d cia on t con id ntia nat r o r c i d in or ation and r i or c nt r d I , nd r a a a anc d on a roac i a co ri d a train d o r r ntati to nd r tand ro t anitarinat r o anint rna a nci a nc at t ad ini trati ad art r .in ti ation o tt int ra nc tandin co itt .or acco nta i it a to ro r c t t ir co aint inta nction. a ct d co on o trainin ation ac a inc din acro rot ction t a a di c d oitation in t and I a . t ractic id can a i t it ar oni in a nc trainin a roac . I tat nt on . I a a on i co ri d o r r ntati ro anitarian a nci at t ad art r . tt int ra nc tandin co itt .or acco nta i it a ct d o ation inc din rot ction a oitation and a .
50 ANNEX 3 3. GuidingPrinciples c ani t con id r ot ntia dan r and c ani t con id r ot ntia dan r and co aint. ina , i itin r i to on r on r d c t ri o a in o ri t r d c r on on to r i i itin ina , co aint. a i a nci to o o d a tandard o t a in a at d to co aint na It a o c ani . co aint t o o cti it and n tra it a in o ri t r d c r on on to r i i itin ina , co aint. a i a nci to o o d a tandard o t a in a at d to co aint na It a o c ani . co aint t o o cti it and n tra it co ainant i di r nt, t t di r nt, i co ainant t di r nt, i co ainant roc d r roc d r 4 t nt in r ntin and r ondin to t t to ot r ac a i t and coo rat to a r t oint in ic artici at actor 3. t nt in r ntin and r ondin to t t to ot r ac a i t and coo rat to a r t oint in ic artici at actor 3. a i tanc icti and a nc conc rn d t to r rra or t t ro r c i d co aint o oordinator ro o d a n tra o ition actin on a o t r ard o i r a i tanc icti and a nc conc rn d t to r rra or t t ro r c i d co aint o oordinator ro o d a n tra o ition actin on a o t r ard o i r 4 t t a t ti nco ra t a t ti nco ra a in co aint r i d an ind nd nt indi id a r in orc t a t r in orc indi id a ind nd nt an r i d co aint a in a t r in orc indi id a ind nd nt an r i d co aint a in r ortin , in ti ation r ortin , e a et to a rinci o o in t In addition, in ti ation r ortin , e a et to a rinci o o in t In addition, . on a r d ait t ar not t at co aint o a o ition, or t . on a r d ait t ar not t at co aint o a o ition, or t at and n c ar n rot ction ica coordinatin inc d i ar . additiona r nt to a at and n c ar n rot ction ica coordinatin inc d i ar . additiona r nt to a
I tat nt on . I tat nt on t co ction o t co aint . . o nin r i nction. n ot r ntiti . . t o t o rn nt in i t on in in o d, t i i ntai artici ationIn in t int r t con id ntia it , o on ori diat a i tanc . . I tat nt on i t canco ctioninc d cond ctin o t co aint t icti . . r ic o nin n d a nt i o tr ct r d ta o d r . 4. . a rra r i nction. n ot r ntiti . . t o t o rn nt in i t on in in o d, t i i ntai artici ationIn in t int r t con id ntia it , o on ori diat a i tanc . i caninc d cond ctin t icti r ic n d a nti o tr ct r d ta o d r . 4. . a rra
t in or d con nt t o r i or, and r t in or d con nt t o r i or, and r o r on a in co aint or r rra , or co aint a in r on o r rra , or co aint a in r on o GUIDING PRINCIPLES GUIDING PRINCIPLES
in a nc . In t i ca acit , on o t nction o t oordinator i to r i t t r i to i oordinator t o nction t o on ca acit , t i In a nc . in t r i to i oordinator t o nction t o on ca acit , t i In a nc . in riorit in a att r and roc d r and att r a in riorit roc d r and att r a in riorit a r i or a n r con id r d ad at ar o and ir n, o n, o r cti and i t t at and ann r n iti r i or a a nd r in cond ct d ar acti iti anitarian t at n r i a nci artici atin n r a oitation a t at co ni in con id r d ad at ar o and ir n, o n, onitorin , o r cti and and a atin i t t at ro ra and t ro ann r t n iti t atic artici ator o t od .i ntin , annin , a in , in n iciari artici ation acti a nd r in and cond ct d a ar n r acti iti anitarian t at n r i a nci artici atin a ar d a i i and d ication a oid a oitation a t at co ni in to n c ar a in or ation a nt and ana i it ation arin inc d i . onitorin , and a atin ro ra t ro t t atic to r ondin artici ator o and r ntin in t od .i ntin , or ani ation annin , t n a in , a i tanc in and coo ration n iciari ro ot artici ation acti and a n r a ar d a i i and d ication a oid to n c ar a in or ation a nt and ana i it ation arin inc d i . to r ondin and r ntin in or ani ation t n a i tanc and coo ration ro ot Int rat and ain tr a int ain tr a and Int rat int ain tr a and Int rat n r t at t at a i tanc or icti i ro id d in anon in ro id d i icti or a i tanc t at t at n r and a at acco nta i it n r anon in ro id d i icti or a i tanc t at t at n r and a at acco nta i it n r
r an nt o ition, and not a nction in addition to ot r o d ti . t t d ti . o ot r to in addition a nction not and o ition, r an nt t d ti . o ot r to in addition a nction not and o ition, r an nt a a to ad r to t o o in rinci o o in t to ad r to a a rinci o o in t to ad r to a a t at a r on ar d o d in a ann r t at a anc r ct or d roc it it roc d or r ct a anc t at a ann r in d o d ar r on a t at it roc d or r ct a anc t at a ann r in d o d ar r on a t at eing eing c nt r d c nt r d
co aint roc in co aint roc in CBCM member agencies and described in CBCM SOPs and the Coordinator’s Coordinator’s the and SOPs CBCM in described and agencies member CBCM Coordinator’s the and SOPs CBCM in described and agencies member CBCM
t conc rn d a nc conc rn d t a nc conc rn d t
approach in which the survivor’s wishes, safety, and well and safety, wishes, survivor’s the which in approach well and safety, wishes, survivor’s the which in approach ct o t co aint t o ct co aint t o ct a t o t r i or a n r d at a ti ti a at n r d a r i or t o a t ti a at n r d a r i or t o a t
on r on o d ri to t n iti d tai o an co aint nd r t on r on o d ri to t n iti d tai o an co aint nd r t
. i n t i i n . t i i n . tion o tion o o a ro ra and a ctor , a o i o a ro ra and a ctor , a o i a cti Int r cti a Int r cti a
nd a i o t n ro nd d in nd r in a it , in a it , nd r in ro nd d o t n i a nd in a it , nd r in ro nd d o t n i a nd ti addr in ot ntia r ta iation a ain t a ain t r ta iation ot ntia addr in ti a ain t r ta iation ot ntia addr in ti nd r tandin o t it ation o nd r tandin t it ation o nd r tandin
i ti r ctin r d nt ri r d nt r ctin ti i ri r d nt r ctin ti i , , a ard a ard a ard ri to a arti arti a to ri arti a to ri
, and and , and , and and
– – r i and r i and
it do not inc d arin co aint d tai . it do not inc d arin co aint d tai .
t or ani ation in o d , t or ani ation in o d , n indi id a crit ria to t r c i t o a o t r c i t to crit ria n indi id a a o t r c i t to crit ria n indi id a nd r innin t t nd r innin t nd r innin icti a i tanc ro i ion. ro i ion. a i tanc icti ro i ion. a i tanc icti nc o a nc o a t in ac ac in t ac in t in or r i . rotoco t t rotoco r i . or in t rotoco r i . or in
di cri inatin ann r. ann r. di cri inatin ann r. di cri inatin r rra nction r rra nction r rra Int r Int r nc nc inc din t r i or, t t r i or, t inc din t r i or, t inc din n iti n iti i ortant rc tion o i ortant rc tion o int c ani int c ani int
or n n or n or , t oordinator , t oordinator inc din d rin d rin inc din d rin inc din
in or ation and and in or ation and in or ation and incor orat and incor orat in r ain a a r ain in a r ain in oordinator i oordinator i
ana nt ana nt ana nt
o aint o aint o aint
i on i on a a . . 4 4
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 51 Int r nc co ainant . c rit rot ction an o d dra n a n d d a d on t ri a nt or ac r i or. 8 Int r nc co ainant . r i or i n r c rit to a rot ction or . an o d artici ant dra n t a n d d t a d c o ocia on t ri a nt in o t or ac r i or r i or. in ind 8 n dra in a c rit rot ction an, ta in into con id ration t at o r i or a o traci d d to c t ra i . action and r on o a or ani ation r i or i i n r to id d a or r ct . or t artici ant c oic , i , t t t ri t , c o ocia and t di nit in o t o r i or.t r i or in ind n dra in a c rit rot ction an, ta in into con id ration t at o r i or a o traci d d to c t ra i . action and r on o a or ani ation rt r or , a nci i id d o d a r ct ort or to t n r c oic , t at t i , ct t o ri t , t co aint and t di nit do not o a t r i or. rt r contact it t r i or, c a ndin o nt ro t conc rn d or ani ation or o ic action i a ro riat , ta in into acco nt t r co ndation o t . rot ction rt r or , r ic n d a nci to in o d o d to a o r t ir ort r ic to n r and t at ort. t ct o t co aint do not a rt r contact it t r i or, c a ndin o nt ro t conc rn d or ani ation or on identia it o ic action ct i a ro riat , t con id ntia it ta in into o acco nt co ainant , t r co ndation r i or , and o ot r t .r ant rot ction arti at r ic a ti . n d to r at din o d in or ation to o r t ir t r ic t and con id ntia , ort. id ntiti t rot ct d, and t r ona in or ation on r i or o d co ct d and ar d on it t in or d con nt o t on identia it r on conc rn d. ct r t con id ntia it ica r cord o co ainant ,ar t, doc nt r i or , t and ot r tor d r ant a to arti r nt at a accid nta ti . di c o r . r at d in or ationco ainant t t t ad con id ntia , a ar o con id ntia it id ntiti t roc d r , rot ct d, inc din and t r ona t r on in or ation t at i on r i or in o d o din t ca co ct d roc in , and ar dand o d on it i t t ir in or d icit con nt in or d o con ntt r on to conc rn d. roc d it r r cordin ica t co aint. r cord ar tainin t, doc nt con nt to a i t o r tor d a a to r nt not r ir daccid nta i di c o r . i r a nc co ainant a a andator t r ortin ad a ar o ic o or con id ntia it no d or roc d r , icion inc din o ta i cond ct.t r on t at r i t r i or in o d i in t c ca con nt, roc in , on rtin nt and o d and r ant i t ir in or ation icit in or d a ANNEX 3 con nt ar d it to roc d ot r it or t r cordin r o t o co aint. in t tainin r i or, con nt c a o r rrin a i t o r or r ic , a notor or r ir din ti ation i i r. a nc a a andator r ortin o ic or no d or icion o ta i cond ct. r t r i or i c con nt, on rtin nt and r ant in or ation a ar d r artici atin it ot r a nc or t or ani ation r o o in a ad r t to r i or, it ata c rot ction a r rrin rinci or in r ic , t nt or t at or in ti ationit co ct , r c i ,. , tran r , or tor an r ona data o a co aint.
ta , a a an and I ta , ar o nd trict con id ntia it ic in o r artici atin a nc or ani ation a ad r to it ata rot ction rinci in t nt t at itca co ct , a r c i ,contin , ond tran r , t nd or o tor t ir an o nt. r ona data i o o i ationa co aint. a i to a ta o d r it in a in t c tion o t ir ro . n ta o d r it acc to n iti ta , co aint a in or ation a an , inc din and I t o ta , o ar a o nd acc trict to t con id ntia it r cord ic or data a , in o ar cia o nd t rinci o con id ntia it and o d inc d t i nin ca a contin ond t nd o t ir o nt. i o i ation a i to a ta o d r it ino con id ntia it a ina r nt t c tion r o a ro riat t ir or ro . t n can r or ta o d r t ir d ti it . ai r acc to o d n iti con id ntia i co aint tyin or ation will have, consequencesinc din t o and o may a result acc in action to t taken by the r cord actor’s or agencydata a , or or ani ation,ar cia inc din o nd – t accordin rinci to o t con id ntia it a nc ’s proc d r and – i diat o d t r ination inc d o t contract i nin o o ntcon id ntia it or contract a r nt o r ic , r a ro riat it o t r dic or to t an r d can r or a ai a t ir in d ti a or. in ai r it . to o d con id ntia ity will have consequences and may result in action taken by the actor’s agency or rans arenc or ani ation, inc din nctionin – accordin o t to t a nc a ’s pr ainroc d r tran ar nt – i diat to t t r ination co nit o in contract ic it o it . o nt ran ar nc or contract in anitarian o r ic , o ration it o t r dic and t to an artici ation r d a ai a o n iciari in a or in in it . t ir annin and i ntation r d c t ri o anitarian a i tanc and r ic in d or rans arenc a a and oitation. nctionin o t to a c ar a r ortin r ain t tran ar nt i t at to t co nit co ainant in ic no toit it . o ran ar nc t o d r ortin anitarian and at ort o ration o a i tanc and t t can ct artici ation to r c i o ro n iciari t a t , in a ,t ir annin c o ocia , and i ntation c rit , and ot r r d c ctor . t ri o ot ntia anitarian and act a a i tanc r i or and r ic o in t d or a a and oitation. to a c ar r ortin t i t at co ainant no to ot ntia r ta iation a ain t i t o r i on o t r a on i diat a i tanc o d a ai a not on to o icti , t and o d o d r ort a d andon a r ona i d at ort o n d a i tanc a nt. t can 4. . a ct rra to r c i or i diat ro t a i tanc . a t , a , c o 8 I ocia , c rit , t ractic and id ot r ro id ctor . in or ation ot ntia and too and on act a a in r i or t ri ac d o co ainant t and, i n c ar , d o in a c rit an. ot ntia In or d r ta iationcon nt to a ain t ar co aint i t o r in or ation i on o i t a a r a on ad i a , i diat n o rridd n a i tanc o d andator a ai a ortin not on a to icti ,and or o ici . and o d t a d o on ot a r ona i d in t i ction n d on andator a nt. ortin 4. . a contra t d rra to idin or i diat rinci . a i tanc . 8 ta I ar not r itt d t ractic to di c o id to ro id t ic in or ation an con id ntia and too in or ation on a in o tain d t ri ac d irt o co ainant t ir r ic and, it i n c ar ,t t at d o in a not n a c rit ad an. ic. i o i ation contin a t r aration ro r ic . ta and ta In or d ation con nt o t to nit d ar ation , co aint in or ation4 i a a an ar ad i a , 4 rt. , n ation o rridd n . i . andator ortin a and or o o ici . r t o a nci ot a in t i in tit tiona ction on o ici andator t at ortin a r ad o i at contra t d ta to to idin a rinci . in or ation on a ation ta ar t at not t r itt d r c i to con id ntia . di c o to t ic an con id ntia in or ation o tain d irt o t ir r ic it t t at a not n ad ic. i o i ation contin a t r aration ro r ic . ta and ta ation o t nit d ation , 4 an ar 4 rt. , ation . i . o r a nci a in tit tiona o ici t at a r ad o i at ta to a in or ation on a ation t at t r c i con id ntia .
52 ANNEX 3 3. GuidingPrinciples o ation in ct d to , a ct d o ri t ac r at cri anitarian car . o i tic ro id to to t r or ro id r o ation in ct d to , a ct d o ri t ac r at cri anitarian car . o i tic ro id to to t r or ro id r in r ain a riorit in a att r and att r a in a riorit r ain in and att r a in a riorit r ain in o i ation to i nt, and ro t r n d to co ni to t r n d ro and i nt, to o i ation andator o ici co ni to t r n d ro and i nt, to o i ation andator o ici id d r ct or c oic , i , ri t and di nit o t r i or. t o di nit and ri t i , c oic , or r ct id d r i or. t o di nit and ri t i , c oic , or r ct id d ccessi i it n r co r n ion o co ntri a r ir tran ation into ra di r nt an a . ccessi i it n r co r n ion o co ntri a r ir tran ation into ra di r nt an a . ana nt. int r ntion a i tanc r co r ana nt. int r ntion a i tanc r co r artnershi artnershi 8 4 4 hi dren regarding onsiderations ecia hi dren regarding onsiderations ecia or d roc it r i or a r ct a anc t at a ann r in d o d ar r on a t at n r to and to r ond and ur i or or d roc it r i or a r ct a anc t at a ann r in d o d ar r on a t at n r to and to r ond and ur i or on dir cti o ici and r ortin c ann it in a nci a o n d to tran ar nt. co nication. on dir cti o in aintain to ort r a i t and ca , t ir o o tco and t d o nt o ici and r ortin c ann it in a nci a o n d o ain to tran ar nt. and in . ca t o d ration t in or d a o t o t co aint c ani or , inc din t r ortin co nication. roc andt ro o t o in aintain to ort r a i t and ca , t ir o o tco and t d o nt o ain and in . ca t o d ration t in or d a o t o t co aint c ani or , inc din t r ortin roc andt ro o t 8 t n anitarianr on t n anitarianr on or r. or r. anon o r ort t tr at d it t a ra it a ot r ca . ot r a ra it a t it tr at d t r ort anon o cont t and c t ra ot ar t at t ar t o i n r o o roc co aint t a in , t acc to o on i n t in or ation ca . ot r a ra it a t it tr at d t r ort anon o cont t and c t ra ot ar t at t ar t o i n r o o roc co aint t a in , t acc to o on i n t in or ation o c i dr n. o c i d r i or a o a at a o d don con tation in it to d i n ort id . o rridin t a t c i d o int r t t c i dr n. o a t c i d, o a on i ta n I a d ci ion t . a ct i t at in d ci ion artici at to t ri t c i d r i or a o a at a o d don con tation in it to d i n ort id . o rridin t a t c i d o int r t t a t c i d, o a on i ta n I a d ci ion t . a ct i t at in d ci ion artici at to t ri t
i anon o co aint t tr at d it t a ra it , in ti ation a a r d i id nc cannot i anon o co aint t tr at d it t a ra it , in ti ation a a r d i id nc cannot in original dditiona idanc on or in it c i d co ainant can o nd in t in t can o nd co ainant c i d it or in on idanc dditiona a t tandard , I id in in t can Int r o nd t co ainant c i d it or in on idanc dditiona I a t tandard , I id in t at a r on ar d o d in ann r a t at a anc r ct ord roc it a r i or previ our fulfil to inorder Points “Action Int r t recognized theirleadership responsibilityI to strengthenthe humanitarian community’s response, theycommitted to three I tat nt ind nd nt ri i d.In c t atca , a r on t anon o ar d o d co ainant in ann r a a a dt at a anc id nti to r ct i r ord roc it a r i or previ our fulfil to inorder Points “Action recognized theirleadership responsibility to strengthenthe humanitarian community’s response, theycommitted to three I tat nt ind nd nt ri i d.In c ca , t anon o co ainant a a did nti to i r in or ation on t tat o or d tai d co nc d, an to in ir a ad ini trati n ra t at ac no d nt a ran ro idin ro Thelevel of feedback providedcomplainants to will vary according totheinvestigating agency’s procedures,which can in or ation on t tat o or d tai d co nc d, an to in ir a ad ini trati n ra t at ac no d nt a ran ro idin ro Thelevel of feedback providedcomplainants to will vary according totheinvestigating agency’s procedures,which can in original nior a o nior a o which the survivor’s wishes, safety, and well and safety, wishes, survivor’s the which well and safety, wishes, survivor’s the which in anitarian ri . . ri anitarian in . ri anitarian in
tat nt on . tat nt on . tat nt on ana nt at and i d and i d ana nt at and i d ana nt at
od o cond ct od o cond ct entered roach entered roach entered . .
t int r t an o r i orar r d n rot t int r t an o r i orar r d n rot
Agency Standing Committee’s Report of the Task Force on Protection from Sexual Exploitation and Abuse Abuse and Exploitation Sexual from on Protection Force Task the of Report Committee’s Standing Agency Abuse and Exploitation Sexual from on Protection Force Task the of Report Committee’s Standing Agency
co aint and in co aint and in co aint c ani c ani
. 4 . . 4 . on . non rinci a t I . d t r ination radicat t ir r a ir d to non rinci a t I . d t r ination radicat t ir r a ir d to
and idanc n d to co nicat d to t o in t i d o a t and idanc n d to co nicat d to t o in t i d o a t
, art , art t in ti ation and t ca o tco . t in ti ation and t ca o tco .
#1 Indicator 2(“The policy/standards ofconduct have beenconveyed current to staffand #1 Indicator 2(“The policy/standards ofconduct have beenconveyed current to staffand
o d acc i in ac co ntr and in t r do inant an a to o d acc i in ac co ntr and in t r do inant an a to t t
, ,
and o ar a i iar it oca roc d r r atin to t rot ction rot ction t to r atin roc d r oca it a i iar ar o and rot ction t to r atin roc d r oca it a i iar ar o and centered approach in which the survivor’s wishes, safety, wishes, survivor’s the which in approach centered safety, wishes, survivor’s the which in approach centered anitarian r on a nci a co itt d to acti r nt r nt acti to co itt d a a nci r on anitarian r nt acti to co itt d a a nci r on anitarian
i ntia to aintain i r t int r t and r on i ca ca r on i and int r t t i r aintain to ntia i ca r on i and int r t t i r aintain to ntia i a nci . artici ation t o r i or a nci . artici ation t o r i or o and on oin co it nt to i t o r o n r onn , and to n r n r to and r onn , o n o r i t to co it nt on oin and o n r to and r onn , o n o r i t to co it nt on oin and o nt o t r i or t o nt r i or t o nt a ro riat . o aci itat r ortin and a oid ti ati ation, ti ati ation, a oid and r ortin aci itat o a ro riat . ti ati ation, a oid and r ortin aci itat o a ro riat . on r at docca ion c ind ction a and r r on r at docca ion c ind ction a and r r . i inc d id nti in and in tit tin ario nt ario in tit tin and id nti in i . inc d nt ario in tit tin and id nti in i . inc d in r ain r ain in r ain in
ic nd r cor t n d or a coordinat d an actiono ic nd r cor t n d or a coordinat d an actiono
ro ro ro acc i to a ot ntia co ainant and ici nt ici nt and co ainant a ot ntia to acc i ici nt and co ainant a ot ntia to acc i
ant and r i or a t ri t to r c i d ac on on d ac r c i to ri t t a r i or and ant on d ac r c i to ri t t a r i or and ant roc d r . roc d r .
