SEA CBCM Workshop Facilitator Guide - Final (06.13.2012)

Sexual Exploitation and Abuse
C om m unity- B ase d Complaints Mechanisms Workshop
SEA Sub-Working Group
June 2012
Foreword Sexual exploitation and abuse (SEA) of beneficiaries by humanitarian personnel is a serious concern for the humanitarian community, and represents one of the most egregious failures of protection. As organizations dedicated to alleviating harm and respecting and honoring the dignity and integrity of everyone, InterAction members have an obligation and responsibility to perform in a manner that is consistent with the fundamental principles of human rights. Given this, we must remain at the forefront of efforts to prevent SEA. InterActions SEA Sub-Working Group (SWG) is dedicated to addressing the issue of SEA of beneficiary populations by humanitarian and development assistance staff. The SWG is the advisory body to strengthen InterAction member capacity to respond to and prevent SEA, to advocate for awareness of SEA, and to influence prevention and response capacities on the global level. The primary objectives of the SWG are: to strengthen InterAction member capacity; to provide a forum to facilitate the sharing of information, knowledge, tools, etc., so as to foster cross-agency learning; to advocate for SEA awareness and influence UN agencies, governments, donors, and others on SEA policies and programs at the global level; and to provide training opportunities for InterAction membership related to SEA. The InterAction Framework for Strengthening NGO Capacity to Address Sexual Exploitation and Abuse is a project of the SWG funded by the U.S. Department of State Bureau for Population, Refugees, and Migration. The goal of this project is to provide InterAction members with the necessary tools and resources to establish a sustainable capacity to prevent and respond to SEA at all levels of staff and to further coordinate the InterAction memberships response to gender-based violence. While NGOs understand the necessity of protecting their beneficiaries from SEA, it is often challenging to develop the materials and procedures necessary to address this issue with limited technical expertise. This project offers InterAction members an unprecedented opportunity to work together to build capacity to address SEA as individual organizations and as an NGO community. The SEA SWG would like to thank all who contributed to the development of this workshop manual. Some of the content in this manual is drawn from other sources, most notably the SEA training, research and guidelines developed by the Building Safer Organisations initiative now housed within the Humanitarian Accountability Partnership. The training workshop was developed by Tracy Vaughan Gough with review and input from Daisy Francis at Catholic Relief Services and Angela Wiens at International Medical Corps. InterAction 1400 16th Street NW, Suite 210 Washington, DC 20036 +1-202-667-8227 www.interaction.org
June 2012
SEA Community-based Complaints Mechanisms Workshop
Workshop Overview This two-day workshop is a hands-on, highly interactive capacity-building opportunity to learn how to establish community-based complaints mechanisms (CBCM), based on recommended principles and guidelines, as well as lessons learned from InterAction members and other NGOs around the world. The workshop uses a series of practical exercises and also draws on participants own knowledge and experiences to enhance the learning process. Purpose The CBCM Workshop will take participants through a process that will identify all the elements that need to be taken into account when establishing community-based complaints mechanisms. At the conclusion of the workshop, participants will be equipped with ideas and tools that will enhance their ability to establish CBCMs in locations in which their organizations work. Objectives Participants will: Gain a greater understanding of the challenges related to establishing a CBCM, with a view to taking those issues into consideration when developing a CBCM; Review their own codes of conduct and complaints mechanisms & identify improvements; Learn how to establish a CBCM according to key principles and based on lessons learned elsewhere; and Develop a checklist on the process involved in establishing a CBCM.
Participants The participants at this workshop should be staff of member organizations whose job duties include implementing measures that protect beneficiaries from sexual exploitation and abuse.
Planning a Workshop
Pre-Workshop Activities for Participants In advance of the workshop, it is advisable that participants read and become familiar with the following two documents:
Building Safer Organizations Guidelines: Receiving and investigating allegations of abuse and exploitation by humanitarian workers (ICVA) http://www.icva.ch/doc00002028.pdf Model Complaints and Investigation Procedures and Guidance Related to Sexual Abuse and Sexual Exploitation (IASC, March 2004 marked as draft) [also known as the IASC Protocol] http://www.un.org/en/pseataskforce/docs/sea_model_complaints_and_investigation_ procedures_and_guidan.pdf
Some of the workshop sessions include participants reviewing their own organizations policies, procedures, and/or protocols related to sexual abuse and exploitation. Participants should bring to the workshop one copy of:

