global standard operating procedures on inter-agency in community-based complaint ... · 2020. 5....

PSEA Referral SOP - Endorsed by Signatories on 04.03.2020

Standard Operating Procedure on SEA Complaint Referral in Cox’s Bazar

1. Introduction Sexual Exploitation and Abuse by humanitarian workers (“SEA”) can occur in any humanitarian or development context and is a particular risk in emergency contexts characterized by violence, gross power imbalance, mass displacement, restricted access, dismantled family and societal structures and gender and social inequalities. Beginning 25 August 2017, extreme violence in Rakhine State, Myanmar, drove over 700,000 Rohingya refugees across the border into Cox’s Bazar in the span of a few months. Over two years later, Rohingya refugees continue to arrive in Bangladesh, though in much fewer numbers. In response to this crisis, the UN agencies and international and Bangladeshi NGOs have deployed a large number of humanitarian workers with various degrees of training and capacity. In order to prevent sexual exploitation and abuse (SEA) risks and respond to allegations reported, the UN Resident Coordinator for Bangladesh called upon the humanitarian community in October 2017 to establish an in-country PSEA Network, coordinating the efforts of the humanitarian community to enact SEA prevention measures, provide assistance to survivors and referring allegations to the relevant investigation units for follow up. One of the primary activities of the Cox’s Bazar in-country PSEA Network (the “Network”) is to establish and operate a joint complaint system so that any complaint of SEA made in Cox’s Bazar is sent to the relevant investigation unit for follow up and the survivor is referred for assistance services, and protection, thus, the rights of survivors of SEA will be fulfilled, through access to timely and confidential investigation, effective, and safe assistance and support. These “Standard Operating Procedures on SEA Complaint Referral in Cox’s Bazar” (“CXB SOPs”) define the pathways SEA complaints will follow from receipt through investigation and follow-up and outline the roles of the various actors involved. Both the roles and pathways are in line with the Global Standard Operating Procedures on Inter-Agency in Community-Based Complaint Mechanisms, endorsed by the IASC Principals in June 2016, and reflect the numerous commitments made by agencies to actively engage in Protection from Sexual Exploitation and Abuse (“PSEA”).1 All humanitarian organisations share an ethical responsibility to ensure the protection of beneficiaries from sexual exploitation and abuse. This encompasses timely reporting of, and response to SEA cases, effective monitoring, and prevention of SEA. Thus, each organization participating in the Network is required to have their own internal complaint handling and response procedures for SEA2. This SOP in no way change or override the internal policies of member agencies. Rather, it supplements those policies by outlining the complaint referral process outside their coverage (i.e. inter-agency).

1 Among these commitments are the Secretary General’s Bulletin on SEA ST/ SGB/2003/13 (2003) which is binding for all UN personnel, and the Statement of Commitment on Eliminating Sexual Exploitation and Abuse by UN and Non-UN Personnel (2006), which expanded the PSEA framework outside the UN and to cover all personnel. 2 The CXB SOPs are endorsed by all members of the PSEA Network and their partners and will be followed for all allegations of SEA in Cox’s Bazar. When a complaint is received against staff of a non-member, non-partner organization, every effort will be made for these procedures to be followed to the fullest extent possible, and the organization assisted in fully responding to the allegations.


2. Key Terminology

Beneficiaries of Humanitarian Assistance: A person who receives assistance as part of either emergency 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 marginalised and vulnerable individuals, as well as host community members. Sexual exploitation or abuse of a beneficiary by a member of the humanitarian community is SEA, but the individual need not be in a vulnerable position; a differential power or trust relationship is sufficient to establish SEA.

Case Management: The process of helping individual survivors and families through direct social-work type support, and information management.

Code of conduct: A set of standards for behaviour that staff, consultants, contractors, incentive workers, volunteers of an organization are obliged to adhere to.

Community Based Complaint Mechanisms (CBCM): A Community-based complaints mechanism is a system blending both formal and informal community structures, 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 a 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 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.

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.

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.


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.

Sexual Exploitation and Abuse: Particular forms of GBV that have been reported in 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.

Sexual Abuse: The actual or threatened physical intrusion of a sexual nature, whether by force or under unequal or coercive conditions.