actor o ar train d to and t cia n d o actor o ar train d to and t cia n d o ad art r to t i d i a r c rrin ro . ro . ar c rrin i i d t to ad art r ro . ar c rrin i i d t to ad art r a priority in all matters andprocedures.” in all priority a matters andprocedures.” in all priority a
t a o rinci a to c i dr n, inc din t a o rinci a to c i dr n, inc din
rt r or , rt r or , rt r or , rt r or , nt r d roac or ro otin t ica and and t ica ro otin or roac nt r d and t ica ro otin or roac nt r d c c at d to r o and contract contract and o r to at d contract and o r to at d I t ractic I t id ractic I t id Int r Int r 4 4
nc nc a action ta n o d o d ta n a action a action ta n o d o d ta n a action
ction a nci and r ic r ic and a nci ction ction a nci and r ic r ic and a nci ction co ntr co ntr r trainin r trainin 8 8
c nt r d a roac in c nt r d a roac in c nt r d a roac in ci ic r ci ic r ci ic in d t r inin in d t r inin in d t r inin ac o c ar c ar o ac c ar o ac , i o i , i o i acc i to to acc i to acc i
” ( ” ( and and and . . r oint oint r oint r
emphasis emphasis emphasis
rra rra rra
. . and and and
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 53 Int r nc
andator e orting In r co nition of the UN’s zero to ranc o ic or , t cr tar General’s Bulletin on SEA and related agency/organizational Int rpolicies nc oblige UN staff and i ntin artn r to ro t r ort a conc rn or icion o o or r ia andator ta i d r ortin e orting c ani , In r co ni tion t r of the or notUN’s t zeroa d to ranc r trator o ic i ro or , t a t cr tar a nc . General’s ort t Bulletin ad on in SEA ood ait and andrelated r ortin agency/organizational r onn o d policies r a r d oblige t at noUN action staff i and ta ni ntin a ain t an artn r or r to ro t o a r ort c a aconc rn ood ait or icion r ort, n o o d t o a ation or r ro ia n o nd d on in ti ation. o r, i a ta r on no in and i r ort a or ta i d r ortin c ani , t r or not t a d r trator i ro t a a nc . a icio ort t in or ation ad inr ardin ood ait anot r and r ortin ta r on r onn , c o d a r ort r a r d a t at ad no to action di ci inar i ta naction. a ain t an or r o a c a ood ait r ort, n o d t a ation ro
In n o nd d addition, ont ta in ti ation.t and oca o rn nt o r, i in a ic ta r ont no in i it at d and a i a o a r ort r ation a or on a icio andator in or ation r ortin r ardin r at d to anot r . It i ta t r onr on i i it , c a o t r ort a oca ad oint to di ci inar to to dat action. on r ant nationa a and to incor orat t into roc d r and in or ation In ac a addition, or t r i or co ainant , tat and oca o rn nt a a ro riat . in ic t i it at d a a o a r ation on andator r ortin r at d to . It i t r on i i it o t oca oint to to Specialdat on noter ant on Mandatorynationa a Reporting and to ofincor orat SEA, and t how intoit relates to confidentiality roc d r and and in or ation survivor consent ac a : i or r i or co ainant , r ortin i andator a a ro riat . or t a orit o anitarian or r , t i o i ation a in ractic con ict it t rinci o con id ntia it and t ri t o t r i or to c oo o o d i to addr an incid nt. nci i n d to int rna r conci t i Special note on Mandatory Reporting of SEA, and how it relates to confidentiality and survivor consent ot ntia : i con ict r ortin , a ancin ot i andator t ri t o or t t r i or a orit and o anitariant a t o t or r , road r t i co nit o i ation. a In addition, in ractic co ntr con ict ci ic it t rinci o ration o con id ntia it oda iti o d and t ro id ri t o idanc t r i or a d to c oo on t o int rna o ici o d o i ar totici atin addr a nci an . n incid nt. o i i it nci i to i in or n d t to r i or int rna o t r conci andat t i to r ort on or roc din it co aint inta . ANNEX 3 ot ntia con ict, a ancin ot t ri t o t r i or and t a t o t road r co nit . In addition, co ntr ci ic o ration oda iti o d ro id idanc a d on t 4.int rna COMPLAINT o ici o artici atin MECHANISM a nci . n PROCEDURES o i i it i to in or t r i or o t andat to r ort on or roc din it co aint inta . 4.1 Setting up the Inter-Agency CBCM 4. COMPLAINT MECHANISM PROCEDURES 4. . . r atin an cti and taina 4.1 Setting up the Inter-Agency CBCM on arn d ro rior , a a i tin int rnationa co it nt , a c rtain ractic nda nta in cr atin an cti . or a , t i ortanc o a 4. . . r atin an cti and taina c t ra n iti c ani i r ct d in t , i t roc o doin o t ro t on acti arn d artici ation ro rior o ,a ct d co niti a a i tin and indi id a , int rnationa ot d rin co it nt , t d i n a and i ntation o t , i a ro n ood ractic and art o t tat nt o o it nt c rtain 4 ractic nda nta in cr atin an cti . or a , t i ortanc o a . c t ra n iti c ani i r ct d in t , i t roc o doin o t ro t acti artici ation o a ct d co niti and indi id a , ot d rin t d i n and i ntation i i ar , o r ntion t , acti iti i a ro n t ood cond ct d ractic and a on art it o t i ntin tat nt o t o it nt co aint r rra . 4 roc d r o t . r ntion acti iti ar r r nc d in t cr tar eneral’s tin on , t tat nt o o it nt , and t , a
i i ar , r ntion acti iti t cond ct d a on it i ntin t co aint r rra roc d r o t . r ntion acti iti ar r r nc d in t cr tar eneral’s tin nc ta on o d r ort , t a ation tat nt t ro o t ir o it nt int rna r ortin roc d r ., and t , a cr tar General’s Bulletin on SEA (2003) §3.2(e) (“Where a United Nations staff member develops concerns or icion r ardin a oitation or a a a o or r, t r in t a a nc or not and t r or not it in t nit d ation t , or t r ort c conc rn ia ta i d r ortin nc mechanisms”). ta o d r ort a ation t ro t ir int rna r ortin roc d r . andator cr tar r ortin General’s to o rn nt Bulletin on i SEA n d (2003) to §3.2(e) r conci d (“Where it at United ri i Nations I ni staff memberti o or ani ation .develops concerns or icion r ardin #5, a Indicator oitation 2 (“There or is a guidance a provided a o to the or r,field on t rhow to designin t the a CBCM a nc to ensureor not itand is ada t d t r toor t not c t ra it in cont t t nit d with focus ation on community t , participation”). or t r ort c conc rn ia ta i d r ortin 4 tat ntmechanisms”). o o it nt # “ n a t ort o co niti and o rn nt to r nt and r ond to andator sexual exploitation r ortin and to abuse o rn nt by our personnel” i n d to . r conci d it t ri i I niti o or ani ation . Secretary General’s #5,Bulletin Indicator on SEA 2 (“There (2003) is §3.2(f) guidance on providedthe duty ofto allthe UNfield staff on howto “create to design and themaintain CBCM an to environment ensure it is ada t dthat prevents to t sexual c t ra exploitation cont t with and focus sexual on abuse” community and §4.1 participation”). on the particular duties of Heads of Departments, Offices and 4 tat nt i ion . o o it nt # “ n a t ort o co niti and o rn nt to r nt and r ond to sexualltiple exploitation provisions, and including abuse by #1 our (“ o personnel” or ani ation . ci ic trat i to r nt and r ond to a oitation Secretaryand a ”),General’s #3 (“ r nt Bulletin r trator on SEA (2003) o a §3.2(f) oitation on the duty and ofa all UN ro staff in to r “create ir d and or maintain r d o d an environment”), and #10 that prevents sexual exploitation and sexual abuse” and §4.1 on the particular duties of Heads of Departments, Offices and i ion . ltiple provisions, including #1 (“ o or ani ation ci ic trat i to r nt and r ond to a oitation and a ”), #3 (“ r nt r trator o a oitation and a ro in r ir d or r d o d”), and #10
54 ANNEX 3 4. ComplaintMechanismProcedures ro ar not i t at roc d r , coo rati a nc ro ar not i t at roc d r , coo rati a nc a n o r o d in roc di ci inar a n o r o d in roc di ci inar a t oriti in con nction, incor oratin in t ro a ct d o ation a t oriti in con nction, incor oratin in t ro a ct d o ation 8 8 t in a o t in d , t to r o rc an and inancia ot a ocat ici nt to a nci for is sustainability ensuring of means One community. aid whole the with relationship community’s ta can aCBCM of loss sudden the and beneficiaries, to accountability system’s humanitarian t o art an int ra co a ri t, don n di o in . c ani t d tro d t in a o t in d , t to r o rc an and inancia ot a ocat ici nt to a nci for is sustainability a in, ensuring a t In of means One community. aid whole the with relationship community’s ta can aCBCM of loss sudden the and beneficiaries, to accountability system’s humanitarian ana d. t o art an int ra co a ri t, don n di o in . c ani t d tro d co ainant can a an in or d d ci ion on r ortin and t at a in, co nit a t In ctation ar t at o tc. action, di ci inar ot ntia in ti ation, . . a co aint r c i in o r t r ortin c ann . a in o d a o inc d in or ation on t ana d. appropriate standards conduct of for aid workers, beneficiaries’ rightsinregard co ainant to SEA,and available can a an in or d d ci ion on r ortin and t at tar co nit acti iti ctation ar t at o tc. action, di ci inar ot ntia in ti ation, . . a co aint r c i in o r t ini , a t a . to acc i and i nd r tanda t and r on i i iti and ri t r ortin c ann . a in o d a o inc d in or ation on t od o ond ct. appropriate standards conduct of for aidcirc ation workers, beneficiaries’ d o nt, t and rights trainin , inregard ta and to SEA,and available tar acti iti inc d acti iti r ntion ini , a t a . to acc i and i nd r tanda t and r on i i iti and ri t c ani . co aint t o rationa i in o art n c ar a ro in a ain and ti a od o ond ct. circ ation d o nt, t and trainin , ta and inc d acti iti r ntion c ani . co aint t o rationa i in o art n c ar a ro in a ain and ti a 8 8 8 8 . . artici atin a nci i a to a in d rin d i n, ot r artici atin a nci i a to a in d rin d i n, ot r d rin t d rin t d rin c a c ani , a artici atin or ani ation in a anitarian r on o ration r on anitarian a in or ani ation artici atin a a c ani , c o ration r on anitarian a in or ani ation artici atin a a c ani , c cti n it tr n t n to ord r in it rac and an a , c t r , oca t a c conc rn ractica cti n it tr n t n to ord r in it rac and an a , c t r , oca t a c conc rn ractica o rationa ractic ar inc d d in t I t ractic id . ractic t I t in inc d d ar ractic o rationa t on idanc tantia and d tai or an c t r . and n d oca t to tai or d and artici ant a o coordination t it d o d o d ractic nda nta a o id . ractic t I t in inc d d ar ractic o rationa int r t a to r o rc a nc a ocat t on idanc tantia and d tai or an c t r . and n d oca t to tai or d and artici ant a o coordination t it d o d o d ractic nda nta a o int r t a to r o rc a nc a ocat rinci o co aint o rinci c t ra and cti , oa a o i a o to a ct d co niti and or indi id a to r ort conc rn in a ,a co aint o rinci c t ra and cti , oa a o i a o to a ct d co niti and or indi id a to r ort conc rn in a ,a cr tar cr tar cr tar
PSEA (2012) Pillar#4 “Prevention: Effective andcomprehensive mechanisms ensure to awareness PSEA (2012) Pillar#4 “Prevention: Effective andcomprehensive mechanisms ensure to awareness it o t r dic tot ri i andI niti o t i a o inc d o t int rnationa o tanc t on i d a o It on o. o it o t r dic tot ri i andI niti o t i ot ro ctcarri d o t on a o I t i ta i to a o inc d int r o t id ro id t ractic and r co ndation ic co nit int rnationa o tanc t on i d a o It on o. o wrongdoing.”(IASC Statement on PSEA i ot (2015)). ro ctcarri d o t on a o I t ta i to int r ac i a tr t o co cti to inorder SEA acco nta i it , against id fight ro id and co it t community’s ractic to ro id humanitarian and the t r co ndation n c ar strengthen to r ic responsibility leadership our recognize “We co nit wrongdoing.”(IASC Statement on PSEA (2015)). ac i a tr t o co cti to inorder SEA acco nta i it , against fight and co it community’s to ro id humanitarian the t n c ar strengthen to r responsibility leadership our recognize “We r onn (“ r onn (“ in tr ction.co o t id can o tain d at i t at o t rnin oa it a co ntri , in ario c ani co aint and in tr ction.co o t id can o tain d at i t at o t rnin oa it a co ntri , in ario c ani co aint and a on t r onn cti a on t r onn cti n a t t n a t n a I t ractic id I t ractic id 8 8 t ro ic o n, ir and o , and n acc and r ort in or ation. t ro ic o n, ir and o , and n acc and r ort in or ation.
Id nti in t n c ar r o rc or ta i in and aintainin a i an i t at t at i an i a aintainin and ta i in or r o rc n c ar t Id nti in t at i an i a aintainin and ta i in or r o rc n c ar t Id nti in ro ra ro ra
”). ”). 8 8 a dco aint c ani and to r ort o a a and oitation anitarian or r . aid a dco aint c ani and to r ort o a a and oitation anitarian or r . aid eneral’s eneral’s eneral’s
and o t co niti . o t and co niti . o t and ort o co niti and o rn nt to r nt and r ond to a oitation and a o r ort o co niti and o rn nt to r nt and r ond to a oitation and a o r tin n iciari and o t co niti o d n anc t ir nd r tandin o o nd r tandin t ir n anc o d co niti o t and n iciari tin o nd r tandin t ir n anc o d co niti o t and n iciari tin a a 4. . . i n 4. . . i n
a a a ct a ct a a a ct a a n r t at a ro r nd r and n ra i it ana i i nd rta nto id nti n r t at a ro r nd r and n ra i it ana i i nd rta nto id nti c r ntion trat i ar n c ar o a r on on it no t ir t ir no it on r on a o n c ar ar trat i c r ntion t ir no it on r on a o n c ar ar trat i c r ntion con ict or tran ition and r co r o ration . r co r and tran ition or con ict o ration . r co r and tran ition or con ict tin on on tin on tin . .
ve recruitment and performance management.” ve andperformance recruitment management.” ve andperformance recruitment c ani a t , tran ar nc , con id ntia it , acc i i it , artn r i artn r i acc i i it , con id ntia it , tran ar nc , a t , c ani artn r i acc i i it , con id ntia it , tran ar nc , a t , c ani i i inc d a a inc d i i a inc d i i a ro riat ann r. ann r. a ro riat ann r. a ro riat
ca r t r i or co ainant i not i in to id nti i d. id nti i d. to i in not i r i or co ainant t r ca id nti i d. to i in not i r i or co ainant t r ca in in – –
inter alia inter alia inter t taina o t at t tr t it i d in t co nit i not not i co nit t in i d it tr t t t at o taina t not i co nit t in i d it tr t t t at o taina t
t t t
ro id o rationa idanc on o to ta i and aintain an int r an aintain and ta i o to on idanc o rationa ro id int r an aintain and ta i o to on idanc o rationa ro id 8 8
c a t di ic t o n a in in an in ti atio an in n a in o di ic t t a c in ti atio an in n a in o di ic t t a c – –
a nc taina . taina . a nc taina . a nc
.io .int .io .int ca acit i din t ro co nit a ar n rai in ca acit i din t ro co nit a ar n rai in ood ait ort ood ait ort
andt I rinci a in t ir tat nt o andt I rinci a in t ir tat nt o co it nt , a co it nt , a a nc or ani ation. a nc or ani ation.
, and n orc nt o a nc o ici and and o ici a nc o n orc nt and , and o ici a nc o n orc nt and , a nc in t io ia and t ocratic ic ocratic ic t t io ia and in a nc ocratic ic t t io ia and in a nc ar ri ari d ri d ro on arn d d rin a a d rin arn d on ro d ri d ri ari ar a d rin arn d on ro d ri d ri ari ar
nd and and c ani to c ani , o o o . o o c ani , to c ani o . o o c ani , to c ani
’s ’s tt int ra nc tandin co itt .or tt int ra nc tandin co itt .or
d i n a ta into con id rat into ta a d i n con id rat into ta a d i n
a nci a nci a nci a o a a t at o nationa nationa o t at a a a o nationa o t at a a a o a on arn d ro r io r arc a on arn d ro r io r arc
Int r Int r
o i a nc action a a a a action a nc o i a a action a nc o i nc nc to oint ndin or or ndin oint to or ndin oint to
co it nt into into co it nt into co it nt
o rc to radicat t i o rc to radicat t i n c ar int r n c ar int r n c ar i ntation and and i ntation and i ntation 8 8 rai in on on rai in on rai in
In d i nin In d i nin o d or or o d or o d rni t rni t . .
ion t t ion t ion on it it on it on a nc a nc a nc
, , n or n or n or ar ar n n
Annex 3 – Global Standard Operating Procedures onInt r Inter-Agency nc Cooperation in CBCMs 55
i n o a to r nt and r ond to o d coordinat d it i tin ort to addr and iti at nd r a d io nc . “PSEA is anInt r important nc aspect of preve ntin o or o and ort o d t r or in to rti and ro ra in — especially to ensure survivors’ rights and other guiding principles are respected.”8 i t n t or o d not tit t d t nd r coordination c ani , t r rra i n o a to r nt and r ond to o d coordinat d it i tin ort to at a o d ro id a in a t n r ant a i tanc n t or . It i i ortant to n r a addr and iti at nd r a d io nc . “PSEA is an important aspect of preventin co on nd r tandin o t cor r on i i iti o t in co ntr n t or and it r ation to o or o and ort o d t r or in to rti and ro ra in — t coordination c ani , and a i in n to coordinat . or in tanc , 8 it i i ortant t at especially to ensure survivors’ rights and other guiding principles are respected.” i t t c t r oordinator nd r tand and ro ot t rinci and tandard o n t or o d not tit t d t nd r coordination c ani , t r rra cond ct. c t r and ot r r ant t r oordinator t a o a rai d o oca at a o d ro id a in a t n r ant a i tanc n t or . It i i ortant to n r a r ortin roc d r and roc r at d to addr in a ation in ord r to aci itat and co on nd r tandin o t cor r on i i iti o t in co ntr n t or and it r ation to tr a in ca r rra . r a o t i ortant , coordination c ani o d or it t coordination c ani , and a i in n to coordinat . or in tanc , it i i ortant t at t in co ntr n t or to n r t at r i or a acc to r ic in ac or t c t r oordinator nd r tand and ro ot t rinci and tandard o icti . i r i or a di tinct n d t in ro t act t at r o t cond ct. c t r and ot r r ant t r oordinator t a o a rai d o oca anitarian co nit co itt d t a and or oitation, an o t ica and r ortin roc d r and roc r at d to addr in a ation in ord r to aci itat and c o ocia n d ar i i ar to icti o ot r or o . n t or a a tr a in ca r rra . r a o t i ortant , coordination c ani o d or it r on i i it to n r t at icti a i tanc c ani ar in ac or r i or , ic o d t in co ntr n t or to n r t at r i or a acc to r ic in ac or id a i d on i tin r ic and r rra at a in ord r to ar oni r ic icti . i r i or a di tinct n d t in ro t act t at r o t ro i ion and a oid cr atin ara ci ic r ic tr ct r .84 r i inar a in anitarian co nit co itt d t a and or oitation, an o t ica and rci o d carri d o t to d t r in t i tin a i tanc in ra tr ct r t at co d addr t c o ocia n d ar i i ar to icti o ot r or o . n t or a a ci ic n d o r i or , inc din dica and c o ocia r ic in ac to r ic r on i i it to n r t at icti a i tanc c ani ar in ac or r i or , ic o d icti . id a i d on i tin r ic and r rra at a in ord r to ar oni r ic
84 ANNEX 3 ro i ion and a oid cr atin ara ci ic r ic tr ct r . r i inar a in d ci ion o t r a i and on co aint , or act a a road r acco nta i it rci o d carri d o t to d t r in t i tin a i tanc in ra tr ct r t at co d addr t c ani , i a d ci ion to ad t t rin o itt at t i d , o t at t ci ic n d o r i or , inc din dica and c o ocia r ic in ac to r ic i ad at cat r d to t oca cont t and co nt ot r r ortin d ac icti . c ani . on arn d ro rior o t at a road r c ani – ici nt in d to i tin tr ct r – can i it ti ati ation o co ainant and nco ra r ortin .8 o r, d ci ion o t r a i and on co aint , or act a a road r acco nta i it in a road r c ani a it o n o i tica dra ac and t do not ad ocat on c ani , i a d ci ion to ad t t rin o itt at t i d , o t at t tr ct r o r anot r.8 at r co t ta o d r c o o r, a nci i not a i ad at cat r d to t oca cont t and co nt ot r r ortin d ac contro o r t t o co aint t at n iciari act a it, and t r or t t c ani . on arn d ro rior o t at8 a road r c ani – ici nt in d a t ca acit to r r a road ctr o co aint . ai r to antici at and r ond8 to non to i tin tr ct r – can i it ti ati ation o co ainant and nco ra r ortin . o r, co aint , n r t i ci ic, can i act t cr di i it o t and in a road r c ani a it o n o i tica dra ac and t do not ad ocat on t anitarian co nit 8 in n ra . ta o d r t n a it r ant tr ct r o r anot r. at r co t ta o d r c o o r, a nci i not a c t r ctor a nci , inc din r ant in ti ati nit , to coordinat o non contro o r t t o co aint t at n iciari act a it, and t r or t t co aint i tran rr d to t a ro riat actor , o8 o d a o con t d on t a t ca acit to r r a road ctr o co aint . ai r to antici at and r ond to non . o d icit on it roc d r or and in non co aint and oca co aint , n r t i ci ic, can i act t cr di i it o t and oint trainin on co aint and in o d c ar di r ntiat ro non roc d r . t anitarian co nit in n ra . ta o d r t n a it r ant c t r ctor a nci , inc din r ant in ti ati nit , to coordinat o non co aint i tran rr d to t a ro riat actor , o o d a o con t d on t
. o d icit on it roc d r or and in non co aint and oca oint trainin on co aint and in o d c ar di r ntiat ro non roc d r . 8 # , Indicator “There is guidance provided to the field on how to design the CBCM to ensure it is adapted to the cultural context with focus on community participation.” . 8 I id in . 84 t nd r a d io nc r a o on i i it or in ro , and oo or oordinatin nd r a d io nc Int r ntion in anitarian ttin . 8 8 ractic a o n t at n iciari ar inc in d to a a co aint t ro a r ortin c ann oc d o on a # , Indicator “There is guidance provided to the field on how to design the CBCM to ensure it is n iti i c a o t o ar o ocia ti a, a t conc rn , t n ra a ardn o r ortin a o t adapted to the cultural context with focus on community participation.” . indi id a r on , and a o t o ot r arri r . t I o ndi o ractic . 8 I id in . 8 r ar ad anta and di ad anta or ac t o . or d tai on t ro and con o t di r nt o i 84 t nd r a d io nc r a o on i i it or in ro , and oo or oordinatin nd r a d co , t I t ractic id . io nc Int r ntion in anitarian ttin . 8 i and t oro r on to co aint ta on artic ar i ni icanc r a co aint c ani and 8 ractic a o n t at n iciari ar inc in d to a a co aint t ro a r ortin c ann oc d o on a ti t o i . ta o d r t a ar t at n iciari a initia a roac t c ani it n iti i c a o t o ar o ocia ti a, a t conc rn , t n ra a ardn o r ortin a o t n iti co aint or t tr t i i t to rai an co aint. a o 4. .4 ro id d ac to r i or indi id a r on , and a o t o ot r arri r . t I o ndi o ractic . 8 and co ainant , and t I t ractic id . r ar ad anta and di ad anta or ac t o . or d tai on t ro and con o t di r nt o i co , t I t ractic id . 8 i and t oro r on to co aint ta on artic ar i ni icanc r a co aint c ani and ti t o i . ta o d r t a ar t at n iciari a initia a roac t c ani it n iti co aint or t tr t i i t to rai an co aint. a o 4. .4 ro id d ac to r i or and co ainant , and t I t ractic id .
56 ANNEX 3 4. ComplaintMechanismProcedures ca . o in ti ation and r rra t aci itat t and c ani , t o it a i n nat ra i t o d i n t t at n r to ca . o in ti ation and r rra t aci itat t and c ani , t o it a i n nat ra i t o d i n t t at n r to a r ad roc . con in ot ntia a r ad roc . con in ot ntia 8 88 inc di action rt r or co aint a r r and a ation , non ro arat a i tanc , i diat or r r and a a ation , r c i to ac in on t o ro t i , at nd r tand t in t rn, or r , anitarian t . to co orta ri tto co ain and to r c i a i tanc , and o t can acc t in t ann r o t n t n iciari co aint. a it to o inc di action rt r or co aint a r r and a ation , a ot ntia t at o ta i d i t non co aint ro acc i and arat a i tanc , i diat or r r and a a ation , r c i to ac in tran ar nt, con id ntia , a , a t at n r to or ani ation artici atin a o r on i i it t It i on t o ro t i , at nd r tand t in t rn, or r , anitarian t . to co orta ri tto co ain and to r c i a i tanc , and o t can acc t in t ann r o t n t n iciari co aint. a it to o a ot ntia t at o ta i d i t co aint acc i and tran ar nt, con id ntia , a , a t at n r to or ani ation artici atin a o r on i i it t It i c ani co aint oordination it . on tr ct r r ortin i tin it coordinatin o i ortanc n c it r rrin o non c ani co aint oordination it . on tr ct r r ortin i tin it coordinatin o i ortanc n c it r rrin o non 8 88 a nc conc rn d t a a nc conc rn d t a it t d ir d and r int rat and d t r in to rci a in and co nit t it con tation on a d c o n it t d ir d and r int rat and d t r in to rci a in and co nit t it con tation on a d c o n r o . a tandard a a t r on, in ad ar co aint r artici a o o ici int rna t r ct t t at n r and ractic in ra tr ct ra d ci ion t at i d nd on in t o t in d r o . c t ra cr atin on idanc tantia c i dr n. a tandard a a t r on, in ad ar or co aint r cia con id r d, o d ro n ra cia and ar ina i d or cc artici a o o ici int rna t r ct t t at n r and ractic in ra tr ct ra d ci ion t at i d nd on in t o t in d c t ra cr atin on idanc tantia c i dr n. or cia con id r d, o d ro n ra cia and ar ina i d or cc Reporting Channels for Affected Population Reporting Channels for Affected Population it into the CBCM’s CBCM’s the it into in or ation r ant t at r to r on i i it i r It i in ti ation. CBCM’s the it into in or ation r ant t at r to r on i i it i r It i in ti ation. ti ati ation o co ainant o ti ati ation tc. , oint ntr ti ta i in n conc rn ri ar co ainant o ti ati ation tc. , oint ntr ti ta i in n conc rn ri ar oint o d a a a r ortin o tion and t oint o d a a a r ortin o tion and t
t a id on i i iti ,on t a ro riat and o trainin and o ta in rinci t idin idin rinci , co aint a o a t con id ntia it t and r i or co ainant It i i rati a nc ar t at ro r oca oint train d on t a t and t a id on i i iti ,on t a ro riat and o trainin and o ta in rinci t idin idin rinci , co aint a o a t con id ntia it t and r i or co ainant It i i rati a nc ar t at ro r oca oint train d on t a t and r ct t i , c oic , ri t , c oic , i , t r ct ri t , c oic , i , t r ct . .
it oca or ani ation and t o t o rn nt, ic in t rn n it taina i it . n it t rn in ic o rn nt, o t t and or ani ation oca it taina i it . n it t rn in ic o rn nt, o t t and or ani ation oca it i tin co aint c ani ro indi id ro c ani co aint i tin indi id ro c ani co aint i tin
8 8 4.2 4.2
rin t inta roc , t roc , inta t rin t roc , inta t rin
oca oca oca it , and t r ortin roc d r t ir o o n a nc or ani ation. it , and t r ortin roc d r t ir o o n a nc or ani ation.
ic ic
Receiving and AssessingReceiving and Complaints AssessingReceiving and Complaints t ractic id . ta o d r i a to a n ro n ro a to a i ta o d r id . ractic t n ro a to a i ta o d r id . ractic t Incid nt ort or nn . in Incid nt ort or nn . in 4. . 4. . oint oint
ia t roc o t in d in t . t in o t in d roc t ia . t in o t in d roc t ia
Incid nt Incid nt ar acc i to a ot ntia co ainant . ti ntr oint ini i ini i oint ntr ti co ainant . a ot ntia to acc i ar ini i oint ntr ti co ainant . a ot ntia to acc i ar
i t i t i t c i co aint t ro t c i co aint t ro t
to a c rtain t a c rtain to t a c rtain to a o a o a o i tin i tin i tin
a o in di r nt t od r ortin o i. . ritt n, r a , in r on, o r a o in di r nt t od r ortin o i. . ritt n, r a , in r on, o r
ort ort tr a in tr a in
SEA complaints, regardless of the CBCM’s scope, underscores the the underscores scope, CBCM’s the of regardless complaints, SEA the underscores scope, CBCM’s the of regardless complaints, SEA
and nco ra r ortin nco ra and r ortin nco ra and co aint co aint co aint d i n r in a artic ar artic ar a in d i n r artic ar a in d i n r or , or ,
din into i tin t a o o t r o n r i in t din into i tin t a o o t r o n r i in t
and di nit o t co ainant. co ainant. t o di nit and co ainant. t o di nit and
r r r or not a co aint i tr or a ici nt in or ation or or in or ation ici nt a or tr i a co aint not r or or in or ation ici nt a or tr i a co aint not r or
i ntation co t and to a oid to and co t i ntation a oid to and co t i ntation and r r t t r r and t r r and r ortin c a r ortin c a s s t od t od
oca actor , and n doin o o d oca actor , and n doin o o d a nc a nc d r tand t ir ri t to r anitarian aid, t ir t ir aid, anitarian r to ri t t ir d r tand t ir aid, anitarian r to ri t t ir d r tand oca oint t r c i ro r trainin . ro r r c i t oint oca trainin . ro r r c i t oint oca
on it on it on a a nci , oca and int rnationa , tc., tc., , int rnationa and oca a nci , a tc., , int rnationa and oca a nci , a n iti and ici nt r ortin c ann i i c ann r ortin ici nt and n iti i c ann r ortin ici nt and n iti a ation a ation
. .
t od to acc to t od acc to t od . .
nn or a ct d o ation i t at t at i o ation a ct d or nn t at i o ation a ct d or nn ir ct r ortin to a nc a nc to r ortin ir ct a nc to r ortin ir ct
n in ti ation. in ti ation. n in ti ation. n oca oca oca to t t to t to Int r Int r ocation ocation co ainant no co ainant no oint oint Incid nt Incid nt a ro riat d art nt in t a ro riat d art nt in t It i not t r on i i it o It i not t r on i i it o nc nc
ro t co ainant, nt r ro t co ainant, nt r
ar ad i d to a t t a to ad i d ar t a to ad i d ar
r c i in t co aint co aint t r c i in co aint t r c i in
I t ractic I t ractic I t
t t
cr atin ara and and ara cr atin and ara cr atin ort ort tin a nci . tin a nci . tin
roc t t roc t roc it i tin it i tin or or t i t i or or t i or or o o ood ood o o ood o o
r and and r and r o d o d in in
oca oca oca
o o o 88 88
Int r nc Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 57
ci ic a r t ta n in ord r to a ard con id ntia it at a ti . ard co i o co aint and r rra or a tor d in a oc d ca in t,Int r it nc acc trict i it d. ctronic data a d to r cord and trac ca in or ation t a r trict d acc and r on it t acc r ir d t i n con id ntia it nd rta in in accordanc it t ir organization’s int rna o ici .
ci ic a r t ta n in ord r to a ard con id ntia it at a ti . ard co i o na o a arti to a co aint ar con id ntia . id ntit o t ct o t o aint co aint and r rra or a tor d in a oc d ca in t, it acc trict i it d. t rot ct d, o t o con id ration o d roc , ar o r ta iation, and r tion o ctronic data a d to r cord and trac ca in or ation t a r trict d acc and innoc nc . It i i ortant t at t na o t r i or, or co ainant i di r nt ro t r i or, r on it t acc r ir d t i n con id ntia it nd rta in in accordanc it t ir organization’snot r a d int rna to t o ici ct. o t o aint it o t the survivor’s consent, and t n r r a d t . In c rtain circ tanc , an in ti atin a nc a , it c ar ti ication, reveal a survivor’s name to t ad ini trati od cond ctin di ci inar r i it o t i r na o a arti to a co aint ar con id ntia . id ntit o t ct o t o aint con nt i t r i in ici nt corro orati id nc it o t i r t ti on . In c in tanc , t rot ct d, o t o con id ration o d roc , ar o r ta iation, and r tion o innoc nc . ta o d r , It i i ortant in con tationt at t na it o t in ti ati r i or, or a nci ,co ainant a i di r ntta additiona ro t r a ona r i or, a r to i d t r i or co ainant ro ot ntia r ta iation or ti ati ation. not r a d to t ct o t o aint it o t the survivor’s consent, and t n r r a d t . In c rtain circ tanc , an in ti atin a nc a , it c ar ti ication, n the survivor’s identity is unknown, for various reasons (e.g. the case is reported by a third party reveal a survivor’s name to t ad ini trati od cond ctin di ci inar r i it o t i r con nt o do i nott r no i in ici nt t id ntit cor o ro orati t r i or, id nc or t it o t co aint i r i ad t ti on . anon o , In c a ationin tanc , r rra i ti ad to t a ro riat d art nt in t conc rn d or ani ation to d t r in ta o d r , in con tation it in ti ati a nci , a ta additiona r a ona i ad ini trati o o or in ti ation i ad i a . c r ant a nc a d t r in i an a r to i d t r i or co ainant ro ot ntia r ta iation or ti ati ation. in ti ation i initiat d . . i ici nt id ntiar d tai a n ro id d, a a ind nd nt
corro oratin n the survivor’s id nc identity on t is a ation unknown, i t . for various reasons (e.g. the case is reported by a third party
ANNEX 3 o do not no t id ntit o t r i or, or t co aint i ad anon o , a ation r rra Special N i ote : ti o tco ad to t o t a ro riat in ti ation d art i nt ar in t accordin conc rn d to or ani ationt id nc tandard to d t r in t i forth ad ini trati in the investigating o o agency’s or in ti ation internal procedures, i ad i a . which c differ r ant according a nc to the a standard d t r in of proofi an in ti ationr ir d t i initiat d ri r d nc . . i o ici nt t tri na id ntiar ic i d tai co t nt a n or ro id d, t at or ani ation. a a ind nd nt oca corro oratin oint i n d id nc to on train d t a ation on r ant i t . tandard in ord r to ra t i ortanc o con id ntia it , and n iti and di nt ca and in a ation r rra o a not to inad rt nt Sjeopardizepecial No ante: agency’s o tco internal o investigation. t in ti ation i ar accordin to t id nc tandard t forth in the investigating agency’s internal procedures, which differ according to the standard of proof r ir d t ri r d nc o t tri na ic i co t nt or t at or ani ation. oca oint i n d to train d on r ant tandard in ord r to ra t i ortanc o con id ntia it , and n iti and di nt ca and in a ation r rra o a not to inad rt nt jeopardize an agency’s internal investigation.
or a , t o on ortin at or , d o d t ro t I i ot ro ct, aintain r trict d acc and ti i t o a r o o in c rit . i r nt or ani ation i t a di r nt tandard o roo to t at n d to t. or a , a d ini trati ri na d ci ion tat t at no di ci inar a r can ta n o on t a i o anon o t ti on . d nt o. 8 cto r Liyanarachchige v. Secretary-General of the United Nations.
or a , t o on ortin at or , d o d t ro t I i ot ro ct, aintain r trict d acc and ti i t o a r o o in c rit . i r nt or ani ation i t a di r nt tandard o roo to t at n d to t. or a , a d ini trati ri na d ci ion tat t at no di ci inar a r can ta n o on t a i o anon o t ti on . d nt o. 8 cto r Liyanarachchige v. Secretary-General of the United Nations.
58 ANNEX 3 4. ComplaintMechanismProcedures rotoco on con id ntia it and in or d con nt rotoco on con id ntia it and in or d con nt ad art r t o r ri ar t t at i n in or r anitarian a I ad art r t o trac in . or data t ir noti o d co aint int r t o icac t and arn d, r on ri ar t tran ar nc , t at i n in or r anitarian a I trac in . or data t ir noti o d co aint int r t o icac t and arn d, on tran ar nc , 4 4 in o d. r ortin r ir a i ation nationa in tanc , In o r i or. t o int r t t or con id ration in in o d. a t orit n orc nt a ro r t to ca r r to a nc t in ti atin o d ci ion iti t o n , a cri ina con tit t t t at ca In t r ortin r ir a i ation nationa in tanc , In o r i or. t o int r t t or con id ration in a t orit n orc nt a ro r t to ca r r to a nc t in ti atin o d ci ion iti t o n , a cri ina con tit t t t at ca In t co aint. ot r an or o d t a or r anitarian ad co aint or aintain d t , t and or ani ation artici atin co aint. ot r an or o d t a or r anitarian artici atin ad co aint or a nc or ani ation aintain d t , t and or ani ation or t artici atin r o o a in an anon o co aint i to t i co ro i d, t or r a rin t co aint to t oca artici atin a nc or ani ation or t r o o a in an anon o co aint i to t i co ro i d, t or r a rin t co aint to t oca Reporting channels for humanitarian workers Reporting channels for humanitarian workers r ar d to c ani co aint t r i or , o nat r n ra t and o ra it i not a o r i or co ainant, t o con nt r ar d to c ani co aint t r i or , o nat r n ra t and o ra it i not a o r i or co ainant, t o con nt o d rai d dir ct it a nior ana r or oca oca or ana r a nior it dir ct rai d o d oca or ana r a nior it dir ct rai d o d an int r in artici atin i t at a nc i o or t a a nci , ti or cr di i it t o ardi can a nc on t in co aint ana in or t r ortin t i an int r in artici atin i t at a nc i o or t a a nci , tation d t t in ana r nior t o t it dir ct od d to ti a ation ritt n or cr di i it t o ardi can a nc on t in co aint ana in or t ocat i o at d or r ot in ta or acc i a i r ortin o d It . t t co aint int rna acon id ntia a a nc artici atin ac t i t at n c ar nda nta i it int rna , roc d i aca c in co aint t ca tation d t t in ana r nior t o t it dir ct od d to a ation ritt n ocat i o at d or r ot in ta or acc i a i o d It . t t co aint int rna acon id ntia a a nc artici atin ac t at n c ar nda nta i it int rna , roc d i aca c in co aint t ca c ann a ai a to t a ct d o ation, t t t t o ation, a ct d t to a ai a c ann or itn an incid nt in o a ar t or r anitarian r t t o ation, a ct d t to a ai a c ann or itn an incid nt in o a ar t or r anitarian r ro ra oca a nc r it t ro c ar t o d ro ra oca a nc r it t ro c ar t o d t t in in r ain same worker’s a a ain t i a ation t t r or ani ation. i r o c ann r ortin t in in r ain same worker’s a a ain t i a ation t t r or ani ation. i r o c ann r ortin o d anot r a nc . anot r o d at unit investigation agency’s a nc . anot r o d at unit investigation agency’s
ac or o to a i t t co ainant in i in c ar it oca a n orc nt i a cri i i a cri i n orc nt a oca it c ar i in in co ainant t a i t to o ac or i a cri i n orc nt a oca it c ar i in in co ainant t a i t to o ac or
o d icti i d or o d icti i d or
t roc d r . co ntr t In dra tin a o 4. . roc in a ation or r rra . r i or a a arat ri t to a aid t ro icti a i tanc . Whileit is theconcerned agency’s decisionwhether to turn the subject of the t roc d r . co ntr t In dra tin in his/her agency’s SEA policy. SEA agency’s his/her in roc d r a ro riat t o o t or r anitarian a and ar , a nc or ani ation ac or c ann ortin a o 4. . roc in a ation or r rra . r i or a a arat ri t to a aid t ro icti a i tanc . policy. SEA agency’s his/her Whilein it is the roc d r concerned agency’s a ro riat t decision o o whether t or r to turn the subject anitarian of a the and ar , a nc or ani ation ac or c ann ortin a ation a ation ari accordin to to accordin ari to accordin ari co aint t con d to a ta . ac o an nd r tood or nctiona int rna int rna nctiona or an nd r tood o ac ta . a to con d t co aint int rna nctiona or an nd r tood o ac ta . a to con d t co aint
or c rtain or ani ation c rtain or or ani ation c rtain or
d ci ion o t or ani ation to r r a ca to t nationa a t oriti a r ir t t r ir a a t oriti nationa t to ca a r r to or ani ation t o d ci ion t r ir a a t oriti nationa t to ca a r r to or ani ation t o d ci ion r r co ainant to to co ainant r r to co ainant r r
through the staff’s internal complaints system, which will be forwarded by by forwarded be will which system, complaints internal staff’s the through by forwarded be will which system, complaints internal staff’s the through a nc or ani ation, or a ain t ta o anot r a nc , t r ortin roc d r i to to i roc d r r ortin t a nc , anot r o ta a ain t or a nc or ani ation, to i roc d r r ortin t a nc , anot r o ta a ain t or a nc or ani ation,
it t int rna roc d r o i r a nc . i r o roc d r int rna t it a nc . i r o roc d r int rna t it . . ci ic , t o d con t it or r ant c rit r onn on on r onn c rit r ant or it con t o d t , ci ic on r onn c rit r ant or it con t o d t , ci ic
ro t. In t nt t at a r i or i to a a co n , t t co n , a a to i r i or a t at nt In t ro t. t co n , a a to i r i or a t at nt In t ro t.
conc rn d a nc or ani ation. conc rn d a nc or ani ation. conc rn d procedures reporting internal agencies’ procedures reporting internal agencies’
4 4 a no con id nc in t oca ana nt tr ct r , t n a r ort o o r ort a t n tr ct r , ana nt oca t in con id nc no a o r ort a t n tr ct r , ana nt oca t in con id nc no a
to t a ro riat a nc i t t i a nc a ro riat t to t i a nc a ro riat t to
oint oint . co ntr . co ntr . r on. r on. a and c o ocia a i tanc c o ocia and a a i tanc c o ocia and a i r r t r i or to i tin a r ic i. . t ro t ro i. . r ic a i tin to r i or t r r i t ro i. . r ic a i tin to r i or t r r i anitarian or r a an o t r ortin r ortin t o an a or r anitarian r ortin t o an a or r anitarian
t ro rr ortin roc d r or n t ro rr ortin roc d r or n
ci ic t a c ar roc d r in in roc d r c ar a t ci ic in roc d r c ar a t ci ic
i in con or it it t ir int rna roc d r and and roc d r int rna t ir it con or it in i and roc d r int rna t ir it con or it in i , , ain oint o oint ain o oint ain ion .Id a , t t i r ir ora or ion .Id a , t t i r ir ora or accordin accordin
to in o t oca a t oriti . i n t t i n a t oriti . oca t in o to t i n a t oriti . oca t in o to a nc , a nci r c i in int rna int rna r c i in a nci , a nc int rna r c i in a nci , a nc In c tiona circ tanc , . . i acc acc i . . circ tanc , c tiona In acc i . . circ tanc , c tiona In
In o t ca t i i in o r ortin r ortin in o i t i ca In o t r ortin in o i t i ca In o t
. a i ortant, t roc or . a i ortant, t roc or ortin ro t i co ro i d, or t at ortin ro t i co ro i d, or t at
contact o d contact o d to t a ra or o ac to t a ra or o ac Int r Int r co aint o r to nationa a t oriti , a t oriti , nationa to o r co aint co aint o r to nationa a t oriti , a t oriti , nationa to o r co aint
a nc . o aci itat aci itat o . a nc aci itat o . a nc ro id r ro id r nc nc ct o t o aint i i t o aint o ct i t o aint o ct oint oint , n , n
at t r iona or or r iona t at or r iona t at co co oint oint t ta i d t ta i d t a t . a t . or r in t t in or r t in or r
a ro riat , a ro riat , arn o o arn o arn
o anot r anot r o anot r o , o r o r , o r , o d o d i r i r i r
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 59 Int r nc
4. . roc in co aint Int r nc
co aint i a d t oordinator nd r trict condition o con id ntia it to4. . d t r in roc in t ir c nat r o aint and t o n iti it riorit . oordinator, a t r on d i nat d to a co aint , t i n con id ntia it nd rta in . co aint i a d co aint in ord r i to id nti a d t o ic t a i cond ct oordinator a in it in nd r t trict co condition o a o con id ntia it oitation and to a .d t r in c t ir an nat r a nt and t i n c ar o n iti it riorit . a t o co aint oordinator, r c i d a t a r on d i nat dar non to a in nat r , co a tint , t i t a nt i n con id ntia it i not in an nd rta in . a a act indin co aint roc d r . i ro o t oordinator i not to tantiat a c ai or d t r in t r t r i ici nt a i or a d in ord r to id nti t o ic a i cond ct a in it in t co o a in ti ation, oitation and t a .on to c d t r in an a nt i t co a i n c ar int con tit t a t an o a ation co aint and r c i d to r r t a icti r i or ar non to t ina ro riat nat r , t r ic . t i a nt i not in an a a act indin roc d r . ro o t oordinator i not to tantiat a c ai or d t r in t r t r i ici nt a i or in ti ation, t on to4.2.2 d t r in (a) Referrals i t forco a immediateint con tit t assistance an a ation and to r r t icti r i or to t a ro riat r ic . Preliminary Assessment nc an a ation i r c i d, an i diat a nt o t victim’s health, security,4.2.2 and(a) psychosocial Referrals for needs immediate must assistancebe conducted. Depending on the CBCM’s tr ct r , t i can carri d o t t oordinator, a d at d r a nc Preliminary r r ntati Assessment train d nc in a n icti a i tanc a ation ro i ion,i r c i d, or an i diat a r ant a nt icti a i tanc o t victim’s tr ct r health,a ai a security, on it . and cor psychosocial ro i ion o needs int r must a nc be conducted. Depending i t at t i on a ntthe CBCM’s i ntir ind nd nt ro ad ini trati action ta n on t co aint, inc din ot r rra or tr ct r , t i can carri d o t t oordinator, a d at d r in ti ationa nc r r ntati and t o tco train d o in an icti initiat d a i tanc ca . ro i ion, icti or co ainant a r ant icti ar ntit d a i tanc to a tr ct r n d a nt. a ai a on o ainant it . cor o ro i ion ar not o int ra d a nc icti , inc din i t o r i t at t i a nt , a a o i ntir r ir aind nd nt ica c rit ro ad ini trati a nt and action ot r ta n a ard on t toco aint rot ct ,t ir inc din int r t . ot i r rra roc or ANNEX 3 o d d o d t ro con tation it r ant r ic ro id r and icit o t in d in in ti ation and 8t o tco o an initiat d ca . icti co ainant ar ntit d to a n d t a nt. . o ainant o ar not a d icti , inc din i t o r , a a o r ir a ica c rit a nt and ot r a ard to rot ct t ir int r t . i roc Referral o d for d o d Services : t ro Based oncon tation identified needs it r ant and the r ic victim’s ro id r consent, anda referral icit for appropriateo t in d in r ic t inc din . 8 c o ocia , a t car , and a t c rit t ad a d at d r o t i. . t oordinator, r a nc r r ntati , or a r ic ro id r d i nat d t to carr o t t a nt a d t r in d t t rin Referral for Services: Based on identified needs and the victim’s consent, a referral for appropriate o itt r ic inc din . r rra c o ocia , c ani a t car , d o dand a t c rit d o d t d rin t ad initia ad i n d at d o a r , o o o in t a d tai d i. . a t in oordinator, rci r a ai a r r ic a nc and r r ntati r rra at a , or ar a id nti i d r ic in ro id rt i ntation d i nat d it . t r ic to carr and r rra o t t roc d r a nt i a in or d t r in d o r i or t t rin acc o itt ci ic or . o r rra a i tanc c ani and ic d a nci o d ro id d o d t d rin i. . at initia c inic, d i n a o a r ic , ro ra o o in a d tai d or icti a o in a rci io nc r na ai a a ro riat r ic , and tc. r rra i tin at a ro ra ar id nti i d nationa , in t , i ntation o t, tc. in it . d in r ic t ttin and t atr rra t roc d r ini i o rationa in or o tandard r i or o d acc ci icint rat d or into t o a i tanc r rra and at a . ic a nci I o ro id r ic t ar i. . not a a ai a c inic, or ai a to t r ic a ic ro ra tandard , artici atin or icti o a nci or ani ation a io nc n t a ro riat a r on, tc. a i tin tandard ro ra rotoco or nationa , c inica , ana nt o t, a tc. ic in a d o i in t in t ttin d o nt t at t o ini t . o rationa tandard oordinator o d int rat d o d ro id dinto t it r rra doc ntation at a . I on o t r rra r ic na , ar ocation, not a ai a t o o car r ai ro id r, to t a ic tc. or o r i t. actor o a int r i or ot r i a dir ct contact it icti i tandard , artici atin a nci or ani ation t a r on a tandard rotoco or c inica ana nt a i iar it a t ic idin a rinci o i in t and d o nt a to t o t t .into ractic . In a in t oordinator a nt o d or r rra ro id d to r ic , it t o o in doc ntation con id ration on t r rra a a o na , ta n ocation, t o car ro id r, tc. or o r i t. actor o a int r i or ot r i a dir ct contact it icti i a i iar it t idin rinci and a to t t into ractic . In a in t a nt or r rra to r ic , t o o in con id ration a a o ta n
o o d to, . ., a t r or co aint. Statement of Commitment (2006) #8 (“Provide basic emergency assistance to complainants of sexual exploitation and abuse”). 8 In d t idanc on icti a i tanc i ro id d in t I t ractic id . i o o d nction to, o d . ., a t r d t r in d or t co ai t rin nt. o itt n d i nin t , and c ar artic at d in t Statement roc d r . of Commitment (2006) #8 (“Provide basic emergency assistance to complainants of sexual exploitation and abuse”). idin rinci a o . 8 In d t idanc on icti a i tanc i ro id d in t I t ractic id . i nction o d d t r in d t t rin o itt n d i nin t , and c ar artic at d in t roc d r . idin rinci a o .