Sexual Harassment: Any unwanted sexual advance, request for sexual favour, verbal or physical conduct of a sexual nature or gesture of a sexual nature or any other behavior of a sexual nature that might reasonably be expected or be perceived to cause offence or humiliation to another, when such conduct is made by a colleague and interferes with work, is made a condition of employement or creates an intimidating, hostile or offensive work environment.

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).

3. Principles and Practices All stakeholders agree to uphold the principles of confidentiality, transparency, accessibility, survivor-centred approach, and partnership when any allegation is made to their agency or to the Network. In referring complaints, all actors must maintain confidentiality and respect the reputation of the agency and the interests of the individuals involved in the allegation. Agencies and the Network will receive complaints in good faith and in the spirit of cooperation and respond in a timely manner. All actors participating in the Network agree to cooperate and assist each other to the fullest extent in preventing and responding to SEA. Within the complaint handling processes of both the Network and of each Network member, all SEA-related information will be kept confidential, identities will be protected, and the personal


information on survivors shall be collected and shared only with the informed consent of the concerned people. Where physical records are kept, documents will be stored safely to prevent accidental disclosures. Electronic databases or files used to record, and track case information will have restricted access. Complainants will be made aware of confidentiality procedures, including the persons that will be involved in the case processing, and shall give their explicit informed consent to proceed with recording the complaint. Where the survivor gives such consent, only purpose-specific and on a need-to-know basis information shall be shared with others for the purpose of helping the survivor, such as referral for services, or for investigation. To make the complaint mechanisms accessible to the largest possible number of people, the Network will identify and institute various entry points that are both culturally and context-appropriate, based on community consultations. Special Considerations for Children3: The above principles and practices apply to children, including the right to participate in decisions that will affect them under the survivor-centred approach. If a decision has to be taken on behalf of a child, the best interest of the child shall be the overriding guide. Mandatory Reporting: In recognition of the UN’s zero-tolerance policy for SEA, the Secretary General’s Bulletin on SEA and related organizational policies oblige staff and partners to promptly report all concerns or suspicions of SEA by fellow workers via established reporting mechanisms, whether or not the alleged perpetrator is from the same agency. Reports must be made in good faith and reporting personnel should be reassured that no action will be taken against any worker who makes such a good faith report, even should the allegation prove unfounded upon investigation. Each organisation should establish mechanisms to protect those who report cases of Sexual exploitation and sexual abuse, because, there can be cases of retaliation, and or attacks from those being suspected to have committed Sexual Exploitation or Sexual abuse. However, if a staff knowingly and wilfully reports false or malicious information regarding another staff person, such false reports may lead to disciplinary action, sanctionable up to termination of employment. The failure of those entities or individuals to take preventive measures against sexual exploitation or sexual abuse, to investigate allegations thereof, or to take corrective action when sexual exploitation or sexual abuse has occurred, shall constitute grounds for termination of any cooperative arrangement with the United Nations4. Reconciling mandatory reporting of SEA with survivor consent: While reporting SEA is mandatory for all staff of the Network member agencies, this obligation may in practice conflict with the right of the survivor to choose how she/he would like to address a SEA incident. This potential conflict will need to be resolved on a case-by-case basis, balancing both the rights of the survivor and the safety of the broader community, and based on the internal policies of the relevant agency. Regardless, the staff member receiving the information should inform the survivor of the mandate to report on SEA, on confidentiality procedures in place, and what she/can expect from the complaint handling process in order for him/her to make an informed decision and to manage expectations.