60 ANNEX 3 4. ComplaintMechanismProcedures ega ustice res onse ega ustice ecurit and sa et res onse sa et and ecurit s chosocia res onse s chosocia Health/medical response Health/medical
• • • • • • • • • • • •
In an ca , r rra i ad to nationa to ad i r rra ca , an In cri ina cod cod cri ina con nt in or d r i i n a icti t o and con o ro , i itation , roc d r , t o icti t in or on t and c ar i actor a o o r t a co n o t at a r ant arti ar c ar a o t o do at do o a o t c ar ar arti r ant a t at o co n a r t d o in n n a d and id nti i d to n d actor ad r . co nit or d r a c actor ara a attorn , or ro c tor , d ,and o ic r t o co rt, and traditiona tic o ic rot ction inc d can actor a tic int r ntion, i at t a ti ta into acco nt acco nt into ta ti a t at i int r ntion, t ind o i i and d. i i o ind t a nci or indi id a , and d o nt o t in o di c ion a o t o r i or a a ri t to contro o in or ation a o t t irca i ar d it ot od r ant and ri t , an rinci , idin t inc din , to r on and o r ntion on trainin r c i t actor c rit t ir ro t ir c r plan for a survivor, they must have clearly delineated responsibilities in the CBCM’s SOPs; CBCM’s the in responsibilities delineated clearly have must they survivor, a for plan a c rit nactin or or r ntion n ra or t d ar r ic to n d actor c rit . or r on i i itar t and or ac r , o ic , t a , atc c rit and a t conc rn a addr d ca c rit r onn , n i or ood acc in n d d r ic , a a ort and a i tanc it ocia r ocia it a i tanc and ort a a r ic , n d d acc in in r i or a i t to ad ocac and ana nt ca inc d a o ort c o ocia ct o a a and a a o ct ar and a , i t, a , o in inc din tra a, ro a in o n and ort ar n d d to a i t it c o o ica and irit a r co r and cti . dica tr at nt t don it in o r or contrac tion icti a a non a a icti doc ntation, and and doc ntation, and or di a in ri , o tr at nt and a ination inc d t car a t a ini , t
c rit actor t nd r tand t at an icti a not i or c rit c rit or i not a icti an t at nd r tand t actor c rit In or ation a o t i tin c rit a r t at can r nt rt r ar t a d a d t ar rt r r nt can t at a r c rit i tin a o t In or ation In or ation a o t roc d r , ti in , and an inad aci or ro in nationa or ai a ort i or a a roc din or r di t ro a t rnati tic tic a t rnati t ro r di or a roc din or a i ort ai a r trator tandard traditiona t ar initiat d ar t it r onn t train d on or t ir or and nd r tand an i itation o o an i itation nd r tand t ir or and or on train d t it r onn
a i tin a o tion . i inc d i o tion . a a i tin
tic o tion i. ., tic c ani t at do not t int rnationa a a int rnationa t not do t at c ani tic i. ., o tion tic : it r ard to icti con nt icti to r ard it hen a ro riate
n ant d r nanc , r nanc , n ant d
id nti i d and n a d d rin t d o nt t o .I t ir o o car o o : i i r i t nt in ri , cia i io nc a d and d a io nc i cia in ri , r i t nt i i
, it ro and r on i i iti c ar ari d i a icti i a icti ari d c ar r on i i iti and it , ro
:
c o ction o ini or n ic id nc , id nc , or n ic ini o o ction and , o r, t t nd r tand t oca oca t nd r tand t t o r, ,
cri ina
r , a aid a i tanc ro id r c a a c ro id r aid a i tanc a r , ond ct o
c rit i in t co nit . t in i c rit
tic t t o ic on i i on o ic t t tic Int r
nc
or tr at nt o I to I to o tr at nt or int ration. t at ar a on t t a on ar t at
r ntion o rot ction
dica dica
r r
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 61 Int r nc
• raditiona or a t rnati di t r o tion c ani i t in an r nc cont t Int r nc and a r ra to t icti . c ani ar a r ction o t ocio c t ra nor in t co nit and, n i t a not rot ct t ri t o o n and ir , • t i raditiona r r nc or ta t rnati r ct d. di t r o tion c ani o d acti i t n a in an r r nc o traditiona cont t tic and a t r ra in t tod o nt t icti . o t c ani int r a nc ar a r ction o t and ocio in trainin c t ra or o nor in t a o t co nit and and, an n ri t . i t a not rot ct t ri t o o n and ir , t i r r nc t r ct d. o d acti n a r o traditiona tic t 4.2. in 2(b)t Processingd o nt SEA o a llegationst int r for a nc referral and in trainin or o a o t and an ri t . oordinator i dir ct or ard a co aint t ro a o aint rra or to t 4.2. d art nt2(b) Processing r on i SEA allegations or r c i in for referral co aint it in t a nc or ani ation r t ct o t co aint i o d to carr o t rt r action, inc din a in t oordinator actiona i it i o dir ct t co aint, or ard a in ti at co aint in , and ro idin t ro a d ac o aint to r i or co ainant rra or to int accordanc d art nt it r on i t ir int rna or r c i in o ici . o aintco aint rra it in or , t inc d a nc or ani ation a d tai ro id d r int t ct initia co ainto t co aint inc din i t o d id ntit o to t carr co ainant, o t rt r r i or action, i inc din di r nt ro a in t co ainant, t actiona i it and ct o t o co aint, t co aint. in ti at in , and ro idin d ac to r i or co ainant in accordanc it t ir int rna o ici . o aint rra or , Specialinc d Note a d tai on complaint ro id d referrals in t initia : co aint inc din t id ntit o t co ainant, r i or i di r nt ro t co ainant, and ct o t co aint. In circ tanc r t co ainant i anon o , t t ct o t co aint and t a nc Special r Note on complaint or i referrals no n, t : a ation i ti or ard d to t at a nc or o o in accordanc it it in ti ation o ic and roc d r .
ANNEX 3 In circ tanc r t co ainant i anon o , t t ct o t co aint and t In the event that the subject of the complaint is unknown, but the complainant and the SOC’s agency a nc r or i no n, t a ation i ti or ard d to t at a nc or o o i no n, t a ation i or ard d to t at a nc or o o . in accordanc it it in ti ation o ic and roc d r .
I t co ainant i no n, t n it r t id ntit o t or i r o in a nc i In the event that the subject of the complaint is unknown, but the complainant and the SOC’s agency no n, t n t r t d cid t r t oordinator or ot r d at i no n, t a ation i or ard d to t at a nc or o o . a int r i t r i or in ord r to o icit or d tai a o t t a ation, in t t int r tI t co ainanto t r i or i no n, a a t riorit n it r and t t id ntit n d o to t ini orint r i i r o in in ord r a nc to a oid i r tra a ti ation no n, t n t and ot ntia r conta intaion t d cid o t r id nc . t oordinator or ot r d at a int r i t r i or in ord r to o icit or d tai a o t t a ation, in t t I n it r t co ainant, nor t id ntit o t or i r o in a nc i no n, t n t int r t o t r i or a a riorit and t n d to ini int r i in ord r to a oid r t d cid on a a and cti roc d r to in ir it co nit r r tra a ti ation and ot ntia conta intaion o id nc . about SEA “rumors.” I n it r t co ainant, nor t id ntit o t or i r o in a nc i no n, t n t In o r circ tanc , t d cid a on a r a and a nc cti a roc d r a an to in tit tiona in ir it co aint co nit and in r roc d r about SEA t at “rumors r ir .” it ta to r ort a no n a ation dir ct to i r in ti ati nit at ad art r . In c in tanc , i an a nc ta r on r c i an in r on co aint a o t an incid nt, t ta r on a r ort t a ation dir ct to t r ant nit in i r In o circ tanc , a r a nc a a an in tit tiona co aint and in a nc roc d r t at t at i andat dr ir it to ta r c i to r ort co aint a no n in a ation ord r to ta dir ct in co ianc to i r it in ti ati i r agency’s nit at ad art r . reporting p roc d r .In c in tanc , i a i i an a nc to ta a ation r on r c i conc rnin an in r ona ta co aint r on o a o t t at a nc an or incid nt, o anot r t a nc . ta r on In ca a o t r ort att r, t a ta a ation r on dir ct a r ort to t an r ant a ation nit in o in in i r a ta a nc r on t at i o andat danot r a nc to r c i dir ct , co aint ic i t n in ord rr r tot ta a ati in co ianc on to t it a ro riat i r d art ntagency’s reporting o t a nc proc d r . r t i ct a i o tot co aint a ation i o d. conc rnin i a roc ta r on i r o t at to tr a in a nc or o r ortin , anot r ini i in a nc . In ca t o n r t att r, o r on a ta r on ri to a n iti r ort anin or ation, a ation in o in and a oid a inad rt nt ta r on a o atanot r t i d a nc . dir ct i roc d r , ic can i a o t n r r d t in anitarian a ation to ttin t a ro riat t at ac and art nt int ra nc o .t a nc i n r t at t t ct a o o roc t co aint a i co aint o d. r i i roc t , i r it i to tr a in r ortin , ini i in t n r o r on ri to n iti in or ation, and a oid inad rt nt a at t i d . i roc d r can a o d in anitarian ttin t at ac an int ra nc . i n t at t a o roc a co aint r i t , it i t od I o aint rra or inc d d in t nn . i department will vary among organizations, i.e. the investigative unit, or a “complaint review unit.” The CBCM SOPs must clarify which department this is for each member agency, and provide the department’s contact information. or o a nci , r o rt i nt dir ct to t in ti ation nit. t r a nci r ir ta to it r ort t to od ot r d art nt ,I o aint c rra a an or o rc , inc d d t ic , in t nn . tc. i department will vary among organizations, i.e. the investigative unit, or a “complaint review unit.” The CBCM SOPs must clarify which department this is for each member agency, and provide the department’s contact information. or o a nci , r ort i nt dir ct to t in ti ation nit. t r a nci r ir ta to it r ort to ot r d art nt , c a an o rc , t ic , tc.
62 ANNEX 3 4. ComplaintMechanismProcedures r ortin . doc ntation ni or a i i and trainin to tr a in on to a or ani ation ci ic c i it to cti o t it ind it i d an doc ntation. t i co t o a rinci . r ortin . a ro riat train d on o doc ntation ni or to i a i i and o t trainin t to tr a in on or to a and or ani ation o ci ic to act i c i it to cti o t it ind ar it i d an doc ntation. t i co t o a i rinci . a ro riat train d on o to i o t t or and o to act i r antI odi oc d ar on , o t at t ar a ri d o c rr nt tr nd . Incident data should be shared i with Humanitarian Coordinators, agencies’ investigation units, and int r n o t di r nt o i act i not o i to ainta ict r r ant t o I ro , odi ta i oc d a in a on , ro o ic t at a r to t ar a ri d o c rr nt tr nd . to na r iona and nationa dataIncidentco ari on data should be shared with Humanitarian tandar Coordinators,to ac in agencies’ t ort investigation it , ario units, acro and occ rrin inta and int r n o t di r nt o i act i not o i to ainta ict r t o ro , ta i a in a ro ic a r to to na r iona and nationa dataco ari on tandar to ac in t ort it , ario acro occ rrin inta and n r t at n ra ro ra or r ic or ro ra n ra t at n r co aint r c i dt ro a ar not r at d , to t a t d a int r t to r ic or ro ra n ra t at n r co aint r c i dt ro a ar not r at d , to t a t d a int r t to and r ortin o non ata anage ent: and r ortin o non ata anage ent: a i a i ro ann r. ti ro ann r. ti addr n ra n ra addr I . t o a , t t and cr di i it , n ra addr I . t o a , t t and cr di i it , 4 4 data trac in r o . o r ort t o oordinator t noti a nc in ti atin t t at r co nd d i data trac in r o . o r ort t o oordinator t noti a nc in ti atin t t at r co nd d i
or or ro i ion i , i r cord d and a i tanc anitarian road r a rat r t a ation, an in o not do t at co aint or ro i ion i , i r cord d and a i tanc anitarian road r a rat r t a ation, an in o not do t at co aint ot roc in ti a a ti roc in ot o ici . a nc it co ianc or a ti roc in ot o ici . a nc it co ianc or co aint ar and ar co aint and ar co aint or ard d to t r anta nc or ard d to t r anta nc r c i d and t dat t and r c i d da . it in oordinator t i r ir d action rt r t at and no r c i d a r t to con ir dat r c i t. t and conc rn dr c i d a nc o d ndcon ir ation a r c i d t a ro riat nitda . in t conc rn d a nc ,t oordinator o d a o inc d a co aint t it in oordinator t i r ir d action rt r t at and no r c i d a r t to con ir r c i t. conc rn d a nc o d ndcon ir ation a r c i d t a ro riat nitin t conc rn d a nc ,t oordinator o d a o inc d a co aint t acco nta i it . acco nta i it .
to t to t to it a nc d ac to t co ainant r i or, ic ic co ainant r i or, t to d ac a nc it ic co ainant r i or, t to d ac a nc it a oon a r a ona o i a oon a r a ona o i co aint a not d r n c ar i ort orc o r o it o n nco ra i a t ractic t t at tran ar nc andacco nta i it r c i in o t ac no d nt co aint a not d r n c ar i ort orc o r o it o n nco ra i a t ractic t t at tran ar nc andacco nta i it r c i in o t ac no d nt ard o co , t o d r cord t r c i t and r rra o ot and non and and r c i t o ot r rra ard o d t r cord o t co , a a non o a ca , in and in in o d r on o n r t ini i to ord r in c t r r ant I t conc rn d a nc c ar i indicat d, r ort o d tran rr d dir ct to t rat rt an t ro t non and and r c i t o ot r rra ard o d t r cord o t co , a a non o a ca , in and in in o d r on o n r t ini i to ord r in c t r r ant 4. . o nicatin in ti ation t I t conc rn d 4. . a nc cordin c ar i andindicat d, trac in ca and in . r ort o d tran rr d dir ct to t rat rt an t ro t 4. . o nicatin in ti ation t 4. . cordin and trac in ca and in . r o o d on, not t t o a in . i n t at t at i n . a in t o t not on, o o d r t at i n . a in t o t not on, o o d r in o t t Incid nt ort or t don con i t nt a o t or o t atr ort in o t t Incid nt ort or t don con i t nt a o t or o t atr ort tandardi d. r on c ar d it co ctin in or ation ro co ainant o d tandardi d. r on c ar d it co ctin in or ation ro co ainant o d
i ac no d nt can a tandard noti ication tatin r t at t co aint a a co aint t t at r tatin noti ication tandard a can ac no d nt i a co aint t t at r tatin noti ication tandard a can ac no d nt i c t r ctor coordinatin t at t at coordinatin c t r ctor t at coordinatin c t r ctor
ar trainin o d ro id d to n r t at a i d ar i d in t a a a a t in i d ar a i d n r t at to ro id d o d trainin ar a a t in i d ar a i d n r t at to ro id d o d trainin ar . . n iti or a rot ctioni ication . n iti or a rot ctioni ication .
a att r o d di i nc to n r t at t a ation a ro r r rr d and and r rr d ro r a a ation t t at n r to di i nc d o att r a and r rr d ro r a a ation t t at n r to di i nc d o att r a 4. . 4. . or n iciari to a ait in t , a co aint r ort d to it t t it to r ort d co aint a , t in ait a to n iciari or t it to r ort d co aint a , t in ait a to n iciari or
a a
. i . i . nitarian a i tanc co aint a i tanc nitarian co aint a i tanc nitarian r ar r on i or n rin t at t r i r ar co i ation r ar r on i or n rin t at t r i r ar co i ation cordin and trac in ca and in ca trac in and cordin and in ca trac in and cordin id nti in incid nt data. i n t ti t i n data. incid nt id nti in ti t i n data. incid nt id nti in 4 4 roc in ti or a co aint aco aint or ti roc in aco aint or ti roc in
o d not not o d not o d d in ord r contri t to to a or co r d in ord r contri t to to a or co r
c ar c ar
, ,
and and and tion to addr t i , nor cti ot a ar in tr nd . tr nd . a ar in ot cti nor i , t addr to tion tr nd . a ar in ot cti nor i , t addr to tion . . tran rr d tran rr d tran rr d stated in the CBCM’s SO the CBCM’s in stated SO the CBCM’s in stated at and indin to t . non i d d ac on ca tat to to t tat ca on d ac non i d . t to indin and at to t tat ca on d ac non i d . t to indin and at no on r no on r con d it t d ac to t on ca tat ca on t to d ac t it con d tat ca on t to d ac t it con d r on . . t r, , tc. o t at t co aint can can co aint t t at o tc. , t r, . . r on can co aint t t at o tc. , t r, . . r on
ran r o non o ran r non o ran r
r at d co aint ar a o ar co aint r at d a o ar co aint r at d t t t an t an . it o t con i t ntandco r n i data it i . it o t con i t ntandco r n i data it i dir ct dir ct dir ct
, it , it
co t o co t o
48 o r ro t ti t oordinator r c i 48 o r ro t ti t oordinator r c i i i or or
n icia to a o trac t r o t non t t r o trac a o to n icia non t t r o trac a o to n icia to t r ant r ant t to r ant t to
co aint t a o ad in a in ad a o t co aint a in ad a o t co aint ar ar
r rra r rra d ti . d ti .
a o nco ra d and a don in in don a and nco ra d a o in don a and nco ra d a o
. .
ri nc o o ri nc o ri nc Int r Int r
to t t to t to n accordanc it t idin idin t it n accordanc idin t it n accordanc
addr d. i r r t t r r i addr d. t r r i addr d.
a nc i c ar indicat d indicat d c ar i a nc indicat d c ar i a nc nc nc a nc coordination o t t o coordination a nc t o coordination a nc i road n d to r c i and and r c i to road n d i and r c i to road n d i conc rn d conc rn d co aint . co aint .
t at t t t at t t at n n i t o o t i o t i di data r ort r ort data di r ort data di t a orit o o a orit t o a orit t
a nc a nc co aint co aint
t o in in t o in t o
a ation a ation a ation
o d o d o d , , r r
Annex 3 – Global Standard Operating Procedures onInt r Inter-Agency nc Cooperation in CBCMs 63
ata rac ing and rends na sis: t atic onitorin and a ation o t co aint roc d r i to a in t r a co aint c ani i or in and ro r ada t d to Int r nc t oca cont t, to on arn d, and to a i ro nt to t . 8 onitorin and a ation data o d co ot ro con tation it co niti i. . ati action r , ata r , rac ing tc. and and tati tica rends ana i na sis o :co a t aticint it in onitorin t . and a ation a in a co ono t co aint r ortin roc d r at or in i ac a o to a in r i t r or tr nd a co aint in co aint , c ani ic i in or in t rn aci itat and ro r a ar n ada t d o t to o ra c rit and rot ction it ation at ac it and a o ad t nt o 8 t ro ra t oca cont t, to on arn d, and to a i ro nt to t . onitorin and accordin . a ation data o d onitor d co data ot a ro inc d con tation tati tica it in or ation co niti t at i. . can ati action d to r , a r t cti n r , tc. o and t tati tica c ani , ana i . . r nc o co a o int r ortin , it in t a i tanc . ro id d a in ato co on icti , r t r ortin o ati action at or in r , ac a o and o ra r i or tr nd acti iti in co aint , in t it . ic data in ont rn co aint aci itat r c i d a ar n o d o t o ra d r at d c rit ,and a rot ction ro , t it ation o co aint, at ac and it ot rand a o r ant ad t nt actor or o t ana i ro ra and tar t d r on . artici atin a nci t a r on crit ria, t od , and roc d r or r ortin accordin . onitor d data a inc d tati tica in or ation t at can d to a r t cti n anon i d and o t ti c ani , in or ation . . on r nc incid nt . o r ortin , a i tanc ro id d to icti , r t o ati action r , and o ra acti iti in t it . data on co aint r c i d o d d r at d ca Incid nt , ort a ro ,or contain t o tr co aint, con id ntia and ot r r ant and n iti actor in or ation, or ana i t n d and or tar t dint r a nc r on . in or ation artici atin arin a nci and r i t a r i onn d crit ria, to t od a anc d, and it roc d r int rna ora nc r ortin data rot ctionanon i d o ici and ti and t in or ation survivors’ on rights to incid nt . confidentiality and anonymity.
ca 4.3Incid nt Referral ort foror Investigation contain tr and con id ntia Possible andAdministrative n iti in or ation, Action t n d or int r a nc in or ation arin and r i i n d to a anc d it int rna a nc data rot ction o ici 4. . and t rra survivors’ to t rights conc rn d to confidentiality a nc or and o o anonymity.
o t in d4.3 in Referral 4. . , itfor i Investigationt r on i i it and o t Possible Administrative oordinator toAction n r t at co aint r c i d t ro it c ani ar or ard d to t ro r d art nt in t conc rn d ANNEX 3 a nc or ani ation4. . or a ro riat rra to t action. conc rn d It i nota nc t orro o o o t to di i a ation , r t i d in iri , or r nt t tran i ion o t co aint to t r ant a nc . or cti o t in d r rra in 4. . to t , it conc rn di t r on i i it a nc oro t ot ntia in ti ation oordinator and o o to n r , t at ta o d r co aint r c i d t t ro a i iar it c ani it and ad r ar or ard d to t ir torespective t ro r organization’s d art nt in SEA t conc rn dreporting roc d r .a nc or ani ation or a ro riat t a action. icit It an a i not t o t inin ro o t ot t ta o d r to di i a it in ation , t r t o i d i in iri , r r co aint or r nt i. .t tran i iont o t oordinator co aint to, and t t r ant r onn a nc . in ac or cti r a nc or ani ationr rra to t conc rn d o i r c i a nc or co aint . ot ntia in ti ation and o o , ta o d r t a i iar it and ad r to t ir respective organization’s SEA reporting roc d r . nc t co aint a n t r rr d a icit to t r ant an a a nc or ani ation, o t inin ot t ta o d r t aintain it in t a a i ro o o i onitorin r r co aint and a i tanc i. . t on t at co aint , oordinator i r t d., rt rand t roacti r onn t in ac i. . rin ti ation a nc or ani ation and ot ntia di ci inar o i r c i action ar co aint . t int rna r on i i it o t conc rn d a nc or ani ation. do not in ti at co aint . nc t co aint a n r rr d to t r ant a nc or ani ation, t aintain a a i a d on ro tat o onitorin dat ar d and a i tanc t in ti atin on t at co aint a nc , ,t i r t d i . rt r onitor roacti to n r t t at i. . t in ti ationco aint a and r c i d ot nt ia t di ci inar in ti ati action nit, ar aintain t int rna c rr nt r on i i it r cord on t o t tat conc rn d o ac a nc or ani ation.co aint, aci itat contact it anddo in or ation not in ti at o co aint . to t co ainant and or r i or, and r ain a ai a to a i t t conc rn d a nc or ani ation t ro o t t n t t on r t. a d o on in or ation tat dat ro id d ar d to t t in ti atin and t a nc , r i or t on t tat i o onitoran ad ini trati to n r t at action t co ainttaken, including a r c investigation i d t and in ti ati its outcome, nit,will vary aintain according c rr nt to r cord agencies’ on internal t tat policies o ac and roc d r . o r, a ri in t i i r co nd d or tran ar nc and co aint, aci itat contact it and in or ation o to t co ainant and or r i or, and r ain acco nta i it a ai a to a i t to t t co ainant r i or, conc rn d a nc or ani ation and or onitorin t ro o t and a ationt n t t r o . on r t. o in or ation ro id d to t and t r i or on t tat o an ad ini trati action taken, including investigation and its outcome, will vary according to agencies’ internal policies and roc d r . o r, a ri in t i i r co nd d or tran ar nc and acco nta i it to t co ainant r i or, and or onitorin and a ation r o .
8 #5 Indicator 3 (“There is a mechanism for monitoring and review of the complaint mechanism.”). o on ortin at or , d o d t ro t I i ot ro ct, i a ai a on r t or to ti i . o 4. . o nicatin in ti ation tat and indin to t .
8 #5 Indicator 3 (“There is a mechanism for monitoring and review of the complaint mechanism.”). o on ortin at or , d o d t ro t I i ot ro ct, i a ai a on r t or to ti i . o 4. . o nicatin in ti ation tat and indin to t .
64 ANNEX 3 4. ComplaintMechanismProcedures int t at co d r a t id ntit o t co ainant, t co ainant, o id ntit t r a co d t at int r i or ani ation. t and d r t o and co aint a o t or ani ation, t o c ani r ortin i tin t it in r ort, t co ainant, o id ntit t r a co d t at int r i or ani ation. t and d r t o and co aint a o t or ani ation, t o c ani r ortin i tin t it in r ort, or ani ation a or ani ation a nc in ti ation in o in anitarian ta a or ani ation a nc in ti ation in o in anitarian ta to initiat in ti ation oon r. in ti ation initiat to oon r. in ti ation initiat to o ici in t nt t at t ir ta i acc d o . o acc d i ta t ir t at nt t in o ici . o acc d i ta t ir t at nt t in o ici or t ir ctor o an or ani ation an or ani ation o ir ctor t or an or ani ation o ir ctor t or 4 4 a nc an to r rr d Int rna a nc o i c a nc an to r rr d Int rna a nc o i c o n int rna o ici in ca r a n ro n. t ir it accordanc in action di ci inar a ro riat ta to co itt d ar a nci r , in o, t contrar . to id nc o n int rna o ici in ca r a n ro n. t ir it accordanc in action di ci inar a ro riat ta to co itt d ar a nci r , in ti ation . int rna a to cor ar roc d r rtain in o, t contrar . to id nc in ti ation . int rna a to cor ar roc d r rtain and in ti ation roc d r , int ac in t i t t at co it nt co on a a a nci r con id ntia it , and t donot r ir an o rarc in in ti ation o ic . at r, in ti atio . . and in ti ation roc d r , int ac in t i t t at co it nt co on a a a nci r con id ntia it , and t donot r ir an o rarc in in ti ation o ic . at r, in ti atio . .
a ation . a ation . int r t oca and a r int r t oca and a r i r. a ation t a o t t co aint o ct t in or t a nc in ti atin t i r. a ation t a o t t co aint o ct t in or t a nc in ti atin t c rtain a nci c rtain a nci c rtain a it i o ti i d at t o ti ti i d a iti o roc d r a nc int rna aintainin i ro nd, t on ca acit incr a and in ti ation in a nc conc rn d at t o ti ti i d a iti o roc d r a nc int rna aintainin i ro nd, t on ca acit incr a and in ti ation in a nc conc rn d tandin oo o tandin oo o
In t ac o a r c ntco r n i a nt o ac in , cr tar n ra i an In t ac o a r c ntco r n i a nt o ac in , cr tar n ra i an ordisciplinary action, and/orreferral to theinc d a relevant i authorities a . and forappropriate oitation a action, co it including o criminal r onn o r prosecution”) a ain t action a ro riat and consequences and, if not, the entity is able to justifywhy not.”), and Statement of Commitment (2006) #7 (“Take swift ordisciplinary action, and/orreferral to theinc d a relevant i authorities a . and forappropriate oitation a action, co it including o criminal r onn o r prosecution”) a ain t action a ro riat and consequences and, if not, the entity is able to justifywhy not.”), and Statement of Commitment (2006) #7 (“Take swift Commitment (2006) #6 (“ of Statement and complainant”), with the is shared outcome about information and months 3 within commenced Commitment (2006) #6 (“ of Statement and complainant”), with the is shared outcome about information and months 3 within commenced or a , ianc . or andt , , o nci on tation on t it ati t a a i r tr ct rin o t t t nd o , ic i inc d t ta i nt o a , ianc . or andt , , o nci on tation on t it ati t a a i r tr ct rin o t t t nd o , ic i inc d t ta i nt o I id in I nt to t I id in I nt to t investigation practice.”). investigation practice.”). or ani ation in accordanc it it in tit tiona o ici and roc d r . i anitarian or ani ation in accordanc it it in tit tiona o ici and roc d r . i anitarian ” ”
to at r to at r a nc a r ain a ai a to a i t in in ti ation on r t on in ti ation in a i t to a ai a r ain a a nc r t on in ti ation in a i t to a ai a r ain a a nc t i n an o ort nit to an r t a ation ritin in andto rod c t i n an o ort nit to an r t a ation ritin in andto rod c ro ro n ti in , o in or ation ar d it t , a ard to n r n r to a ard , t it ar d in or ation o n ti in , n r to a ard , t it ar d in or ation o n ti in ,
r ir t at in ti ation co nc it in ont , it in co nc in ti ation t at r ir ont , it in co nc in ti ation t at r ir 4. . 4. . and r r and r r a nci or ani ation a ac t ca acit to in ti at int rna , in ic ca ca ic in int rna , in ti at to ca acit t ac a a nci or ani ation ca ic in int rna , in ti at to ca acit t ac a a nci or ani ation
. .
#8, #8, #8, #8, Indicator 3 (“Standard investigation operating procedures or equivalent issued and used to guide guide to used and issued equivalent or procedures operating investigation (“Standard 3 Indicator #8, guide to used and issued equivalent or procedures operating investigation (“Standard 3 Indicator #8,
#8, Indicator6 (“Substantiated complaints have resulted in either #8, Indicator6 (“Substantiated complaints have resulted in either d o d o n o tiona tr ct r t at artici atin a nci can c o can a nci artici atin t at tr ct r n o tiona c o can a nci artici atin t at tr ct r n o tiona #8 #8
i o d inc d ini a r on ti ro t o nta i o d inc d ini a r on ti ro t o nta or o o or o o , , Indicator . Indicator .
cia n cia n cia
train d in ti ator it in t . c a tr ct r ort tran ar nc tran ar nc ort c tr ct r a . t it in in ti ator train d tran ar nc ort c tr ct r a . t it in in ti ator train d Int rna co aint and in ti ation in ti ation and co aint Int rna in ti ation and co aint Int rna In ti at a ation o a oitation and a in ati and In ti at a ation o a oitation and a in ati and i t train d o in ti ator o can contract d to in ti at i t train d o in ti ator o can contract d to in ti at
co on co on id nc o a a i cond ct a ation. id nc o a a i cond ct a ation.
on in , t . on in , t .
, to t o nin an o a nc in ti ation r on arrant d. i , to t o nin an o a nc in ti ation r on arrant d. i ot on ot on
on t o conc rn d a nc ca ona on t o conc rn d a nc ca ona and t at in ractic t ractic in t at and t ractic in t at and
or ot r a ro riat nit nit a ro riat ot r or nit a ro riat ot r or accordanc it t ro anri t io ation t atcon tit t accordanc it t ro anri t io ation t atcon tit t . .
in ti ation id in in ti ation id in in ti ation a nc i a nc i a nc ort o d not r a an con id ntia in or ation or ort o d not r a an con id ntia in or ation or n n
ti ation o c o ti ation c o ti ation r i or, r i or,
a cond ct d t r cti a cond ct d t r cti rocedures in place,Indicator 5(“Investigations are rocedures in place,Indicator 5(“Investigations are or a , in a , or in a , or i t ir r cti in ti ation in ti ation r cti t ir i in ti ation r cti t ir i
to to to
n a to to a n to a n or or d rin in ti ation or d rin in ti ation
or r trator. or r trator. or o aint o aint o aint rod c rod c cr tar cr tar Int r Int r
an ann a or ani ation ann a an or ani ation ann a an nc nc
di ci inar action or contract a contract a or action di ci inar contract a or action di ci inar nco ra acco nta i nco ra acco nta i nco ra
t int r t o d roc , roc , d o int r t t roc , d o int r t t
t a nci t a nci t General’s remarks to Security General’s remarksto Security General’s remarksto Security 4 4 ca a i . ca a i . ca
o to o i a o to o i a professional manner”). professional manner”). professional “ “ oon anno nc d a oon anno nc d a i diat r on i diat r on rna co aint co aint rna co aint rna
o d tri o d tri ad ini trati ad ini trati ad ini trati
co aint co aint In addition, In addition,
o t inin o t inin ro t t ro t ro
a ain t a ain t a ain t it it id id id
i i i i i i
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 65 Int r nc
4. . o nicatin in ti ation tat and indin to t Int r nc
As a practical accountability tool, member agencies’ investigative units are strongly encouraged to ar tati tic on4. . o nicatin ca r ort d in ti ationand or in ti at d, tat and and indin di ci inar to t a r ta n i an , it t at t it r t incid nt a d occ rr d t r or not t co aint a 8 Asinitia a practical r c i d accountability t ro t tool, member. agencies’ o d ro id investigative r ar units dat are stronglya o t t encouraged tat o an to in ti ation ar tati tic to ont ca in ritin r ort d and or and or at in ti at d,r ar tin . and di ci inar cont nt a r and r ortin ta n c d i an , or it c t tat r ort at t a it r c ar t o t in dincid nt in a d t occ rr d . t r or not t co aint a initia r c i d t ro t . 8 o d ro id r ar dat a o t t tat o an in ti ation o tod tai t ro i d d in on ritin t tat and or o at ad ini trati r ar tin . action ta n cont nt on anand a ation r ortin i c d ar accordin or c tat to r r ort a nc a roc d r , c ar o t in d and a in t i it d . to n ra dat on t tat o t in ti ation i. . t at it a co nc d or i in t id nc at rin ta rat r t an a d tai d ca ana i , o d tai accordin ro i d dto int rna on t tat con id ntia it o ad ini trati o ici . action o r, ta n co nication on an a ation t n i ar t accordin in ti atin to ra nc anda nc roc d r , i cr cia and or a cti i it d ca and in to n ra and dat acco nta i it on t tat o to t in ti ation r i or. i. . co on ntt at it a co nc do t int r or a nc i in t id nc at rin i t ta t atic rat r onitorin t an a d tai d and ca a ation ana i , o ca accordin and in , to int rna ic r ir con id ntia it contin it , o ici . tran ar nc , o r, and co nication at a t ini a t n o r i t. t in ti atin o t t nt a nc o i and and in coordinationi cr cia or it cti int rna ca in ti ati and in and o ici acco nta i it and roc d r , to t a nci ar nco ra d to ro id t o o in in or ation to t r i or. co on nt o t int r a nc i t t atic onitorin and a ation . n o ca t co aint and in , a ic r c i d r ir contin it ,in ti ati tran ar nc , nit and at a t ini a o r i t. o .t n t r t nt o i in ti ation and in coordination co nc d it or int rna t co aint in ti ati a d t r in d o ici and an roc d r ,in ici nt a nci a i ar nco ra d to roc d to ro id t o o in in or ation to t . n t in ti ationco aint a conc r c i d d d in ti ati nit 4. . n t r o tco o in ti ationt in ti ation co nc d and or t co aint a d t r in d an in ici nt ANNEX 3 . n t r a i to roc d o tco or an in or ation a ro id d to t r i or, or i ro idin . feedback n t isin ti ation prohibited by conc the d d investigating agency’s internal policies. 4. o tco o t in ti ation and After . the n t r investigation haso tco been completed, or an in or ation agencies’ field a representatives ro id d to t shall r i or, inform or the i CBCM ro idin on t tat feedback o t in ti ation is prohibited and by theaction investigating ta n in a agency’sti a ion, internal ic policies. a don in accordanc it t rotoco o ac or ani ation or arin c in or ation. After the investigation has been completed, agencies’ field representatives shall inform the CBCM on t tat o t in ti ation4. .4 ro id and action d ac ta n to in r i or a ti and a ion, co ainant ic a don in accordanc
it t rotoco o ac or ani ation or arin c in or ation. ta o d r o d in or int r t d arti o t tat o a i d co aint. co ainant and t r i or i arat a an int r t in r c i in d ac on t ca i d on 4. .4 ro id d ac to r i or and co ainant t ir a . ct o t co aint a o a an int r t in t co aint i d a ain t i r, t t i ta o d r i not t r on i i it o d in or o t int r t d arti or an o a nc t tat o oca a i d oint co aint – in or in . t ctco ainant o t andco aint t r i or i t i r on i i it arat a o t an in ti atin int r t in r c i in a nc d ac in in it on int rna t ca o ici i d on. t ir a . ct o t co aint a o a an int r t in t co aint i d a ain t i r, t t i i not t r on i i it o t or an a nc oca oint – in or in t ct o t co aint i t r on i i it o t in ti atin a nc in in it int rna o ici . 8 tat nt o o itment (2006) #9 (“Regularly inform our personnel and communities on measures taken to prevent and r ond to a oitation and a . c in or ation o d d o d and di inat d in co ntr in coo ration it ot r r ant a nci and o d inc d d tai on co aint c ani , t tat and o tco o in ti ation in n ra t r , d ac on action ta n a ain t r trator and o o a r ta n a 8 tat ntas assistance o available o itment to complainants (2006) #9 (“Regularly and victims.”). inform our personnel and communities on measures taken to prevent and o r ond a encies’ to procedures a oitation may require and SEAa . reports c toin or ation be submitted o d to the head d o d of the field and office, di inat d rather than in co ntr directly toin t coo ration in ti ati it nitot r at r ant . or a nci co aint and r rr d o d inc d to c d tai a nci , on co aint ot t dat c ani , t at t a ation t tat i andr c i d o tco and no in ti ation it i or ard in d n ra to o dt r , d ac con d on action to t . ta n a ain t r trator and o o a r ta n a oas assistance t t nt available o i andto complainants in coordination and it victims.”). int rna in ti ati roc d r , a nci ar nco ra d to ro id t o o o in a encies’ in or ation procedures to conc rn d may require indi id a SEA reports toco aint be submitted r c i d to the head ca of ther ort d field office,to a nc rather ad art r than directly to t in ti ation in ti ati co nitnc d at . or in ici nt or co aint a i r rr d to roc d to c and 4 a nci , in ti ation ot t conc d d. dat t at t a ation i r c i d and n I it i or ard id in d to to I nt o d con d t to t . tat t at d ac i i i ortant to t t or ir nt t t nt o o i and in coordination #8 (“Internal it int rna complaints in ti ati and investigation roc d r , pa nci rocedures ar in nco ra d place”). They to ro id stress thatt o o in i d ac in or ation t notto conc rn dr a con id ntia indi id a in or ation, co aint t co ainantr c i d a ca t r ort d ri t toto no a nc o ad art r t ca a in ti ation and d t co in ti atin nc d or in ici ntor ani ation. a i In addition, to roc d d and roc 4 in ti ation conc rn n c itat conc d d. t at t ct o t co aint i ad I a ar id in o c ar to ot I nt i d and t dro d a ain t i r. tat o r, t at not d ac a a nci i i con id r i ortant a co ainant, to t ot r ir nti not t r i or, o to a an int r t #8 in (“Internal r c i in complaints d ac . and investigation o d ac procedures i n to in co ainant place”). They i d nd nstress thatt i upon the d ac investigating t notagency’s r a internal con id ntia procedures. in or ation, t co ainant a t ri t to no o t ca a and d t in ti atin or ani ation. In addition, d roc conc rn n c itat t at t ct o t co aint i ad a ar o c ar ot i d and dro d a ain t i r. o r, not a a nci con id r a co ainant, o i not t r i or, to a an int r t in r c i in d ac . o d ac i n to co ainant i d nd nt upon the investigating agency’s internal procedures.
66 ANNEX 3 4. ComplaintMechanismProcedures i accordanc in art i , t and a nc in ti atin t t n ar d i di ination in or ation a co nc d. in ir an ad ini trati i accordanc in art i , t and a nc in ti atin t t n ar d i di ination in or ation a co nc d. in ir an ad ini trati o tco and di ci inar a r ta n, to or n ra or to ta n, a r di ci inar and o tco case specific providing from range may This procedures. internal agency’s investigating the to n ra or to ta n, a r di ci inar and o tco case specific providing from range may This procedures. internal agency’s investigating the to r i or to an r tion a n d d. r i or to an r tion a n d d. 4 co nit . t it in and tr t i din to int ra a o i co aint to r on t oro and i co nit . t it in and tr t i din to int ra a o i co aint to r on t oro and i 4 o t co aint, r cti t co aint, o tandardi ation and to a oid con ion and or r ci i nt t to acc ta ann r t ica and a a in d i r d a r cti t co aint, o a r a a oint contact o or d i r d ac o to t co ainant or r i or, ic tandardi ation and to a oid con ion and or r ci i nt t to acc ta ann r t ica and a a in d i r d a a r a a oint contact o or d i r d ac o to t co ainant or r i or, ic and o tco o tat t o ann r ti and a a in r i or t arat , i and co ainant t noti in or in or d. arti a a nc r ant t and t inta , o o in and o tco o tat t o ann r ti and a a in r i or t arat , i and co ainant t noti in or in or d. arti a a nc r ant t and t inta , o o in it r ort to t , , t to r ort it t . not a nc , t in ti atin o r on i i it , t to r ort it t . not a nc , t in ti atin o r on i i it
a d ac t at ar inc d d in t nn . oti in on o o in or or a d ac t at ar inc d d in t nn . oti in on o o in or or i d ca acit . i d t and o ici , in ti ation and int rna t ir d o in ar ic o t in ti atin a nc ,not t . o r, t d ac t at a or nationa and ca acit . i d t and o ici , in ti ation and int rna t ir d o in ar ic o t in ti atin a nc ,not t . o r, t d ac t at a or nationa and a a a
inc d t at or ro idin d ac to ot t r i or co ainant and t ct inc d t at or ro idin d ac to ot t r i or co ainant and t ct
an investigation, in accordance with the agency’s internal protocols. internal agency’s the with accordance in an investigation, an investigation, in accordance with the agency’s internal protocols. internal agency’s the with accordance in an investigation, in ti ati a nc , or t on a nc r t, a r on i r on i a r t, a nc on t or a nc , in ti ati in ti ati a nc , or t on a nc r t, a r on i r on i a r t, a nc on t or a nc , in ti ati #8, Indicator . #8, Indicator . co aint andco nit tr t, t co aint andco nit tr t, t
th the investigating agency’s internal procedures internal agency’s investigating the th procedures internal agency’s investigating the th . . t t 4 4 o d tai ro id d ro id d d tai o ro id d d tai o
o d a o r ain acc i to t co ainant or t co ainant to acc i r ain a o o d or t co ainant to acc i r ain a o o d
oti in t t oti in t oti in di rin di rin di rin ct o t o ct t o ct
t ct o t co aint i o t r on i i it t ct o t co aint i o t r on i i it int r r tation o t d ac t o int r r tation d ac t o int r r tation to int r t d indi id a indi id a int r t d to indi id a int r t d to
I t ractic I t id ractic I t id o d o d
in or ation c a ac no d in t at t at ac no d in a c in or ation t at ac no d in a c in or ation or in con nction to r ant r ant to con nction in or or in con nction to r ant r ant to con nction in or
d in at o t r on i i it or or r on i i it t o d in at or r on i i it t o d in at Int r Int r o aint o aint a a t t at on and to a a t t at on and to – – nc nc
id a in ritin in id a ritin in id a . .
, o r, , o r, , i ar accordin i ar accordin . .
. .
i o t t o i t o i
in or t t or in t or in
int r t d int r t d int r t d to n r n r to n r to
Annex 3 – Global Standard Operating Procedures on Inter-Agency Cooperation in CBCMs 67
Contact List
Investigation/SEA Reporting Units
For the most up-to-date contact information, please visit the IASC website at https:// interagencystandingcommittee.org/accountability-affected-populations-including- protection-sexual-exploitation-and-abuse and click on the “Contact List – SEA Reporting Units” box.
Agency Name of Unit Contact
CARE Intl The Secretary General Email: [email protected] Post: CARE International Secretariat, Chemin de Balexert 7-9, 1219 Chatelaine (Geneva), Switzerland
FAO Ethics Office Email: [email protected] Phone 1: +39 06 57054151 Phone 2: +39 06 57053956 ANNEX 3 IMC SEA Case Team Email 1: [email protected] (SEA Focal Point) Email 2: [email protected] Phone: +1 (310) 826-7800 Fax: +1 (310) 453-3914
IOM Ethics and Conduct Email 1: [email protected] Office
IRC Reporting Hotline Hotline: [email protected] Website: www.ethicspoint.com EthicsPoint (3rd party Phone: +1 (866) 654-6461 (toll-free in the United States) mechanism for Phone: +1 (503) 352-8177 (collect call outside the United reporting anonymously States) and confidentially)
OCHA OIOS Hotline Website: https://oios.un.org/page?slug=reporting- wrongdoing Email: [email protected]
OHCHR Thematic Engagement, Email: [email protected] Special Procedures and Email: [email protected] Right to Development Phone: +41 22 917 1234 (general switchboard) Division
SCUK Supporter Care Team Email: [email protected] (for general grievances) Email: [email protected] Phone: +44 0800 8 148 148 Accountability Post: Save the Children, Supporter Care Team, 1 St John's Programme (for Lane, London, EC1M 4AR complains related to programmes in the field - including PSEA) 68 ANNEX 3 Contact List WVI WHO WFP UNICEF UNHCR UNFPA UNDP Hotline Integrity andProtection Ethics Office General (OIG) Office oftheInspector (OIAI) and Investigations Office of Internal Audit Office Inspector General’s (OAIS) Investigation Services Office ofAuditand Investigations (OAI) Office ofAuditand Online Report: Hotline: Email: Fax: +390665132063 Hotline: +390665133663 Email: 10017, United States ofAmerica Fund, Three United Nations Plaza, New York, New York (OIAI) Investigation Section,United NationsChildren's Post: Director Officeof Internal Auditand Investigation Email: Post: 94RuedeMontbrillant, 1202Geneva-CH Fax: +41227397380 Hotline: +41227398844 Website: Email: States ofAmerica Third Avenue, 5thfloor, New York, NY10158,United Director, OfficeofAuditand Investigation Services,605 Post: UNFPA, Private andConfidential attention ofthe Phone: +1(212)2975200 Email: Online: ONLINE REFERRALFORM United States ofAmerica Investigations, 220 East 42ndStreet, New York,NY10017, Post: DeputyDirector (Investigations), OfficeofAuditand Fax: +17704095008 Hotline: +1877-557-8685(intheUSA) Hotline: +1 Email: [email protected] [email protected] [email protected] [email protected] [email protected] [email protected] Investigation hotline www.who.int/about/ethics/en/ www.unhcr.org/php/cpmplaints.php 770-776-5678 (worldwide) http://worldvision.ethicspoint.com ANNEX 4
Samples and Templates 70 ANNEX 4 4j. 4i. 4h.
4g. 4f. 4e. 4d. 4c. local context. line in Inter-Agencyon SOPs Global the with cooperation All CBCMs. in need will tools be to drafted tailored the fit to been have and Project Pilot PSEA the during produced tools upon “Generic” based are The samples initiatives. PSEA country-based various from documents sample provides Annex This 4b. 4a. CommonCodesofConduct TABLE OFCONTENTS
Monitoring surveys. Generic Feedback Form. IASC minimumoperating standards for PSEA . Mainstreaming PSEA checklist: Audit you organization against the 4g2. Sampleconfidentiality language 4g1. PSEA inpartnership agreements andstaff PSEA obligations Contract clauses. UNHCR’s pamphlet onhow staff can report SEA. Generic victimassistance referral pathway . Generic inter-agency complaint handlingflowchart. 4c2. IASCModelComplaints Referral Form (sexual exploitation andabuse) 4c1. SampleIncident Report Form Complaint forms. exploitation andabuse by (PSEA) by own staff focal persons 4b4. Ethiopia (PSEA PilotProject) –terms ofreference for protection from sexual 4b3. Genericterms ofreference –CBCMfocal points. steering committee 4b2. Democratic Republic oftheCongo (PSEA PilotProject) terms of reference – 4b1. Genericterms ofreference –steering committee Terms ofreferences Philippines 4a2. CommonCodeofConductwritten for the Typhoon Haiyan response, 4a1. CommonCodeofConductwritten for theFijiemergency response. 4j2. GenericKnowledge, Attitude, and Practices (“KAP”) 4j1. Genericsatisfaction /perceptionsurvey . Survey (baselineknowledge assessment)......