3Inter Agency Guidelines for Case Management and Child Protection do apply for consent and assent. 4 Section 6.2 of the SG bulletin 2003/13


See annex I, “Guidance Note: Communicating Protection from Sexual Exploitation and Abuse (PSEA) Mandatory Reporting for Gender-Based Violence Case Management Services (Oct. 2019)”

4. Complaint Referral Procedures It is the responsibility of all Network member agencies in Cox’s Bazar to ensure that a safe, confidential, transparent, and accessible complaints system is established so that all potential complainants know where and how to submit a complaint. Beneficiaries must understand their right to free humanitarian assistance, their right to complain5, and how they can bring a complaint in the manner most comfortable to them. Humanitarian workers, in turn, must understand what SEA is, the role of the PSEA Focal Point and the role of the Network and how to bring an inter-agency complaint, and the SEA reporting procedures of their own organization. Such activities will be implemented following good practices and global commitments are outlined in the CXB PSEA Network Strategy. The following complaints handling process is established to receive allegations, assess and refer for immediate assistance, separate SEA from non-SEA allegations, refer all complaints for further action including investigation, and offer follow up. 4.1 Receiving Complaints For the purposes of this SOP, complaints should be reaching the organization’s PSEA Focal Point or the PSEA Network Coordinator within 48 hours from the moment of report. The report should include, for as much as possible, the information as per attached dataset (Annex 2) When the reporting of SEA complaint to the PSEA Focal Point or to the PSEA Network Coordinator is delayed, written justification explaining reasons for the delay should be provided to the recipient of the complaint6. When the complaint is received by the PSEA FP (or by the PSEA Network Coordinator), the maximum processing time for referral to the investigative body will be as soon as reasonably possible, and no longer than 48 hours. Delays will require written justification explaining the reasons for the delay. Once the PSEA FP has referred the complaint to the investigative body, the PSEA FP should notify the PSEA Network Coordinator of the case according to the dataset as outlined in this SOP. The Network will ensure that staff operating in existing complaint mechanisms7 are trained on PSEA and understand these referral pathways. Where mapping reveals that barriers to reporting exist that are not met by existing channels, the Network will work with member agencies, relevant GBV, CP, PWG, and other relevant (sub)Sectors and working groups to establish new mechanisms to fill those gaps.

5 See Annex 1 - Guidance Note: Communicating Protection from Sexual Exploitation and Abuse (PSEA) Mandatory Reporting for Gender-Based Violence Case Management Services (Oct. 2019) 6 The written justification will include: a) Date of the incident; b)Date of report; c) Reasons to exceed the 48 hours for referral:

- if the allegation is against an internal staff and it is delayed, then each concerned PSEA FP will need to address the SEA complaint to their Investigation Units providing a written justification on the reasons why the delays occurred.

- if the allegation is against an external staff whose organization and PSEA FP are known and the allegation is delayed, then the PSEA FP will need to address the SEA complaint to the known PSEA FP of the concerned agency providing a written justification for the delay.

- if the allegation is against an external staff whose organization and PSEA FP are unknown and the allegation is delayed, then the PSEA FP will need to address the SEA complaint to the PSEA Network Coordinator providing a written justification for the delay.

7 Current channels appropriate to receive SEA complaints include the information hubs, women and girls’ safe spaces, hotlines, agency PSEA Focal Points, community-based protection units, Protection Focal Points and other initiatives established by UN and NGOs.


4.1.1 Complaints from the Affected Community

Main person to receive an SEA complaint is the PSEA Focal Point of the concerned agency. SEA complaints will come to the PSEA Focal Points via multiple entry points: protection focal points, CP Focal points, GBV focal points, info-Hubs, feedback and information centres, help desks, hotlines, and other complaint and feedback mechanisms. The PSEA Focal Points will analyse the case and send the complaint to the respective investigative unit for follow up and will ensure that the survivor will be provided with immediate referral to the relevant services liaising with the GBV Focal Point (as per interagency referral pathways). The PSEA Focal Point will as well share information related to the case with the PSEA Network Coordinator as per dataset under paragaph 5. In the event the PSEA Focal Point is unknown, or it is not possible to trace the concerned agency, the complaints must be reported to the PSEA Network Coordinator while ensuring timely and adequate referral for immediate assistance for the survivor. The PSEA Network Coordinator will gather the relevant information to understand the nature of the complaint and the concerned agency and will then direct the complaint to the relevant PSEA Focal Point. During the intake process with in-person complainants, the person receiving the complaint shall respect the wishes, choices, rights, and dignity of the complainant when reporting on behalf of. It is not the responsibility of the staff member to determine whether or not a complaint is true or has sufficient information for investigation. It is his/her responsibility to gather the relevant information from the complainant and ensure that the allegation is sent to the PSEA Focal Point or PSEA Network Coordinator for referral to the appropriate unit in the concerned agency via the process outlined in this SOP.


The names of all parties to a complaint are confidential. The identity of the subject of the complaint shall be protected, out of considerations of due process, fear of retaliation, and presumption of innocence. The name of the survivor, or complainant if different from the survivor, shall not be released to the subject of the complaint without the survivor’s consent, and shall never be released to or by the PSEA Focal Point or PSEA Network Coordinator. In certain circumstances, an investigating agency may, with clear justification, reveal a survivor’s name to the administrative body conducting disciplinary review without his/her consent if there is insufficient corroborative evidence without his/her testimony. In such instances, humanitarian stakeholders in Cox’s Bazar, in consultation with the investigating agency, may take additional reasonable measures to shield the survivor/complainant from potential retaliation or stigmatization. 4.1.2 Reports by Humanitarian Workers

A humanitarian worker may use any of the reporting channels available to the affected population, but the main point of contact should be the established reporting channels of his/her agency in line with their organizational PSEA policy and framework. Whether the allegation is against 1.) a co-worker in the worker’s same Agency/Organization, or 2.) against staff of another Agency/Organization, and or against a volunteer who is engaging in exploitative or abusive relationship. The reporting procedure will remain in line with the internal procedures of the worker’s own Agency/Organization. In most cases this will involve reporting the allegation through the staff member’s internal complaints system. If the subject of the complaint is employed by another agency, the complaint will be forwarded to the concerned agency by the PSEA Focal Point. The staff member may as well contact the PSEA Network Coordinator directly. To facilitate transparency, and SEA trends analysis of SEA in Cox’s Bazar, and better inform programming, agencies receiving internal SEA complaints must notify the PSEA Network Coordinator


for data tracking (see §5). The PSEA Network Coordinator will build relationships and advocate for increased information sharing from agency SEA units to the Network so that the Network can build a complete understanding of SEA trends in Cox’s Bazar.8 If a humanitarian worker genuinely believes that the primary reporting route of his/her agency is compromised, or that s/he would be victimised or she/he has no confidence in the local management structure, then a report of SEA should be raised directly with a senior manager or PSEA Focal Point at the regional or headquarters level of the concerned organization (i.e. the organization employing the alleged offender) or with the PSEA Network Coordinator. In exceptional circumstances, e.g. if the worker’s access to the Network is compromised, he/she may bring the complaint to the Focal Point of another member organization in order to make an anonymous complaint via the Network. Protocols on confidentiality and informed consent, according to the legal framework of each member organization and this SOP, must be maintained for complaints made by humanitarian workers as they would for any other complaint. 4.2 Complaint Follow Up All complaints identified, or reported, and registered by PSEA Focal Points will be reported to the PSEA Network Coordinator in order to ensure data trend collection/analysis (as per data sharing agreements in the response) under strict conditions of confidentiality. The Coordinator and Network co-chairs are required to sign confidentiality agreements. When the Coordinator is on annual leave or leaves his/her position, complaints will be referred by the PSEA Network co-chairs so that complaints are not left waiting for review. All complaints will be assessed in order to identify those, which allege misconduct falling within the scope of SEA and identify any other relevant referrals to be made. This assessment is not in any way an investigative procedure. The role of the PSEA Focal Point the PSEA Network Coordinator is not to substantiate a claim or determine whether there is sufficient basis for investigation, but only to determine if the complaint constitutes a SEA allegation, determine if other legal frameworks are implicated, and to refer the survivor to the appropriate services. 4.2.1 Referrals for immediate assistance GBV Services: The CXB PSEA Network is committed to working with GBV, CP sub sectors and relevant agencies to ensure that SEA survivors have access to appropriate GBV services. While SEA survivors have distinct needs stemming from the fact that members of the humanitarian community committed the abuse and/or exploitation, many of the physical and psychosocial needs are similar to survivors of other forms of GBV.9 For this reason, when the PSEA Focal Point or the PSEA Network Coordinator receive an allegation of abuse and/or exploitation she/he will immediately contact the relevant GBV Case Management Focal Point (“GBV Camp Level Focal Point”) according to the GBV