......
108 105 102 101 109 108 95 92 90 93 95 88 83 85 85 81 77 74 72 71 74 71 Annex 4 – Samples and Templates 71
CODE OF CONDUCT FOR ALL CODEWORKERS OF CONDUCT IN EMERGENCIES FOR ALL WORKERS IN EMERGENCIES This CodeCODE of Conduct OF has been CONDUCT developed for agencies FORand other actorsALL that are involved in emergency response and reconstruction activities after an emergency. This CodeWORKERS of Conduct has been developedIN EMERGENCIES for agencies and other actors that are They have a duty of care to affected women, girls, boys and men of all ages and a involved in emergency response and reconstruction activities after an emergency. responsibilityCODE to ensure OF that theyCONDUCT are treated with dignity FOR and respect. ALL All workers TheyThis Code have ofa duty Conduct of care has to been affected developed women, for girls, agencies boys andand men other of actors all ages that and are a should ensure that certain minimum standards of behaviour are observed, responsibilityinvolvedWORKERS in emergency to ensure response that they and areIN reconstructiontreated EMERGENCIES with dignity activities and respect.after an emergency. All workers regardless if the person is on or off duty. shouldThey have ensure a duty that of care certain to affected minimum women, standards girls, boys of behaviour and men of are all agesobserved, and a Thisresponsibility Code of Conduct to ensure has that been they developed are treated for with agencies dignity and and other respect. actors All workersthat are Inregardless order to prevent if the sexual person exploitation is on and or all off forms duty. of abuse including sexual, physical, emotional and neglect, involvedshould ensure in emergency that certain response minimum and reconstruction standards ofactivities behaviour after arean emergency. observed, the following core principles should be respected by anyone engaging in humanitarian assistance or taking partTheyregardlessIn order in reconstructionhave to prevent a if duty the sexual activities personof exploitation care in istoFiji: on affected and or all off forms duty.women, of abuse includinggirls, boys sexual, and physical, men emotionalof all ages and neglect,and a responsibilitythe following core principlesto ensure should that be they respected are treated by anyone with engaging dignity in humanitarian and respect. assistance All workers or taking part in reconstruction activities in Fiji: should•In orderAll workers to preventensure have sexual to that ensure exploitation certain assistance and minimum is all delivered forms of abuseinstandards a way including that is safe, sexual,of behaviourrespectful, physical, with emotional aredignity, observed, and and neglect, equally theaccessible following coreto women, principles girls, should boys andbe respected men of different by anyone ages engaging and abilities. in humanitarian assistance or taking part•regardless All in workers reconstruction have if the to activities ensureperson assistance in isFiji: on or is deliveredoff duty. in a way that is safe, respectful, with dignity, and equally • Sexualaccessible exploitation to women, and girls, all forms boys ofand abuse men byof differentworkers providingages and humanitarianabilities. assistance constitute acts of In order to prevent sexual exploitation and all forms of abuse including sexual, physical, emotional and neglect, • grossAll workers misconduct have to and ensure are thereforeassistance grounds is delivered for termination in a way that of employment.is safe, respectful, with dignity, and equally •the accessibleSexual following exploitation coreto women, principles and girls, all should forms boys ofandbe abuse respected men byof differentworkers by anyone providingages engaging and humanitarianabilities. in humanitarian assistance assistance constitute or actstaking of part in reconstruction activities in Fiji: • Sexualgross misconduct activity with and children are therefore (persons grounds under forthe termination age of 18 ofyears) employment. is prohibited regardless of the age of • majoritySexual exploitation or age of consent and all locally.forms of Mistaken abuse by belief workers regarding providing the humanitarianage of a child assistance is not a defence. constitute acts of • grossSexualAll workers misconduct activity have with to and ensure children are thereforeassistance (persons grounds isunder delivered forthe termination age in a ofway 18 that ofyears) employment.is safe, is prohibited respectful, regardless with dignity, of and the equallyage of accessible to women, girls, boys and men of different ages and abilities. ANNEX 4 • Exchangemajority or of age money, of consent employment, locally. goods,Mistaken services belief orregarding false promises the age for of sex a child including is not sexual a defence. favours or other • formsSexual of activity humiliating, with childrendegrading (persons or exploitative under behaviourthe age of is 18 prohibited, years) is includingprohibited favouritism regardless or of procurement the age of • Sexual exploitation and all forms of abuse by workers providing humanitarian assistance constitute acts of • ofmajorityExchange such servicesor of age money, of for consent thirdemployment, parties. locally. This goods,Mistaken includes services belief exchange orregarding false promisesof theassistance age for of sex athat child including is isdue not to sexual a beneficiaries. defence. favours or other formsgross misconductof humiliating, and degrading are therefore or exploitative grounds forbehaviour termination is prohibited, of employment. including favouritism or procurement • SexualExchangeof such relationshipsservices of money, for thirdemployment,between parties. humanitarian This goods, includes services workers exchange or andfalse affected promisesof assistance women, for sex that girls, including is dueboys to sexual and beneficiaries. men, favours are stronglyor other • Sexual activity with children (persons under the age of 18 years) is prohibited regardless of the age of discouragedforms of humiliating, since they degrading are based or exploitative on inherently behaviour unequal is power prohibited, dynamics. including Such favouritism relationships or procurement undermine majority or age of consent locally. Mistaken belief regarding the age of a child is not a defence. • theofSexual such credibility relationshipsservices and for integrity third between parties. of humanitarianhumanitarian This includes aidworkers work.exchange and affected of assistance women, that girls, is dueboys to and beneficiaries. men, are strongly discouraged since they are based on inherently unequal power dynamics. Such relationships undermine • Exchange of money, employment, goods, services or false promises for sex including sexual favours or other • WhereSexualthe credibility arelationships worker and develops integrity between concernof humanitarianhumanitarian or suspicions aidworkers work. regarding and affected sexual women, abuse girls, and boysexploitation and men, or areother strongly forms forms of humiliating, degrading or exploitative behaviour is prohibited, including favouritism or procurement ofdiscouraged abuse by asince fellow they worker, are based whether on in inherently the same unequal agency poweror not, dynamics.he or she mustSuch reportrelationships such concerns undermine via of such services for third parties. This includes exchange of assistance that is due to beneficiaries. • establishedtheWhere credibility a worker reporting and develops integrity mechanisms. concernof humanitarian or suspicions aid work. regarding sexual abuse and exploitation or other forms of abuse by a fellow worker, whether in the same agency or not, he or she must report such concerns via • Sexual relationships between humanitarian workers and affected women, girls, boys and men, are strongly • WorkersWhereestablished a providingworker reporting develops humanitarian mechanisms. concern assistance or suspicions are obligedregarding to sexualcreate abuseand maintain and exploitation an environment or other whichforms discouraged since they are based on inherently unequal power dynamics. Such relationships undermine preventsof abuse bysexual a fellow exploitation worker, whetherand all informs the sameof abuse agency and or promotes not, he or the she implementation must report such of thisconcerns Code via of the credibility and integrity of humanitarian aid work. • Conduct.establishedWorkers providingManagers reporting humanitarian atmechanisms. all levels assistancehave particular are obligedresponsibility to create to supportand maintain and develop an environment systems which prevents sexual exploitation and all forms of abuse and promotes the implementation of this Code of maintain this environment. • WorkersConduct.Where a providingworkerManagers develops humanitarian at all concernlevels assistancehave or suspicions particular are obligedregardingresponsibility to sexualcreate to abusesupportand maintain and and exploitation develop an environment systems or other whichforms maintainpreventsof abuse thisbysexual a envi fellow exploitationronment. worker, whetherand all informs the sameof abuse agency and or promotes not, he or the she implementation must report such of thisconcerns Code via of Conduct.established Managers reporting atmechanisms. all levels have particular responsibility to support and develop systems which maintain this environment. • Workers providing humanitarian assistance are obliged to create and maintain an environment which prevents sexual exploitation and all forms of abuse and promotes the implementation of this Code of Conduct. Managers at all levels have particular responsibility to support and develop systems which maintain this environment. 72 ANNEX 4 4a. CommonCodesofConduct Annex 4 – Samples and Templates 73 ANNEX 4 74 ANNEX 4 Areas ofwork PSEA progress, identify gaps intheCBCMprogramming, andfindsolutions. The Steering Committee will meet internally on the [1st Monday of each month] to report on Meetings and [X]UNagencies, asperthefollowing chart: institutions, [X] international organizations, [X] government [X] international organizations, national non-governmentalof [X] organizations, consists Committee Steering The level. office orsub- thecountry at agency participating CBCM ofeach sub-office) or office of head (i.e. management high-level from representative one of comprised is Committee Steering The Membership oversight onSEA prevention and response measures. and exchange, practice best coordination, for body activities. primary the its is Committee and Steering The (CBCM) Mechanism implementation, Complaints thedesign, Community-based a of andsupport monitoring and toguide is purpose Committee’s Steering The Purpose 4b1.
4b. Terms ofReferences Governance Organization / Structure Name of
Steering Committee Generic Terms ofReference • • • • • • • Organization / Focal Points, whennecessary Collectively develop solutions toaddress insufficient participation ofCBCM Review theregular update memosfrom theCBCMFocal Point meetings CBCMs to thelocal context, andutilize for the country-based CBCM Tailor theglobalStandard Operating Procedures (SOPs) template on mechanisms country-specific needs,andintegrates withother reporting/feedback that theCBCMisadequately tailored to thelocal context, meets thesite/ Determine thescope oftheCBCMinconsultation with communities agencies Implement accountability andqualitystandards withintheirrespective Actively participate in coordination meetings agencies andsupporttheiragencies’ fullparticipation intheCBCM Facilitate thenomination ofCBCM Focal Points from their respective Structure Type of Member Co-chair Chair Committee Status in Steering
Name Tel. E-mail […] , so Annex 4 – Samples and Templates 75
Finance • Mobilize resources to support the sustainability of the CBCM
CBCM • Contribute to the joint implementation of the mechanism and the Management achievement of its goals through collaboration of all bodies and good governance • Work collectively to develop SEA prevention strategies • Promote a complaint handling process that is respectful of survivors and alleged perpetrators, international norms, standards and local legislation
Advocacy and • Promote the acceptance and support of the CBCM by authorities, representation communities, donors and humanitarian actors
Exchange and • Offer an open space to exchange knowledge, experiences, and expertise learning conducive to reflection and learning on SEA issues
The Steering Committee is NOT responsible for investigation or adjudication of individual complaints and shall not deal directly with complainants. These functions rest exclusively with the individual organizations or agencies. However, the Steering Committee can act in an advisory capacity to an agency on specific allegations and investigations upon explicit agency request.
Roles and responsibilities Chair of the Steering Committee: • Coordinates the Steering Committee and oversees its activities. • Organizes, facilitates, and documents the monthly meetings of the Steering Committee and special meetings. ANNEX 4 • Facilitates the planning, implementation and monitoring of activities. • Presents reports of intermediary activities to members of the Steering Committee. • Promotes the exchange of experience and learning exercises. • Represents the Steering Committee with donors, authorities, communities, andin protection discussion forums and networks, including the Protection Cluster.
Steering Committee members: • Ensure that all staff within his/her agency read, understand, acknowledge, and adhere to his/her agency’s internal PSEA policy and SEA complaint handling procedures, including the institutional Code of Conduct, internal reporting mechanism, victim assistance and support policy and procedures, and complaint management for staff. • Raise SEA awareness among staff through induction trainings for new personnel and refresher trainings for current staff on PSEA, the Code of Conduct, the importance of complying with SEA policies, and procedures to report incidents. • Support CBCM Focal Points and ensure they have direct access to the head of office (sub- office and country office) and agency headquarters to execute their functions: 76 ANNEX 4 These Terms ofReference shallbereviewed onanannualbasisandrevised asappropriate. • • 4b. Terms ofReferences • • • the moment they are selected, includingbutnotlimited to: from (IPs) partners implementing of capacity and awareness PSEA Raise • • • • • Promote agency adherence to SEA prevention procedures, includingbutnotlimited to: • • • nld Is n SA riig, s uh s osbe t esr ahrne and adherence ensure to possible, as much as trainings, commitment to PSEA. PSEA in IPs Include PSEA own their create/strengthen and CBCM policies; the with engage to IPs Encourage obligations regarding PSEA; preventing their contractual areresponsibilities in including and cases, and reporting duties their what and means SEA whatunderstanding of clear haveIPs a that Ensure Fostering a work environment free from SEA, other forms of misconduct, and impunity. Requiring adherence to PSEA clausesincooperative agreements; Forestalling retaliation for whistleblowing onSEA allegations; Ensuring that victimassistance are services provided; Due diligence to prevent re-recruitment ofoffenders; evaluation reports. performance points’ focal CBCM into responsibilities PSEA Incorporate CBCM meetings; the inter- in engaged participate in meaningfully to and the staffallotted time regularly actively and CBCM, agency are points focal agency designated the that Ensure in PSEA; engaged are units/personnel programmatic and resources human both that Ensure Annex 4 – Samples and Templates 77
4b2. Democratic Republic of the Congo (PSEA Pilot Project) Terms of Reference – Steering Committee
1. Objective • Contributes to the joint implementation of the project and the achievement of its goals through collaboration of all bodies and good governance / project management. • Provides case management of abuse and exploitation respectful of victims and perpetrators, international norms and standards, legislation and basic principles of the joint case management procedures. • Promotes the acceptance and support of the project by the authorities, communities, donors and humanitarian actors through a contribution to the accountability of the project a presence in the formal and informal strategic interagency meetings. • Offers an open space and creative exchange of knowledge, experiences, expertise conducive to reflection and learning on issues of abuse and sexual exploitation by humanitarian workers.
2. Composition The Steering Committee consists of 4 national organizations, 2 government institutions, 4 international organizations with membership, and 2 UN agencies having observer status. Each structure will be represented by a single focal point.
Type of Name of Organization / Status in Steering Organization / Contact Person Structure Committee Structure ANNEX 4
3. Reunion The Steering Committee meets monthly in regular session and, at the request ofthe coordinator of Prevention against the sexual abuse and exploitation (P/SEA), may meet in extraordinary session.
4. Principles Accountability – The members of the Steering Committee are committed to the principles vis-à-vis accountability of donors, beneficiaries and communities by ensuring transparent, efficient project, the principle of Do no Harm, the ongoing risk assessment and taking into account the views of the beneficiaries in the implementation, monitoring and evaluation of activities.
Collaboration – The partnership between organizations / structures and authorities isa core value of the Steering Committee to ensure the smooth running of the project, links with authorities, UN agencies and international organizations and encourage the sharing of experience and knowledge between organizations / structures for the best result. 78 ANNEX 4 • • 5. Rolesandresponsibilities The right to justice isalways accompanied by anassessment ofrisk to thevictim. Congo. of the Republic Democratic the in framework legal existing the respect that actions Justice to Right resources interms ofaccessto healthandcare services. caretohealth sexual for of and victims exploitation, abuse appropriate, as make to available access to ensure activities project of monitoring and implementation planning, the through Care to Access Continuous to Right Committee. impartiality and neutrality and are accompanied and observed by all members of the Steering Impartiality concerning reported cases must beprotected. communications imply. All organizations they author, and staff project the exploitation, and abuse sexual of victims of benefit the for project this of framework the within work our of the Steering Committee and is reflected in its actions and decisions. Confidentiality is thebasis Confidentiality passed to theteams, volunteers andproject partners ontheground. it is ensures and principle of this guarantor is the Committee Steering The victim. the affect of the victim and in particular the child before all considerations in making decisions that may Victim InterestsBestthe of 4b. Terms ofReferences • • • • • • • Members: • • • • • • • President oftheSteering Committee: management unitifthey are also members asspecified inSection7. complaints the of prerogatives the of achievement the to contribution their Ensure and project the needs to according activities whenthey could. staff their availability, to expertise their Put of others. support the and leadership their under activities of implementation the Ensure Share information, skills, expertise andlessons. Cooperate together for thegood oftheproject andtheachievement ofobjectives. Take partinthedecisionsofSteering Committee. Undertake to participate actively inmeetings. discussion forums andnetworks ofprotection includingtheProtection Cluster. Represents the Steering Committee with donors, authorities, communities and in the Promotes theexchange ofexperience, learningexercises. Presents reports ofintermediary activities to members ofthe Steering Committee. Complaints the of Facilitates implementation theplanning, andmonitoring ofactivities. meeting weekly the Management documents Unit,whichhe/she isadefacto member. and facilitates Organizes, and specialmeetings. Organizes, facilitates and documents the monthly meetings of the Steering Committee Coordinates theSteering Committee and overview ofbusiness. – The activities, including surveys, implemented in the project, respect the the project, in implemented surveys, including activities, The – – Confidentiality is a key principle that commits all the shares and members of – The members of the Steering Committee are committed toimplement committed are Committee Steering the of members The – – All members of the Steering Committee put the best interests best the put Committee Steering the membersof All – – Members of the Steering Committee are committed are Committee Steering the of Members – Annex 4 – Samples and Templates 79
• Observers: • Actively participate in meetings. • Agree to make available to the Steering Committee, the resources available for the implementation of the project. • Support advocacy from UN agencies, authorities, etc. • Facilitate access to authorities, United Nations agencies based on their mandate. • Give advice and recommendations to the Steering Committee when needed.
6. Powers of the steering committee Compared to project activities • Plans, implementations, monitors and reporting of project activities. • Ensures good governance and project management. • Provides the necessary resources for the successful implementation of the project and good case management. • Evaluate the risks associated with activities in case management. • Ensures the implementation of joint procedures PSEA cases reported throughout the project and supervision of the Complaint Management Unit. Compared to knowledge sharing • Identifies capacity building opportunities of the personnel involved. • Provides learning and review of the project throughout the project. • Develops communication tools. • Shares the skills, expertise, tools and documents.
In relation to other actors ANNEX 4 • Provides representation and relationships with project beneficiaries, communities and humanitarian agencies. • Advocates for donors, international organizations and authorities. • Participates in the coordination committee meetings and protection networks. • Ensures the implementation and strengthening of the Humanitarian Code of Conduct and the development of the Common Code of Conduct expected by the project. • Keeps track of recommendations from each survey of its members, in particular concerning the management of the victim and disciplinary proceedings to be taken against perpetrators.
7. Complaints management unit The Steering Committee delegates to the Complaints Management Unit's Case Management skills to ensure confidentiality. • The members of the Steering Committee support the action of the Complaint Management Unit. • The members of the Steering Committee are kept informed of case management at their request and as part of monthly meetings, within the limits imposed by the Confidentiality. 80 ANNEX 4 procedures are asfollows: prerogativesThe Complaint Management the of are Unit the managementcase in explained 4b. Terms ofReferences Organization • • • • • • Structure Name / cases, thenature ofthecases andcase analysis. He/She reports to the Steering Committee, which meets every month, the number of from thedate ofreceipt ofthecomplaint. days working 10 exceed not should period The judicial). or (disciplinary levels action for sheet resolution in complaint recommendations and investigation the of result the authorities the with and case the with organization concerned each of direction The Chairman of the Complaints Management Unit communicates with the managerial a management planfor thevictimlong-term. reference term, an investigative report, an educational report, a recommendation and He/She documents, archives and closes each case through an incident report, a survey member organizations oftheSteering Committee. at or project the in used be acaseis must information and when recommendations These closed. recommendations and programmatic managerial and information and cases of number the of Committee Steering the informsmembersof He/She the the investigation supervises and investigators. appoints plan, contingency the develops He/She incident report. He/She is informed of complaints in the shortest period not exceeding 24 hours of an
Organization / Structure OF THESTEERING BY COMMITTEE ITS MEMBERS Type of
VALIDATION OFTERMSREFERENCE
IOM OIM IOM
the Steering
Committee Status in
Representative /Head Full NameCountry
Office
4
|
Signature Page
Annex 4 – Samples and Templates 81
4b3. Generic Terms of Reference CBCM Focal Points
Role CBCM Focal Points are appointed from within participating CBCM agencies and represent their agency in the CBCM and PSEA activities. They report to the PSEA/CBCM Coordinator on PSEA activities and consultations with communities. Additionally, they report back to their agencies on CBCM progress and knowledge gained from working with the mechanism. Each agency participating in the CBCM shall nominate two Focal Points to work with the CBCM; ideally, one woman and one man.
Meetings CBCM Focal Points shall meet on the [2nd Monday of each month] in order to share PSEA/ CBCM updates and experiences, confer with the CBCM Coordinator, and address issues with trainings and awareness raising activities when necessary. Regular meetings should facilitate information-sharing on each agency’s measures in place to prevent and address SEA, documented incidents (maintaining confidentiality), and incident follow-up.
Responsibilities
Awareness- • Plan and organize trainings for humanitarian personnel within their raising organizations on PSEA, the agency’s code of conduct, and the CBCM activities • Plan and organize awareness campaigns for local communities on PSEA and the CBCM, which emphasize beneficiary rights and how to use the mechanism
Complaints • Act as an in-person channel for SEA complainants
• Record all information in the appropriate Incident Report Form ANNEX 4 • During in-person complaints, convey anticipated next steps which include timeframes, the role of the CBCM, and the procedures of the potential investigating agency so that expectations are managed • Retrieve complaints from the anonymous suggestion boxes [as structured by the SOPs] • Work with the PSEA/CBCM Coordinator to ensure that victims are referred to appropriate assistance services • CBCM Focal Points trained and experienced in child protection will be engaged in child-survivor cases • Support the PSEA/CBCM Coordinator in complaint monitoring and providing complainant/survivor feedback when needed
Coordination • Serve as the main channel for sharing PSEA information between agencies at relevant coordination meetings • Respond to requests for information on PSEA activities
CBCM • Conduct regular community consultations from the design phase management and throughout the life of the CBCM, leading to effective programme adjustment • Contribute to the exchange of experiences and best practices during implementation, monitoring, and evaluation • Produce proper handover notes when exiting the site 82 ANNEX 4 These Terms ofReference shallbereviewed onanannualbasisandrevised asappropriate. • • • • • • them insuccessfully fulfillingtheirCBCMduties.Theseinclude: PSEA staffto regular addition CBCM FocalIn musttrainings, Points receive assist to trainings Training • • Profile for thecommunity, andotherPSEA activities. events awareness-raising trainings, meetings, coordination attending including: CBCM, the thattheyso may necessary devote time the engagement for meaningful continued and with is This description. job their in embedded are responsibilities PSEAabove the thatensure to management senior and/or Resources Human their with advocate shall Points Focal CBCM 4b. Terms ofReferences do soandtheresponsibilityisintheirTORs). The Focal Point shouldnotengageincounselling complainants (unlessthey areformally trainedto A CBCMFocal Point shouldnever investigate a complaint; and information packages for survivors/complainants, asappropriate. procedures CBCM incorporate into to them and relevant laws up-to-datenational on be reporting laws related to SEA incidents, it is the responsibility of the CBCM Focal Points to Where the state and/or local governments in which the CBCM is situated has mandatory all for procedures investigation so that theintake process doesnotjeopardize subsequent agency investigation. general with gathering, on evidence standards international familiar as well as agencies, CBCM be participating also should Points Focal expectations duringintake. the in CBCM, to ensure agenciesthat accurate informationall is provided and so asof to manage complainant procedures and policies the with familiar be should Points Focal to enhancetheirabilityrecognize SEA whenitismixed withotherissues. order in SEA, to addition in misconductforms of other trainedFocal on Pointsbe should familiar withtheentire CBCM complaint handlingprocess. As the primary persons receiving in-person complaints, Focal Points should be thoroughly safety, andhealth/psychosocial needsofsurvivors. confidentiality,standardsof the including CBCMs, of principles guiding the in trained be As the PSEA representatives of their agencies to the affected community, Focal Points must • • • • • The Focal Point must have thefollowing skillsandexperience: to initiate institutional change. toable managementaccess the easily team atbe should and sufficienta level able be to be must agency. S/he member CBCM a of person staff a be must PointFocal CBCM The Demonstrated experience working directly withlocal communities Fluency inrelevant languages Ability to maintain confidentiality (i.e. trained in data protection) Demonstrated sensitivity to cultural diversity and gender issues Proven integrity, objectivity, andprofessional competence Annex 4 – Samples and Templates 83
4b4. Ethiopia (PSEA Pilot Project) – Terms of Reference for Protection from Sexual Exploitation and Abuse by (PSEA) by own Staff Focal Persons
Role Description The PSEA Focal Persons designation is a role or “hat” and not necessarily a position. It can either be assigned to existing personnel or new personnel can be hired to carry it out. Whether the role is a full-time or part-time undertaking should depend on individual organization or agency own needs.