8 The Global SOPs (§4.3.3) encourage but do not require agency HQs to share basis anonymized case status updates with a PSEA Network. 9 For more on the particular needs of and the minimum services owed to SEA survivors, see the IASC Best Practice Guide §D, Ch.1 “Ensuring quick and appropriate assistance”


referral pathways in CXB. If there is no appropriate GBV Focal Point identified in the incident location, or there is any reason to believe that following the GBV referral pathways would be unsafe, the PSEA Focal Point or the PSEA Network Coordinator will refer to the GBV Focal Point of the nearest geographic zone, according to the best interests and the informed consent of the survivor. Within 48 hours of receiving the referral, the GBV Focal Point will provide the PSEA Focal Point with a written verification that service referrals were conducted. It is a core tenet of PSEA that basic assistance is not dependant on the referral or outcome of a case but is provided independently and as early as possible. This right should be made clear to the survivor. An individualized needs assessment conducted by the GBV Focal Point shall determine the immediate medical, psychosocial, safety and security, and legal needs of each SEA survivor. This assessment is entirely independent from administrative action taken on the complaint, including both referral for investigation and the outcome of any initiated case. All SEA survivors/complainants are entitled to a needs assessment. Complainants who are not alleged victims/survivors, including whistle-blowers, may also require a safety and security assessment and other safeguarding and protective measures If for any reason the PSEA Focal Point or the PSEA Network Coordinator receives a complaint where waiting for a needs assessment would cause harm to the survivor – e.g. at hour 72 on a sexual violence report – the Focal Point/Coordinator will immediately refer the survivor to a health clinic that provides Clinical Management of Rape, while at the same time following the GBV referral pathways and informing the relevant GBV Focal Point of the additional referral. Special considerations for child survivors: When the survivor is under the age of 18, the GBV Focal Point will be responsible for making appropriate referrals, following the existing child protection protocols in CXB in cooperation with GBV and CP subsectors. 4.2.2 Data protection and information sharing

The PSEA Network and partners should protect any data related to an individual who can be identified from that data and other information; or by means reasonably likely to be used related to that data. Personal data includes biographical data (biodata) such as name, sex, marital status, date and place of birth, country of origin, country of asylum, individual registration number, occupation, religion and ethnicity, biometric data such as a photograph, fingerprint, facial as well as any expression of opinion about the individual, such as assessments of the status and/or specific needs. The data should be shared on a need to know basis with actors, who can respond and or change the situation. 4.2.3 Referrals for investigation and follow up In some circumstances, a PSEA member agency may have an institutional complaint handling procedure that requires its staff to report all known SEA allegations directly to his/her investigative unit at headquarters. In such instances, the staff shall report the allegation directly to the relevant unit in his/her agency that is mandated to receive SEA complaints, in order to be compliant with his/her agency’s reporting procedures. This applies to SEA allegations concerning a staff member of that agency or of another agency. In case of the latter, the PSEA focal point of


the concerned agency should be alerted in Cox’s Bazar district or elsewhere in the country (as the case may be), to ensure timely and efficient follow up. The procedures outlined in section 4.1 are equally applicable here10.

4.2.4 Transferring non-SEA complaints Complaints which do not fall under the SEA definition will reach the Focal Points or the Network. For the affected population to have faith in the PSEA Network, all complaints reported to it must be properly followed up on, feedback provided in a timely manner, and not just those alleging SEA. A complaint that does not involve a SEA allegation, but rather a broader humanitarian assistance provision issue, will be recorded and transferred directly to the relevant agency (if clearly indicated) or Sector Coordinator for identification and transfer to the relevant agency. Transfers of non-SEA complaints will also be made in a timely manner, and the complainant will be informed that any requested feedback to “close the loop” will be the responsibility of the agency or Sector taking referral of the complaint and cannot be guaranteed by the Network. Protection: When a non-SEA complaint is received by the Network and raises protection implications, the PSEA Focal Point or the PSEA Network Coordinator will refer the complaint to the identified Focal Point responsible for protection in that area, following the Protection Referral Pathways. 4.3 Follow up by the concerned agency after referral Once a SEA complaint has been referred to the relevant agency/organization, the CXB PSEA Network maintains a passive role of monitoring and assistance on that complaint. Further proactive steps (i.e. investigation and potential disciplinary action) are the internal responsibility of the concerned agency/organization and shall proceed following the internal procedures of that agency. The PSEA Network – and the PSEA Focal Point - do not investigate complaints. Network member agencies commit to actively responding to all SEA allegations and to conducting SEA investigations following international principles and standards. For organizations outside the PSEA Network that lack the capacity to investigate internally, and do not have a partnership agreement with a UN agency who can support an investigation, the Network shall remain available to advocate for addressing training needs related to investigations upon request from the concerned agency. After the investigation has been completed, the agency shall inform the PSEA Network on the status of the investigation and action taken in a timely fashion, which shall be done in accordance with the protocol of each organization for sharing such information. 4.4. Provide Feedback to Survivors and Complainants

10 § 4.1 “Once the PSEA FP has referred the complaint to the investigative body, the PSEA FP should notify the PSEA Network Coordinator of the case according to the dataset as outlined in this SOP.”


The PSEA Focal Point shall inform interested parties of the status of a filed complaint. The complainant and the survivor (if separate) have an interest in receiving feedback on the case filed on their behalf. Timely and thorough feedback on complaints is also integral to building trust and buy-in for the Network and the community. The alleged offender also has an interest in the complaint filed against him/her, but this is not the responsibility of PSEA Focal Point – informing the implicated staff member is the responsibility of the investigating agency in line with internal policies. The investigating agency shall be responsible for notifying the complainant (and if separate, the survivor) in a safe and timely manner of the status and outcome of the investigation, in accordance with the agency’s internal protocols. If the agency determines upon receipt of the complaint that an investigation is not warranted or there is insufficient information to proceed, this feedback will also be provided.

The Network may serve as a point of contact for delivery of feedback to the complainant or survivor, which shall be delivered in a safe and ethical manner acceptable to the recipient. The Network shall remain accessible to the complainant or survivor to answer questions as needed but must be careful to manage expectations by clearly explaining that any feedback the Network can give is dependent upon the information that the investigating agency chooses to share. The level of detail provided to relevant parties will vary according to investigating agency’s internal procedures. If the survivor declines further contact in the form of feedback, the Network will respect this wish. 5. Monitoring and reporting on case handling Systematic monitoring and evaluation of complaint procedures and practices is key to assessing whether the referral pathways are working and properly adapted to the local context, to gather lessons learned, and to make improvements to the complaint channels and pathways. Monitoring and evaluation data shall come from both consultations with communities (i.e. satisfaction surveys, KAP surveys, FGDs etc.) and statistical analysis of complaints referred. Monitored data shall include information that can be used to measure the effectiveness of the practices, including but not limited to the frequency of reporting over time and in relation to awareness raising activities and the assistance being provided to survivors. All data on complaints received shall be desegregated by sex, age group, type of complaint, and other relevant factors for useful analysis and targeted response, however not to the point that such disaggregation would allow identification of a particular complainant/survivor. The CBX PSEA Network members are responsible for ensuring that there is regular compilation and reporting of non-identifying SEA incident data to interested parties. Given the multi-agency coordination of the Network and intake occurring across various sites/zones, efforts shall be in place to standardize data reports to enable regional – and eventually national and global – data comparisons. The Network recognizes that without consistent and comprehensive data it is simply not possible to get a full picture of the problem, establish a baseline from which to measure impact of different types of interventions, nor effectively spot alarming trends. Anonymized incident data shall be shared with the Resident Coordinator, the Senior Executive Group, and relevant IASC and UN bodies focused on PSEA, so that they are apprised of current SEA trends.


In order to enable the Network to have a comprehensive understanding of SEA in Cox’s Bazar to improve its prevention and response activities, PSEA Focal Points are required to share with the Network the following data on all SEA cases reported to them from CXB:

a) Contractual type of alleged perpetrator; b) Sex, age range and origin of the victim/survivor; c) Type of incident.