Each humanitarian organization or agency in Melkadida refugee camp shall ideally designate two PSEA Focal Persons, at least a male and female to carry out the PSEA responsibilities within the organization or agency. Each organization or agency shall have at least one PSEA Focal Person and a back-up or an alternate.
The PSEA Focal Persons are NOT responsible for investigating SEA complaints, or for dealing directly with complainants. This function rests exclusively with individual organizations and agencies.
Major Tasks Within his/her organization or agency, the PSEA Focal Person shall actively promote protection from sexual exploitation and abuse (SEA). In this regard, the Focal Point shall, where not already in place:
Engagement with and support of local populations
• In coordination with the inter-agency PSEA Steering Committee, facilitate awareness- ANNEX 4 raising in Melkadida camp among beneficiaries of assistance on their rights, the standards of conduct expected of aid workers, and available channels for reporting incidents of SEA.
Prevention/Response • Ensure that the identity of PSEA focal person is known throughout the organization and agency and that contact details are made widely available; • Create ongoing awareness among new and old staff, volunteers and contractors of own organization and agency on PSEA prevention and response; • Ensure that own staff sign PSEA Code of Conduct clearly prohibiting acts ofsexual exploitation and sexual abuse and obligating them to report such acts according to agreed reporting procedures; • Actively participate in the development of inter-agency community-based complaint mechanism on PSEA; • Make appropriate recommendations to own organization or agency management on enhancing prevention strategies. This could include collecting and analysing information on actual/potential risk factors for vulnerability to sexual exploitation and abuse and elaborating measures to address them; • Ensure that procedures to guard against hiring of persons who have a record of SEA offences are put in place and applied. 84 ANNEX 4 is feasible. as as soon abuse, and exploitation sexual protection from on training specific undergo shall Person Focal the appointment, Upon skills. working proven directly communication communities; local with of experience demonstrated languages; relevant in fluent issues; gender and diversity cultural to sensitivity demonstrated competence; professional and objectivity integrity,Proven experience: and competencies following the have shall Person Focal The and thealternate. senior level. Ideally both a woman and a man staff member would serve as the Focal Person so as to be able to effect change and therefore should normally be appointed at a sufficiently management senior to access easy needs Person Focal member.staff The a be shall (PSEA) Abuse and Exploitation Sexual from Protection for Person Focal agency or organization The Competencies andExperience • • • • • • • Management andCoordination • • • • 4b. Terms ofReferences plans for future actions. Keep own organization and withinown agency management up to date on PSEA measures taken persons and relevant with shared is organization andagency; activities thatall PSEA-related ensure on and agency information and own organization for activities PSEA-related all Track on Special Measures the for Secretary-General Protection from Sexual Exploitation and Sexual of Abuse; report annual the to contribution including mechanisms, monitoring/compliance relevant to agency’s adherence organization or own Coordinate Participate inPSEA related activities; Attend Inter-agency PSEA ClearingHousemeetings; Serve asanactive memberofInter-agency PSEA ClearingHouse; Serve asPSEA focal person inown organization oragency; support asnecessary. and psychosocial safety health, toaccess appropriately SEA of victims/survivors Refer Person includingvictims/survivors ofSEA; Take appropriate measures to ensure safety and confidentiality for all visitors to the Focal the through to appropriate organizations oragencies involved complaints for theirfurtheractions; SEA receive to house Clearing established channels in PSEA Melkadida camp and of take action including member subsequent forwarding a as Serve inductions, staff in content PSEA include including allcontractors, consultants, temporary staff and casual labourers; to personnel resources human with Work Annex 4 – Samples and Templates 85
4c1. Sample Incident Report Form
File Number:
Personal Information Important Gathering information at the time of reporting is a crucial element of the process. The report should be objective and precise, focusing on the facts and relevant information that will help when it is time to act.
When a child discloses maltreatment or abuse, make sure to ask the questions needed to have a clear understanding of what the child is saying and to ensure the security and welfare of the child. DO NOT SEARCH FURTHER. • Inform the person that all information given in the complaint will remain confidential. • Be receptive of the complainant and listen to what he or she has to say. • Write a clear record of what is said by the complainant in his own words. Take the time to cross-check with the complainant that you understand everything before writing. • Allow the complainant to read what you have written. If the complainant is illiterate, read out the text to ensure that what you have written is what he or she meant. Ask the person if he or she is satisfied with what you have written. If they are not, correct the text with them.
Information from the complainant:
Full Family Name : Full Given Name: ANNEX 4
Date of complaint receipt : Telephone :
Camp/Axis : Goma Address : Masisi Centre Kitchanga Camp/Block : Other ______Community :
*Complaint Category : 5 6 Other (specify): ______
Complaint Category: • Category 5: Complaints of violations of the Humanitarian Code of Conduct and sexual exploitation or abuse against an adult (man or woman) (processing time from 4 weeks to 3 months) • Category 6: Complaints of violations of the Humanitarian Code of Conduct and sexual exploitation or abuse against a child (boy or girl under age 18) (processing time from 4 weeks to 3 months) 86 ANNEX 4 • • Complaint Category: Information abouttheaccused: who, should indicate what, how, thecomplainant where andwhenthecomplaint isabout.) aminimum, At possible. as information important The 4c. Complaintforms (boy orgirlunderage 18)(processing time from 4 weeks to 3months) a child against abuse or exploitation sexual and Conduct of Code Humanitarian the of violations of Complaints 6: Category (man orwoman) sexual adult and abuse an against exploitation Conduct or of Code Humanitarian the of violations of ComplaintsCategory 5: Physical description oftheaccused: Gender: Current residence oftheaccused(ifknown): Relationship to thevictim: Organization for whichtheaccused work(s): Position held by theaccused: Name ofaccused: What? How? Where? Age ofthevictim: Full nameofthevictim(Who): Date oftheIncident (When): (Use the complainant’s words verbatim and ask questions to get asmuch get to questions ask and verbatim words complainant’s the (Use complaint (processing timefrom 4 weeks to 3months) (please encrypt thenameofaccused) (pleaseencrypt Annex 4 – Samples and Templates 87
Specifically for complaints of sexual exploitation and abuse:
Has the victim been informed of the available medical care? Yes No If yes, has the victim sought medical treatment after the incident? Yes No If yes, who provided treatment?
If no, refer the complainant to the nearest medical care, and follow up that he or she receives the available services.
Has the victim contacted the police? Yes No If yes, what has been done?
If no, did the victim require the assistance of the police, and if not, why?
Has the victim contacted legal services? Yes No
Full name of the PSEA Focal Point:
Organization/Agency:
Gender: Female Male ANNEX 4
Complaint Category: • Category 5: Complaints of violations of the Humanitarian Code of Conduct and sexual exploitation or abuse against an adult (man or woman) (processing time from 4 weeks to 3 months) • Category 6: Complaints of violations of the Humanitarian Code of Conduct and sexual exploitation or abuse against a child (boy or girl under age 18) (processing time from 4 weeks to 3 months) 88 ANNEX 4 4c2.
4c. Complaintforms Physical Description ofAccused person(s): Age: Sex: Address ofAccusedperson(s) (ifknown): Organisation Accusedperson(s) Works For: Name of Accused person(s):Accused person(s): JobTitleof Brief Description ofIncident(s) (Attachextra pages if necessary) Witnesses’ NamesandContact Information: mood): Physical &EmotionalState ofVictim(Describe any cuts,bruises,lacerations, behaviour, and Date ofIncident(s): Has theVictimgiven consent to the completion ofthis form?YES Name(s) andaddress ofParents, ifunder18: Age: Sex: Identity no: Address/Contact details: Ethnic origin/Nationality: Name ofVictim(ifdifferent from Complainant): Age: Sex: Identity no: Address/Contact details: Name ofComplainant: Ethnic origin/Nationality:
(Sexual Exploitationand Abuse) IASC ModelComplaintsReferral Form TimeofIncident(s): Location ofIncident(s):
NO Annex 4 – Samples and Templates 89
Have the police been contacted by the victim? YES NO If yes, what happened?
If no, does the victim want police assistance, and if not, why?
Has the victim been informed about available medical treatment? YES NO If Yes, has the victim sought Medical Treatment for the incident? YES NO If Yes, who provided treatment? What is the diagnosis and prognosis:
What immediate security measures have been undertaken for victim?
Who is responsible for ensuring safety plan (Name, Title, Organisation):
Any other pertinent information provided in interview (including contact made with other Organizations, if any):
Details of referrals and advice on health, psychosocial, legal needs of victim made by person completing report: ANNEX 4
Report completed by: Name Position/Organisation Date/Time/Location Has the Complainant been informed about the Organisation’s procedures for dealing with complaints? YES NO Signature/thumb print of Complainant signaling consent for form to be shared with relevant mgt structure* and SRSG/RC/HC Complainant’s consent for data to be shared with other entities (check any that apply):
Police Camp leader (name) Community Services agency Health Centre (name) Other (Specify)
Date Report forwarded relevant management structure*: Received by relevant management structure*: Name Position Signature 90 ANNEX 4 4d. GenericInter-Agency ComplaintHandlingFlowchart
What should a PSEA/CBCM Coordinator do when s/he has received a complaint?
CBCM Focal Point Explain the process and (in-person The CBCM focal points manage expectations Update the Database and Coordinator DO NOT reporting) e.g. referral of the with each new complaint carry out an investigation allegation for follow-up and development to avoid or gather evidence. They potential investigation, keeping confidential only collect the timeframes, and information on paper information necessary to level of anticipated Reach out to the forms fill out the Incident Coordinate with feedback on the status of agency to determine Report Form child protection the case how to proceed with advocates / service providers the incomplete if child involved complaint Safe space, Complainant Community No members, Medical facility Referral to Is there Forward the Incident Does the Risk Inform the allegation to the Register the Victim Yes Report complaint assessment Complainant / enough info designated unit complaint in potentially and security Assistance legal guardian to refer the Form of next steps within the concerned the Database allege SEA? plan Services complaint? agency
No Suggestion / Is the complaint Yes complaint box about fraud / corruption ?
No Report to Is the complaint Yes about GBV or Protection Cluster Hotline / SMS protection issues?
No Transfer the Is the complaint Yes feedback/complaint about to the relevant programmatic Cluster/Sector or E-mail issues / feedback? agency (if identified)
48 hours
Closing the loop: acknowledging receipt of complaint, sending information about how the complaint was handled (if appropriate) and what modifications have been brought to programmes to reduce the risk that the issue raised happens again in the future Annex 4 – Samples and Templates 91
charges.
Complainant
assistance the authorities enforcement Report toReport law in filling Provide (additional) (additional) Provide legal and psychosocial and psychosocial legal Assist
Agency choice, choice, Agency consultationin with survivor Yes
.
No consideration
policies
to report laws? to law for for case to authorities case authorities to Does the reporting reporting Are there nal omplainant mandatory authorities? C enforcement alleged perpetrator perpetrator alleged want the the If enjoys functional immunity, the refer charge of in the waiving immunity
Yes the complaint?
referring
constitute a criminal offense? criminal Does the incident after
agency
feedback tofeedback proceed; and
updates; Monitor Monitor updates; disciplinary warranted) Complaint is Complainant action taken (if taken action investigated and investigated status
to support the the support to Advocate for receiving Advocate for receiving case case status status case No do ANNEX 4
oordinator oordinator
C pool of pool No Yes Agency the CBCM the trained SEA trained Activate the the Activate investigators Does the agency is required from the investigation ? no furtherno action confirmation that request for request support upon CBCM SOPs): upon CBCM -
PSEA/CBCM PSEA/CBCM Yes complaint complaint was determined an insufficient basis to
if the
complaint; or
the
warrant warrant records Does the
complaint complaint No and investigation? Update CBCM Update CBCM began, began, Complaint closed; Complainant/legal upon agency's SEA agency's upon guardian and CBCM and guardian CBCM investigation policy) notified (dependent (dependent notified What should What the (or any information) was provided to the agency’s inter (or the providedsurvivor, was to by information)any investigating if or prohibited providingisfeedback the concluded; investigation;
the outcome outcome the
Agency received received
days the the unit investigative received confirmation that the allegation was allegation the When When When/whether investigation an When/whether the investigation When ofThe the outcome When/whether When/whether
business • • Case Case updates status may include (in line with the agreed • • • 2 code:
Agency CBCM Coordinator Agency receives complaint Colour 92 ANNEX 4
SAMPLE Victim Assistance Referral Pathway (SEA complaints) 4e. Generic Victim Assistance Referral Pathway
All Medical Care A actor o may a e direct In ca e o e a io ence it i im ortant to ee medica attention contact it otentia ictim within 72 hours o t e a a t or contrace tion or treatment o nce t e in e tigation i com eted o d e trained to recogni e I to e e ecti e er ice i need to e re-e a ated
S A and nder tand t e C C a ed on t e ictim’ onger-term need At a minim m ea t care m t inc de amination and iding rinci e treatment o in rie re ention o di ea e and or n anted regnancy co ection o minim m oren ic e idence inc ding io ogica rod ct o t e er etrator en a ai a e medica doc mentation and o o - care
enter t e medica -care providers here, as ID’d in service mapping]
Mental Health and Safety and Security Psychosocial Support Cond ct an immediate ec rity and a ety need Co n e ing and ort to a i t a e ment reco ery rom t e yc o ogica Complainant Reports the Incident con e ence o e a a e Create a ec rity an t at addre e ot
Cond ct a need a e ment or a ongoing ri and t e additiona ri created y yc o ocia ort inc ding ca e re orting t e com aint management and ad ocacy to a i t ictim com ainant
ictim in acce ing needed er ice Provision of immediate assistance to SEA Cond ct o o - a e ment a nece ary victims-complainants is critical and must be S ort and a i tance it ocia re- provided independently of an allegation referral enter t e rotection ec rity-re ated actor ere integration as ID’ in er ice ma ing – can inc de cam or agency investigation ec rity o ice mi itary or ot er enter t e menta ea t yc o ocia ort ro ider ere Security actors must be trained on SEA as ID’d in service mapping] prevention and response, including human rights standards and appropriate standards of conduct, and understand the limitations of their roles Legal / Justice Response
In ca e o a c i d S A ictim [ID e ictim com ainant a t e rig t to ee ega co n e ing regarding i er com aint regard e o ca e o tcome the organization/Protection irect inancia a i tance i Cluster] can a i t in t e Co n e ing inc de a i ting com ainant to na igate t e not e ro ided a a orm o investigating agency’s administrative process and/or the process of determinationuse o t e e t genera a i tance o e er r ing a ci i or crimina c aim nder nationa a – C ear y and intere t o t e c i d ro ide en nece ary ictim o d one t y in orm t e ictim o t e roced re imitation ro and reintegration er ice and e e ed to ind e ter con o a e i ting ega o tion yc o ocia ort c ot ing and or ood en an [enter the legal actors here, as ID’d in service mapping — can inc de S A incident im ede t em
rotection o icer ega aid a i tance ro ider ro ec tor dge rom ing t eir o n re o rce and o icer o t e co rt a e a traditiona tice actor Annex 4 – Samples and Templates 93 ANNEX 4
— 94 ANNEX 4
4f. UNHCR’s SEA PamphletonHow StaffcanReport
Annex 4 – Samples and Templates 95
4g1. PSEA in Partnership Agreements and Staff PSEA obligations
Examples of PSEA language in contractual agreements In its 2014/2015 workplan, the IASC AAP PSEA TT agreed to collect good practices to support task team members’ effort towards IASC including PSEA language in their HR processes and partnership agreement, which is one action stipulated in the Guidelines to implement the Minimum Operating Standards on Protection from Sexual Exploitation and Abuse.
Language used in partners’ contracts
“Implementing Partners (IP) shall ensure that all its employees and personnel comply with the provisions of ST/SGB/2003/13 entitled 'Special Measures for Protection from Sexual Exploitation and Sexual Abuse', which is available at www.un.org/Docs/journal/asp/ ws.asp?m=ST/SGB/2003/13.
IP shall further ensure that none of its employees and personnel exposes any intended beneficiary, including children, to any form of discrimination, abuse or exploitation and that each of theIP’s employees and personnel complies with the provisions of other UNICEF policies relating to protection of children as advised by UNICEF from time to time.” ANNEX 4
Service contract reads : 22.0 Sexual Exploitation:
22.1 The Contractor shall take all appropriate measures to prevent sexual exploitation or abuse of anyone by it or by any of its employees or any other persons who may be engaged by the Contractor to perform any services under the Contract. For these purposes, sexual activity with any person less than eighteen years of age, regardless of any laws relating to consent, shall constitute the sexual exploitation and abuse of such person. In addition, the Contractor shall refrain from and shall take all appropriate measures to prohibit its employees or persons engaged by it from, exchanging any money, goods, services, offers of employment or other things of value, for sexual favors or activities or from engaging in any sexual activities that are exploitive or degrading to any person. The Contractor acknowledges and agrees that the provisions hereof constitute an essential term of the contract and that any breach of this representation and warranty shall entitle UNCP to terminate the Contract immediately upon notice to the Contractor, without any liability for termination charges or any other liability of any kind. 96 ANNEX 4 4g. ContractClauses 9.2 9.1 PREVENTION OFSEXUAL EXPLOITATION ANDABUSE Field level agreements read: 6.2 6.1 with non-United Nations entities orindividuals (from SGBulletin) Section 6 of the code of conduct focuses on : Cooperative arrangements to UNHCR standards andto joinUNHCRstaff inupholdingthem”. to adhere topartners encouragement staff UNHCR “reiterating Conduct of Code UNHCR to refers Partnership of Principles UNHCR action, shall constitute grounds for termination of the Agreement. corrective take to or thereof investigate allegations to abuse, or Cooperating exploitation sexual the against measures preventive by take to Partner failure Any conduct. ethical and moral of contractors and subcontractors conform to the highest standards agents, personnel, its that ensure shall Partner Cooperating The notified totheCooperating Partner by WFP fromtime totime. WFP,as by adopted be may as guideline or policy (PSEA) Abuse and Exploitation Sexual from Protection other any (iii) and 2006; December 4 of Personnel Non-UN and UN by Abuse and Abuse as a result of the Statement of Commitment on Eliminating Sexual (ST/SGB/2003/13); (ii) any minimum operating standards adopted measures for protection from sexual exploitation and to: sexual abuse adhere to (i) the standards undertakes set out in the Secretary-General’s Partner Bulletin Cooperating Special the WFP, an agreement with into By entering abuse. and exploitation sexual from including crisis, humanitarian in populations vulnerable to the protection of are committed WFP and Nations United The United Nations. grounds for termination to of any cooperative arrangement with the abuse, sexual sexual exploitationconstitute occurred, shall sexual has or abuse or exploitation when investigate action take thereof, corrective allegations to or sexual take preventive against to or individuals measures entities those of failure The from those entities of or individuals that the standards they accept of these standards. conduct or individuals listed in section 3, and shall receive a entities written undertaking those inform shall officials Nations United relevant or individuals, entities Nations non-United with arrangements cooperative into entering When Annex 4 – Samples and Templates 97
8.1 The [Implementing Partner] further warrants that it shall:
a. Take all appropriate measures to prohibit and prevent actual, attempted and threatened sexual exploitation and abuse (SEA) by its employees or any other persons engaged and controlled by it to perform activities under this Agreement (“other personnel”). IOM OIM For the purpose of this Agreement, SEA shall include: 1. Exchanging any money, goods, services, preferential treatment, job opportunities or other advantages for sexual favours or activities, including humiliating or degrading treatment of a sexual nature; abusing a position of vulnerability, differential power or trust for sexual purposes, and physical intrusion of a sexual nature whether by force or under unequal or coercive conditions. 2. Engaging in sexual activity with a person under the age of 18 (“child”), except if the child is legally married to the concerned employee or other personnel and is over the age of majority or consent both in the child’s country of citizenship and in the country of citizenship of the concerned employee or other personnel. b. Strongly discourage its employees or other personnel having sexual relationships with IOM beneficiaries. c. Report timely to IOM any allegations or suspicions of SEA, and investigate and take appropriate corrective measures, including imposing disciplinary measures on the person who has committed SEA. d. Ensure that the SEA provisions are included in all subcontracts.
e. Adhere to above commitments at all times. Failure to comply ANNEX 4 with (a)-(d) shall constitute grounds for immediate termination of this Agreement.
Language used in staff and affiliated workforce employment contracts
Fixed Terms Appointments and Temporary Appointments read: “I hereby accept the appointment described in this letter, subject to the conditions therein specified and to those laid down in the Staff Regulations and Staff Rules and UNDP policies. (…) I also solemnly declare and promise to respect the obligations incumbent upon me as set out in the Staff Regulations and Rules and UNDP policies.”
Staff rules read: Article X Disciplinary measures: Regulation 10.1 a. The Secretary General may impose disciplinary measures on staff members who engage in misconduct b. Sexual exploitation and sexual abuse constitute serious misconduct 98 ANNEX 4 4g. ContractClauses – avec des personnes bénéficiaires des programmes de OFADEC. programmes des bénéficiaires personnes des avec – des relations d'exploitation – sexuelle, je n'instaurerai émotionnelle, financière dela ou liée à un emploi Jamais de l'assistance. en contrepartie ou protection de OFADEC programmes des bénéficiaires personnes des à faveur aucune ou service aucun demanderai ne je Jamais programmes. nos de le bénéficiaires et personnes vie des bien-être la sur position ma de vertu en dispose je dont l'influence :« 7 Article OFADEC, descommunautés d’accueil de et desmembres dupersonnel. des programmes bénéficiaires personnes des direction en abus exploitation ou toute combattre et signaler opposer, Empêcher, 7. Article 7 focuses onPSEA. staff contract. its in conduct of OFADEC code its mention specifically reprisal. of fear without Code the of breachesreport to opportunity havethe they that and Conduct, of Code our about know – beneficiaries the – serve we people the that makesure further mustManagers be. may for responsible also UNHCR with short-termrelationship their or tenuous how matter no are example, work, we whom an with those to principles Code’s set the communicating to expected are Managers, who provisions. its of honouring the promote to helping for and Code, the with familiarare them to answer who those that sure making for responsibility particular a have levels all at Managers (…) a role monitoring inimplementing, andenforcing its standards. and advocating for encouraging, also They have Conduct. of Code the of dissemination promoting the responsible are staff UNHCR All those persons inanappropriate manner. will toknown requested Code be containedmakethe toprinciples in the UNHCR, for and work employees, organizations their through which, non-governmental companies and Governmental status. their to applicable as far to as standards requested its uphold be they and that confirm Code the receive also will interns and UNVs all requested to sign it. Persons holding a UNHCR consultant contract, JPOs must sign: The Code applies to all UNHCR staff members who are UNHCR uses in its Code of Conduct which all staff, affiliate workforce, Officials andExpertsonMission'.” Secretariat than other Officials of Duties and Rights Basic Status, the Governing 'Regulations entitled 2003 October 9 of ST/SGB/2003/13 bulletins Secretary-General’s the in forth set conduct of standards the by abide Contract to agree this and understood and of read have termsI that and the (…) accept and read acknowledge have Contractor, I Individual that agree the and I, below, the signing “By Individual contractors contract reads: e 'nae n ps bsr u ovi o de ou pouvoir du abuser pas ne à m'engage Je Annex 4 – Samples and Templates 99
Si je me trouvais engagé avec un bénéficiaire dans une relation de cette nature que je considère comme consensuelle et ne relevant pas de l'exploitation, j'en parlerais à mon supérieur et solliciterais ses conseils, en sachant que la question sera traitée avec la discrétion voulue. J'agirai de manière responsable lorsque je recruterai ou que j'engagerai des personnes bénéficiaires des programmes de OFADEC pour des services privés. J’ai l’obligation de rendre compte à mon supérieur par écrit de la nature et des conditions de cet emploi. »
IOM has just released its new PSEA mandatory instruction on Policy and Procedures for Preventing and Responding to Sexual Exploitation and Abuse:
“The instruction is applying to all people employed by or working IOM OIM for IOM worldwide, whether internationally or locally recruited, regardless of the type or duration of the contract, including interns, secondees, consultants, escorts and people holding hourly contracts. For the purpose of the Instruction, the term 'staff members' shall include all such persons.(...)”