To the extent possible and in coordination with internal investigative policies and procedures, agencies are encouraged to provide the following information to the Network:

● Source of the report (UN, INGO, nNGO); ● Organization of alleged perpetrator; ● Date of occurrence; ● Date of referral (to the PSEA FP/Coordinator); ● Sex of the victim/survivor; ● Age range of the victim/survivor; ● Origin of the victim/survivor (Rohingya community, Bangladesh, etc); ● Type of incident; ● Location; ● Profession and origin of the alleged perpetrator; ● Sex and age range of alleged perpetrator; ● Number of alleged perpetrators; ● Assistance provided and date of provision (MHPSS, medical care including CMR, livelihood

support, legal assistance, Safe shelter, Security/Police); ● Preliminary measures taken against the alleged perpetrator.


Signatory Page for Network Member Agencies We the undersigned, as representatives of our respective organisations in Bangladesh, agree and commit to support the CXB PSEA Network, and to fulfil our roles and responsibilities in adhering to these procedures:

______________________________ __________________________ IOM UNHCR ______________________________ __________________________ UNICEF UN Women ______________________________ __________________________ WFP Action Against Hunger (ACF) ______________________________ __________________________ Danish Refugee Council Save the Children ___________________________ ___________________________ Humanity and Inclusion (HI) FAO


Contact List - PSEA Focal Points This list is a tool to facilitate SEA complaint referrals in Cox’s Bazar. Below is the contact information for the units responsible for final receipt and investigation of SEA allegations within the member organizations of the Cox’s Bazar PSEA Network.

ORGANIZATION NAME OF FOCAL POINT CONTACT ACF Md. Abu Zafar Hasrat [email protected] ACTION AID BANGLADESH Farhana Azizi [email protected] BBC MEDIA ACTION Kate Gunn [email protected] BRAC Tahrima Akter [email protected] CARE BANGLADESH Samapti Chakma [email protected] CARITAS BANGLADESH Fouzia Rahman [email protected] CHRISTIAN AID Rozana Majumdar [email protected] CODEC Das Narayan [email protected] CATHOLIC RELIEF SERVICES Divya Chandran [email protected] DRC Iakheiidin Mirzashev [email protected] FAO Malika Budanaeva [email protected] HI Ariel Zarate [email protected] ICRC Sabrina Denuncq [email protected] IFRC Kyla Michelle Rabi [email protected] IOM Megan Denise Smith [email protected] / [email protected] MSF Elisabeth Bijtelaar [email protected] Mukti Md. Shamim Sarder [email protected] OXFAM Renée Wolforth [email protected] Plan International Sellappu Nithiaraj [email protected] SAVE THE CHILDREN David Skinner [email protected] Solidarites International Samuel Komakech [email protected] UNDP Mahtabul Hakim [email protected] UNFPA Subarna Dhar [email protected] UNHCR Lorett Jesudoss

Shirin Aktar [email protected] [email protected]

UNICEF Gertrude Mubiru [email protected] UNWomen Sultana Nasrin [email protected] WFP Peter Guest [email protected] WHO Asma Absari [email protected] World Vision International Rachel Wolff [email protected]


Annex 1: Guidance Note: Communicating Protection from Sexual Exploitation and Abuse (PSEA) Mandatory Reporting for Gender-Based Violence Case Management Services (Oct. 2019)

This guidance note is a recommendation to GBV case management agencies of how to include mandatory Sexual Exploitation and Abuse (SEA) reporting in survivor-centred case management services following the guiding principles outlined in the Inter-Agency GBV Case Management Guidelines.[1] The guidance note provides recommendations, the requirements for mandatory reporting of SEA cases through GBV case management services and how this process will be conducted is the decision of the implementing agency. Reporting of SEA should never impact the quality, survivor-centred care that survivors receive from GBV case management agencies; SEA survivors should always be offered support services in accordance with their wishes.

The guidance mainly refers to Step 1: Introduction and Engagement of the GBV case management process. PSEA considerations are particularly pertinent for the process for informed consent from the survivor. In order to ensure informed consent the survivor needs to be clearly and transparently explained what will happen during the case management process. Protecting a survivor’s right to confidentiality is a key guiding principle, as such the survivor needs a clear explanation at the start of the case management process of situations in which confidentiality will be broken. If these situations are not clearly explained than there is the risk that consent will not be informed, the survivors rights and wishes will not be taken into consideration, and further harm could be caused.

It is for the GBV case management implementation agency to decide how SEA cases are reported by the Case Worker as part of mandatory reporting requirements. If the agency decides that cases of SEA should be handled according to mandatory reporting protocols organizations need to be clear on what the inter-agency protocol is and inform the survivor as to whom the case would be reported, what information would be shared, and what the expectations would be regarding the survivor’s involvement (i.e. Will the survivor have to file a report, and if so to whom? Will the survivor have to be interviewed, and if so by whom?).

Below is a guide for GBV Case Workers in communicating mandatory SEA reporting requirements to GBV survivors following a survivor centred approach which takes into consideration the safety, dignity and wishes of the survivors. The guidance will need to be adapted according to the agencies own PSEA policy and procedures. It is recommended that Case Workers receive technical leadership, close mentoring, and support in rolling out the guidance. Space should be provided for Case Management teams to provide feedback on the guidance and raise any issues they face in communicating SEA mandatory reporting requirements with GBV survivors.

Also annexed is a sample case management consent form (taken from the Inter-Agency GBV Case Management Guidelines) that has been updated to include mandatory SEA reporting as a limitation of confidentiality. The informed consent should be given by the survivor at the start of the case management process. Informed consent demands that the survivors are provided details about the case management process, including a clear explanation of the limitations of confidentiality and how SEA reports are dealt with. This information provided should be grounded in practise and avoid


raising the expectations of survivors as often no response can be guaranteed for the survivor in terms of actions against the perpetrator.

Communicating PSEA Mandatory Reporting to GBV Survivors seeking Case Management Services

Explain survivor’s involvement in the process, his/her rights and how he/she wil be protected


SAMPLE SCRIPT: For GBV Case Workers to Explain Mandatory Reporting “It is important for you to know that I will keep what you tell me confidential, including any notes that I write down during our meetings. This means that I will not tell anyone what you tell me, or share any other information about your case, without your permission. There are only a few situations when I may have to speak with someone else without asking your permission. If you tell me you that you may hurt yourself, I would need to tell my supervisor or others who could help keep you safe. If you tell me that you plan to hurt someone else, I would have to tell [relevant protection authorities] so we could prevent that action. If a humanitarian worker, including volunteers, has hurt you, I would need to tell my supervisor and report what this person has done, so he/she can’t hurt anyone else. Your case will not be reported in the usual way our agency handles other complaints. Instead, I share this with only one senior manager, and she shares it only with a special focal point in Bangladesh. No one else will know your name or details of your situation. INCLUDE:

1. What the expectations will be regarding the survivor’s involvement in the report/investigation

2. That the PSEA report does not affect the case management services that will be provided, the survivor will have fair and safe access to services according to her wishes

3. Case Workers do not engage with alleged the perpetrator(s) (whether UN/humanitarian staff or other)

Sharing information during these times is meant to keep you safe and get you the best help and care you need. Other than these times, I will never share information without your permission.

[1] The present guidance note is based on the recommendations and approach for working with GBV survivors outlined in the Interagency GBV Case Management Guidelines which can be found at: http://gbvresponders.org/response/gbv-case-management/


Annex 2: Dataset

● Source of the report (UN, INGO, nNGO) ● Organization of alleged perpetrator ● Date of occurrence ● Date of referral (to the PSEA FP/Coordinator) ● Sex of the victim/survivor ● Age range of the victim/survivor ● Origin of the victim/survivor (Rohingya community, Bangladesh, etc) ● Type of incident ● Location ● Profession and origin of the alleged perpetrator ● Sex and age range of alleged perpetrator, ● Number of alleged perpetrators ● Assistance provided and date of provision (PSS, Health including CMR, Mental health,

livelihood support, legal assistance, Safe shelter, Security/Police) ● Preliminary measures taken against the alleged perpetrator

global standard operating procedures on inter-agency in community-based complaint ... · 2020. 5....

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