The IOM Standards of Conduct (IN/15/ Rev.1), paragraph 5.42, states: IOM staff members shall provide humanitarian assistance and services in a manner that respects and fosters the rights of beneficiaries. For this reason and because there is often an inherent and important power differential in the interactions between staff members and beneficiaries, IOM strongly discourages staff members from having any sexual relationships with beneficiaries. In addition, IOM staff members shall protect against and prevent ANNEX 4 sexual exploitation and sexual abuse (SEA) of beneficiaries. Abusive and exploitative sexual activities with beneficiaries are absolutely prohibited. In order to protect the most vulnerable populations and to ensure the integrity of IOM’s activities, the following specific standards shall be followed: a. Exchange of money, employment, goods, assistance or services for sex, including sexual favours or other forms of humiliating, degrading or exploitative behaviour, is prohibited. b. Sexual activity with children (persons under the age of 18) is prohibited, regardless of the age of majority or age of consent locally. Mistaken belief regarding the age of a child is not a defence. This prohibition shall not apply if the IOM staff member is legally married to someone under the age of 18 but over the age of majority or consent in both the IOM staff member and spouse’s country of citizenship. c. Sexual relationships between staff members who deliver professional health services directly to beneficiaries and such beneficiaries are prohibited. d. Using the services of prostitutes or sex workers is prohibited, regardless of the legal status of prostitution in the laws of the IOM staff members’ home country or duty stations. This prohibition extends to the use of prostitution outside working hours, including while on Rest & Recuperation and home leave. 100 ANNEX 4 4g. ContractClauses and additional guidance to suit specific needs. Don’t hesitate to Don’t needs. specific contact us:[email protected] to suit guidance additional and ahelpdesk offers service to share andAbuse information and best practice, as well as case studies Exploitation Sexual from Protection and Populations Affected to Accountability on Team Task IASC The Additional supportneeded? relevant personnel oradministrative file.” or as a result of, the present Instruction are promptly recorded in the to, pursuant imposed measures alternative or measures disciplinary all thatensure shall ResourcesManagementDivision Human The 38. c. b. a. with otherstakeholders, consultation shall: in Division, Management Resources Human the at IOM, positions for applicants screening of process the of part As “36. recruitment andmanagement ofpersonal files: on language specific includes also instruction mandatory PSEA The serious dismissal. constitute including summary behaviour measures, disciplinary for grounds are such, abusive as and, misconduct sexually or exploitive list. The above-mentioned acts as well as other types of sexually The above-mentioned acts are not intended to be an exhaustive past misconduct (includingfor SEA). for positions IOM for candidates screen to mechanism a up Set any measuredisciplinary for misconduct (includingfor SEA); of subject the been has candidate a whether referees Ask measure imposedonthemfor misconduct (includingfor SEA); Require applicants to attest whether they have had any disciplinary Annex 4 – Samples and Templates 101
4g2. Sample Confidentiality Language
Staff Rules and Staff Regulations of the United Nations: Secretary-General’s bulletin ST/ SGB/2014/1 (1 January 2014)
Article I: Duties, obligations and privileges Regulation 1.2: Basic rights and obligations of staff General rights and obligations: i. Staff members shall exercise the utmost discretion with regard to all matters of official business. They shall not communicate toany Government, entity, person or any other source any information known to them by reason of their official position that they know or ought to have known has not been made public, except as appropriate in the normal course of their duties or by authorization of the Secretary- General. These obligations do not cease upon separation from service.
International Medical Corps: Code of Conduct and Ethics (February 2016)
Confidential Information and Privacy: Sensitive information such as employee and beneficiary information and information about International Medical Corps’ donors or contracts are examples of confidential information. You must maintain the confidentiality of information entrusted to you by International Medical Corps and its beneficiaries and other business partners. We also comply with the many data privacy laws around the world. We depend on you to help respect privacy by only accessing confidential employee data with proper approvals and on a need-to-know basis and not repeating or discussing information with anyone who is not approved to know such information. For further information, see the Confidential and Proprietary Matters Policy. ANNEX 4
Your obligation to treat information as confidential does not end when you leave International Medical Corps. Upon the termination of your employment orother engagement with International Medical Corps, you must return everything that belongs to International Medical Corps, including all documents and other materials containing International Medical Corps and beneficiary confidential information. 102 ANNEX 4 • • • Pillar 1: Management andcoordination: d. donotknow c. notimplemented b. partiallyimplemented a. implemented below. the pillars of each implemented has Mark theappropriate column to theright witha organization your level what to Determine 4h.
4h. Mainstreaming PSEAChecklist 4. 3. 8. 7. 6. 5. 2. 1. Dedicated department /focal point committed to PSEA Cooperative arrangements Effective policy development andimplementation
that individuals entering into cooperative arrangements with the agency Procedures are in place to receive written agreementfrom entities or included in general contract conditions. SG’s Bulletin (ST/SGB/2003/13) or respective codes of conduct are organization. implementation requiredunder the current situation ofthe committed to PSEA is commensurate withthe scale of They have received systematizedtraining on PSEA and thetime PSEA in their job description,performance appraisal or similar. Staff membersdealing with PSEAhave formalised responsibility for Senior Focal Point onPSEA. report to senior management on its progress on PSEA through the The responsible department/focal point is required to regularly activities. for A dedicated department/focal point have the overall responsibility policy. and a and A policy stating standards of conduct, including acts of SEA, exists occ and seniorand management (at HQ and field level) The policy/standards of conduct have been conveyed to current staff Operating Standards for PSEA Audit Your Organization Against the IASC Minimum the the development and implementation of PSEA policy and as
they they are aware of and will abide by the standards of the PSEA work plan to implement the policy is in place. io n s (su c h as in duc ti ons an d r e f re s h er
t rai o n indicating: n i n re gs). p e a t e d a. b. c.
d.
Annex 4 – Samples and Templates 103
Pillar 2: Engagement with and support of local community population • Effective and comprehensive communication from HQ to the field on expectations regarding raising beneficiary awareness on PSEA. • Effective community based complaints mechanisms (CBCM), including victim assistance.
a. b. c. d.
The HQ has communicated in detail the expectations regarding beneficiary awareness raising efforts on PSEA (including 1. information on the organisation’s standards of conduct and reporting mechanism).
The HQ has distributed examples of awareness-raising tools and 2. materials to be used for beneficiary awareness raising activities.
The HQ urges its field offices to participate in community-based 3. complaint mechanisms that are jointly developed and implemented by the aid community adapted to the specific locations.
There is guidance provided to the field on how to design the 4. CBCM to ensure it is adapted to the cultural context with focus on community participation.
There is a mechanism for monitoring and review of the complaint 5. mechanism.
The organisation has written guidance on the provision of victim 6. assistance. ANNEX 4
Pillar 3: Prevention • Effective recruitment and performance management. • Effective and comprehensive mechanisms are established to ensure awareness-raising on SEA amongst personnel.
a. b. c. d.
The organisation makes sure that all candidates are required to 1. sign the code of conduct before being offered a contract.
Each organisation commits to improving its system of reference 2. checking and vetting for former misconduct.
Supervision and performance appraisals include adherence to 3. participation in Code of Conduct trainings (or similar) that includes PSEA. 104 ANNEX 4 • Pillar 4: Response 4h. Mainstreaming PSEAChecklist 4. 7. 6. 5. 6. 5. 4. 3. 2. 1. Internal complaints andinvestigation procedures inplace the sexual exploitation and abuse andpromotes the implementation of adherence Performance appraisals for Senior Management include the retaliationplace. in misconduct are and aware that there is a policy for Protectionfrom Staff members are aware of their obligation to report SEA/ the Training on misconduct (specifically mentioning SEA) forms part of of misconduct and the implications ofbreaching these standards. conduct, Staff receives annual refreshertraining onthe standards of to justify why not. action orcontractual consequences and, if not, the entity is able Substantiated complaintshave resulted in either disciplinary about out come is shared with the complainant. Investigations are commenced within 3 monthsand information as allegations of SEA. professionals who are also trained on sensitive investigations such Investigations are undertaken by experienced andqualified and Standard investigationoperating procedures equivalentor issued complaint/report and the procedures for handling these. Staff members are informed aon regularbasis ofhow tofile a members or beneficiaries are in place. Writtenprocedures on complaints/reportshandling from staff inductionprocess.
used used to guide investigation practice. ST/SGB/2003/13 or code of conduct. learnabout the mechanism to file complaints and reports to create and maintain an environment which prevents a. b. c. d. Annex 4 – Samples and Templates 105
4i. Generic Feedback Form Communicating with the Victim/Complainant
Date complaint brought to CBCM: ______
Date of CBCM’s first contact with victim/complainant: ______
Services:
Victim/complainant referred for assistance services? Yes / No
If Yes, which:
Security [date] ; Medical [date] ; Legal [date] ; Mental Health / Psychosocial [date]
Information communicated to victim/complainant before being referred for assistance services:
Information given by: [name; agency] Date: ______
Victim/complainant’s reported satisfaction with referral and services provided: [date]
Highly Satisfied ANNEX 4 Satisfied
Could improve
Not satisfied
Additional comments:
106 ANNEX 4 Referral to Agency: Referral 4i. GenericFeedback Form Communicating withthe Victim/Complainant Additional comments: Notsatisfied Couldimprove Satisfied HighlySatisfied Victim/complainant reported satisfaction with complaint handling: outcomeofthe Investigation] The concluded; the investigation When to proceed; an was determined basis insufficient thecomplaint that or commenced, has investigation (if known): an whether victim/complainant with communications Agency Date: ______Victim/complainant notifiedof receipt: _____ By Agency;_____ ByCBCM; Agency acknowledged receipt ofallegation: ______Date: agency] [name; by: given Information investigating agency: to referral of allegation time the at victim/complainant to communicated Information Date CBCMnotifiedvictim/complainant: ______Date CBCMreferred complaint to agency: ______
[date /agency name] my nld: When/ include: [may
[date] Annex 4 – Samples and Templates 107
Follow-up:
Any follow-up communications with the victim/complainant: [date]
Information given by: [name; agency]
Any follow-up communications with the victim/complainant: [date]
Information given by: [name; agency]
Any follow-up communications with the victim/complainant: [date] ANNEX 4
Information given by: [name; agency] 108 ANNEX 4 * perceived the is assessed being issue the relevance andeffectiveness purpose, ofaCBCM. this For issue. surveyed the toward attitudes and of experiences respondents’ the of understanding broad a get four to across categories from selected questions five of a mix creating suggests Voice Constituent The and quantitative monitoring and evaluation tools todeliver a more effective programme. reveal therefore should and specific cause the qualitative in other combination used with be not may but exist, may problems where suggest can results survey The service. or issue an sample a large toprovide in-depthunderstandingan targeta of population’s to general level satisfaction of on questions of number limited a population, in order to identify trends posing in the response. These micro-surveys are not designed on based is methodology The which hasbeenusedinthehumanitarian sector, called theConstituent Voice. use a satisfaction or perceptionsurvey. The sample below is derived from a perception survey way isto time One tracktothe CBCMsatisfaction over and perception communities’ of with 4j1. 4j. MonitoringSurveys Outcomes Relationship of the Quality Services Quality of Mechanism of the Importance phases ofsuchperception surveys. Please refer to the methodology section in this Technical Note for more about the data collection and analysis http://feedbackcommons.org/sites/default/files/constituent_voice_technical_note_2015_v1.1.pdf Category
Generic Satisfaction/Perception Survey affect thefuture how the CBCMwill predictions on PSEAin today and what happening is perceptions of beneficiaries’elicit Questions that representatives CBCM of responsiveness competence, and Questions trust, on services providedservices relevancethe of quality,timing, and Questions the on respondent the CBCMto the or relevance of the importance Questions establish • • • • • • • • • • • • • fromRanking 1-notatto all 5-extremely attending the PSEA awareness-raising session? attending the PSEA awareness-raising Do you think you willdoanything differently after prevention andassistance to victims? Do you think more work needs to bedoneonSEA CBCM? place inyour life andyour community because ofthe you feelDo there are real andbeneficial changes taking and actuponyour feedback? Do you believe that the CBCMwillsatisfactorily respond to Do you feel free to askquestions andsay what you think? and respect duringawareness-raising activities? Do theCBCMFocal Points treat you withcourtesy, dignity, Points? Do you have confidence andtrust inthe CBCM Focal services onsite]services inthepast, how helpful was their service? If you have been assisted by [insertname ofclinic/health others inyour area? How accessible istheComplaints Mechanismto you and for you? How relevant are the awareness-raising sessionsonPSEA lodge acomplaint, SEA? on one including How important itfor is you to know where andhow to staff are expected to behave? How important itfor is you to know how humanitarian Exploitation andAbuse (PSEA) to you? How important theProtection is against Sexual Possible questions * .
Annex 4 – Samples and Templates 109
4j2. Generic Knowledge, Attitude, and Practices (“KAP”) Survey (Baseline knowledge assessment)
The main objectives of conducting this assessment are: • To assess communities’ knowledge about standards of conduct for humanitarian workers, particularly on sexual exploitation and abuse • To assess communities’ knowledge on how and where they can report Sexual Exploitation and Abuse incidents • To set a baseline to compare the impact of the programme against subsequent KAP surveys after awareness-raising activities have commenced
Methodology: The assessment can use cross-sectional quantitative study design with systematic sampling methodology. Evaluators will need to determine the survey area and calculate sample size through a standard sample size calculation formula, as well as determine the methodology for soliciting the information, i.e. through focus group discussions or individual interviews.
The variables intended to assess are: • Percentage of community members who have basic knowledge of SEA • Percentage of community members who know where to report SEA incidents
One example of a structured questionnaire used to gather information from community members through structured interviews with selected households is provided below. The questionnaire should be adapted to the context of the specific country/site/CBCM. ANNEX 4 110 ANNEX 4 Consent: Questionnaire: Name oftheinterviewer: [If permissionisgiven, continue] May Istart?” that you provide willremain strictly confidential. are you if this, about comfortable you discussing to the talk issue. The to interview like will would take I about 10 abuse. minutes. All and the exploitation information sexual to related information collecting am I organization]. your of [name ______from is name “My household (“HH”) 4j. MonitoringSurveys 07 06 05 04 03 02 01 08 I. Background Agethe of respondent Sex of the respondent Geographical area HH Number Timeinterview of ended Timeinterview of began Date of interview [DD-MM-YYYY] How areold you? How long have you lived in here? eoe rceig rnol select randomly proceeding; Before [Years] [HH-MM] [HH-MM] 2years and above………. 4 >1year, butbelow 2 years…….. 3 >6months, but< 1year……. 2 Less than 6 months..………. 1 Female….1 lgbe epnet rm h selected the from respondent eligible one Male ……2 Annex 4 – Samples and Templates 111
II. SEA knowledge
09 Are you aware that humanitarian staff Yes….. 1 have standards of conduct? No….. 2 I don’t know…..3
10 Do you know what Sexual Exploitation Yes….. 1 and Abuse is? No….. 2 I don’t know…..3
11 Can you tell me an example of SEA? Relations with beneficiaries under (Do not read answer choices out 18 years old loud; circle if they mention any of the Monetary benefits for sex following) Relations between students and teachers at school Relations with humanitarian aid worker at assistance setting Relations for benefit of Shelter Etc… 12 Is this an issue that you are concerned about in this camp/community?
13 If “Yes”, what types of sexual exploitation and abuse incidents are you most concerned about in this community?
14 Where do you think these cases of At school …..1 ANNEX 4 sexual exploitation and abuse can At market..…2 happen? At home…….3 At food distribution centre..…4 At water points…..5 Any other place…..6
15 What is your basic source of information Health facilities.…..1 on sexual exploitation and abuse- Women’s centers…..2 Mass campaign related issues in this camp? sessions …..3 Electronic medias/ radios…..4 Through awareness creation….5 Others (specify)…..6
16 Have you participated in any awareness- Yes…..1 raising events about SEA since you came No…..2 to the village/area/ camp? I don’t know…..3 112 ANNEX 4 4j. MonitoringSurveys 19 18 17 20 IV. SEA deliveryservice reporting III. SEA 17 18 If Yes, where /to whom? (Ifthe answer is No, skip Q.19) Do you know where to report abuses? Q.18) (If theanswer is“Idon’tKnow”, skip wouldyou do? to sexual exploitation andabuse, what Ifyou suspect/witnessed/were subjected exploitation abuse and in this community? of where and how to reportsexual Do you feelyou have adequate knowledge organization? support from any support service-giving exploitations andabuse get services/ Inyour opinion dosurvivors of sexual following) loud; circle if they mention any of the (Do not read answer choices out of sexual exploitation andabuse? Whatservices are available for survivors Thank You! NamesaCBCMchannel(specify)...2 I don’t whatknow to I willreport the case…..2 No…..2 No…..2 No…..2 Names ofdifferent Safety/security…..3 Other (specify)…..4 Psychosocial….. 4 Legal…..2 Material…..5 I don’t know…..3 I Other(specify)…..3 organizations….1 I don’t know…..3 I Nothing…..1 Medical…..1 Yes…..1 Yes…..1 Yes…..1 do…..3 ANNEX 5
ANNEX 5
The Common The Common Reporting Platform
Annex 5 – The Common Reporting Platform 115
A Glance at the Common Reporting Platform
The Common Reporting Platform (CRP) is a monitoring and evaluation tool created through the IASC Pilot Project on inter-agency PSEA CBCMs, and is available to be replicated in additional operational sites. It is a database used to record and track all complaints received, survivor referrals to assistance service providers, SEA allegation referrals to investigation units, and feedback to survivors.
It allows a CBCM to standardize its data collection, organize cases1 and update them as new information arises. The CRP also monitors awareness-raising activities for both staffand members of the affected population, and records information collected on their impact on knowledge and behavioural change.
The Common Reporting Platform (CRP) is a monitoring and evaluation tool developed for the IASC Pilot Project on PSEA CBCMs.
Confidentiality is ensured through password protection – only authorized users have access to sensitive data, and only the site administrator may decide who may be granted access.
The map reflects locations where reported incidents have occurred so that CBCM staff are provided with a visual incident trends and can respond with targeted interventions. ANNEX 5
The table lists the reported complaints, including dates, priority level, reporting methods and location. Clicking on each complaint will provide all the complaint details.
1 The images shown here are from a demonstration platform – none of the cases pictured represent real complaints. 116 ANNEX 5 feedback, survivor satisfaction with the complaint mechanism, the assistance service, and the case the feedback +additional comments and service, assistance the mechanism, complaint the with satisfaction survivor feedback, Feedback/satisfaction provider(s),and service date/time allegation referred toagency, and case status satisfaction information. The complaint details screen presents an overview of all the details recorded as well as the feedback and Not allfieldsneed to befilled–therecord can stillbemadewithonlylimited information. Recording acomplaint: standardized intake form. A Glance at the Common Reporting Platform A GlanceattheCommonReporting : Date/time feedback given to survivor, case feedback provided, who provided who provided, feedback survivor, case to given feedback Date/time : eerl details Referral health, psychosocial/mental legal, livelihoods) (medical, provided safety ensuring plan, survivor informed of available services, and assistance for security responsible agency measures, taken, measures security requested Security/safety: sector, jobtitle, address, age, physical description, and sex accused) (the complaint the of Subject and witnessnamecontact details Incident factors contacts of parents if under 18, nationality, and vulnerability details Survivor and contact details complainant, of location/name complaint, of type method, General information The Record aComplaint Form contains the following fields: : Date of incident, time, brief description, brief time, incident, of Date : : Name of survivor, ID#, consent, age, sex, age, consent, ID#, survivor, of Name : dt/ie uvvr eerd o services for referred survivor date/time : : date recorded, priority level, reporting : Name, agency, work work agency, Name, : ANNEX 6
Best Practice Checklist
Annex 6 – Best Practice Tools 119
Best Practice Checklist
Find on the Internet Find in the Annexes (click to get the hyperlink)
Key reference • UN Secretary-General’s • Guidelines to Implement the documents Special Bulletin on Special Minimum Operating Standards for measures for protection PSEA from sexual exploitation • Challenges and Options to and sexual abuse (2003) Improving Recruitment Processes • Statement of Commitment in the Context of Protection from on Eliminating Sexual Sexual Exploitation and Abuse Exploitation and Abuse by (PSEA) by our own staff (2013) UN and Non-UN Personnel • IASC Guidelines for Integrating (2006) Gender-Based Violence • IASC Minimum Operating Interventions in Humanitarian Standards for PSEA (2012) Action (2015) • IASC Statement on • IASC’s 2012 Compendium of Protection from Sexual Practices on Community-Based Exploitation and Abuse Complaints Mechanisms (2015) • Report of the 2014 HAP Conference • IASC Global Standard “Do Complaint Mechanisms Work?” Operating Procedures • SEA Victim Assistance Guide (SOPs) on Inter-Agency (2009): Establishing Country-Based Cooperation in CBCMs Mechanisms for Assisting Victims of (2016) Sexual Exploitation and Abuse • Model Complaints and Investigation Procedures and Guidance Related to Sexual Exploitation and Abuse (Draft) (including the IASC Model Complaint Referral Form)
Sample tools • Sample Terms of • PSEA Task Force online Toolkit and checklists Reference for CBCM • InterAction’s Step by Step Guide to to set up a Focal Points and Steering Addressing Sexual Exploitation and CBCM Committee Abuse • Sample Complaint Handling Flowcharts and PSEA Checklists for Agencies (examples): Victim Assistance Referral • UNICEF’s Minimum Response Pathways Checklist: Prevention of Sexual • Sample PSEA language in Exploitation and Abuse by Personnel Contract Clauses • HAP International’s Sexual • Step by Step overview of Exploitation and Abuse Prevention the CBCM Best Practice and Response Tally Sheet Guide • IRC’s Preventing Sexual Abuse and Exploitation Mainstreaming
Checklist ANNEX 6 • InterAction – Audit Your Organization Against the IASC Minimum Operating Procedures for PSEA 120 ANNEX 6 Best PracticeChecklist questions Additional PSEA material on Training database) handling (complaint Platform Reporting Common the project throughout communities engage with on how to Guidance including-protection-sexual-exploitation-and-abuse interagencystandingcommittee.org/accountability-affected-populations- org orgo to theTask Team’s website by clicking Write to theAAP/PSEA Task Team HelpDesk:helpdesk-aap-psea@unhcr. • • • • • Examples online: • • • • • To Serve withPride(video) SEA 201:Mainstreaming SEA Prevention and Response (e-learning tool) Humanitarian Workers Receiving andInvestigating Allegations ofAbuseandExploitation by ICVA’s BuildingSafer Organisations Handbook: Training Materials on Sexual Exploitation andAbuse UNICEF’s Training ofTrainers onGender-Based Violence:Focusing on InterAction’s PSEA Basics Training Guide Reporting Platform A GlanceintheCommon Conduct Sample CommonCodesof Templates FeedbackSurvivor Sample Complainant/ survey Attitude and Practice (KAP) Sample Knowledge, Perception survey Satisfaction and Sample Beneficiary • • • • • [email protected] database, orto seeademo, contact For more information onthe Emergencies Change Communication in Toolkits UNICEF’s e.g. Behaviour Behavior Change Communication SASA!e.g. Community Mobilization Toolkits Operations for Participatory Assessment in TheUNHCRToolguides, e.g. Community Consultation Quality andAccountability (CHS) The Core Humanitarian Standard on here orat https://