Code of conduct related to sexual exploitation and abuse Complaints procedures for allegations of sexual exploitation and abuse Any relevant Human Resource policies or procedures (if there are additional ones)
Venue, Materials, and Supplies Venue The workshop requires that participants can move around and work in different sized groups. There should be space in front for computer/LCD projector, flip charts, and a table for facilitators. Ideally, the seating for participants will be configured in a semi-U-shape, with separate tables allowing 4-5 participants to sit at each table. There should be space in the middle or at the back of the room for participants to gather for energizers or other activities.
Table for computer and LCD projector
Participant Materials Notebook, folder, book bag, or other package to use as a packet to hold the workshop materials Pens Writing tablets for note taking Equipment, Materials, and Supplies for Facilitator Laptop computer, LCD projector, screen 5 flipchart stands with pads of paper for each Colored markers Tape (masking tape for posting flipchart papers on walls) Stapler, pens, paper clips, writing tablets and other office supplies Sticky post-it notes Candies to hand out as prizes throughout the workshop
SEA Community-based Complaints Mechanisms Workshop 4
List of Handouts HANDOUT 1: Agenda HANDOUT 2: UN Secretary-Generals Bulletin (ST/SGB/2003/13) HANDOUT 3: UN/NGO Statement of Commitment HANDOUT 4: Haiti Case Study: Collaboration and Innovation developing a joint complaint and response mechanism in Haiti, Save the Children LWF, World Vision, HAP, 2010 HANDOUT 5: Victim assistance resolution a/res/62/214 HANDOUT 6: Victim assistance guidance HANDOUT 7: Workshop evaluation Energizers and Other Exercises Facilitators should be prepared with energizing activities and other short exercises to insert as needed throughout the workshop. Exercises should be culturally appropriate for the specific group of participants. Participants will also often be willing to lead energizers.
Session 1. Introductions and workshop overview

Aims 1. To become acquainted with facilitators and other participants 2. To understand the workshop objectives and agenda 3. To establish workshop modalities 4. To measure existing knowledge in order to evaluate what knowledge is still needed Time 30-40 min. Materials and Preparation IN ADVANCE: Post flipchart paper at rear of room entitled Feedback Ensure a flipchart is available for recording Expectations HANDOUTS Handout 1: Agenda
SLIDE NO. POWERPOINT SLIDE DETAILED FACILITATOR NOTES
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CommunityBased Complaints Mechanisms
Welcome and workshop opening. The opening can be led by the facilitator OR a senior manager from InterActions membership. Acknowledge and thank participants for their interest in this workshop and commitment to addressing the issue of sexual exploitation and abuse. Preventing and responding to SEA means creating a culture of safety among staff and with our beneficiaries.
Investigations
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Complaints Mechanism Code of Conduct Training & Supervision
Management Responsibility to Address SEA

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There are 3 general areas of responsibility for managers and organizations that will contribute to a culture of safety: Establish codes of conduct and ensure staff are adequately trained and understand the codes. Establish community-based complaints mechanisms that are easily accessible to the community. Investigate allegations following established policies and protocols, using trained investigators.
Introduction & Course Overview
Provide a brief background about this workshop so that participants can better understand InterActions objectives in providing targeted training for members in order that organizations can be held accountable to their clients. This workshop was developed under the auspices of InterActions SEA Sub-Working Group (SWG). The SWG is dedicated to addressing the issue of SEA of beneficiary populations by humanitarian and development assistance staff. The SWG is the advisory body to strengthen InterAction members capacity to respond to and prevent SEA, to advocate for awareness of SEA, and to influence prevention and response capacities on the global level. This is one of three workshops developed under a project entitled InterAction Framework for Strengthening NGO Capacity to Address Sexual Exploitation and Abuse and Gender-Based Violence. This project is funded by the U.S. Department of State Bureau for Population, Refugees, and Migration (BPRM). The goal of this project is to provide InterAction members with the necessary tools and resources to establish a sustainable capacity to prevent and respond to SEA at all levels of staff and to further coordinate the InterAction memberships response to gender-based violence. While NGOs understand the necessity of protecting their beneficiaries from SEA, it is often challenging to develop the materials and procedures necessary to address this issue with limited technical expertise. This project offers InterAction members an opportunity to work together to build capacity to address SEA as individual organizations, and as an NGO community. InterAction is the largest alliance of U.S.based international nongovernmental organizations (NGOs), with more than 190 members working in every developing country. Most of your agencies are likely members of InterAction. This workshop was developed under the auspices of InterActions SEA Sub-Working Group (SWG). The SWG is dedicated to addressing the issue of SEA of beneficiary populations by humanitarian and development
Why this workshop? Why InterAction? Why now?
assistance staff. The SWG is the advisory body to strengthen InterAction members capacity to respond to and prevent SEA, to advocate for awareness of SEA, and to influence prevention and response capacities on the global level. This is one of three workshops developed under a project entitled InterAction Framework for Strengthening NGO Capacity to Address Sexual Exploitation and Abuse. This project is funded by the U.S. Department of State Bureau for Population, Refugees, and Migration (BPRM). The goal of this project is to provide InterAction members with the necessary tools and resources to establish a sustainable capacity to prevent and respond to SEA at all levels of staff and to further coordinate the InterAction memberships response to gender-based violence. While NGOs understand the necessity of protecting their beneficiaries from SEA, it is often challenging to develop the materials and procedures necessary to address this issue with limited technical expertise. This project offers InterAction members an opportunity to work together to build capacity to address SEA as individual organizations, and as an NGO community. 5 Provide a brief background about this workshop so that participants can better understand InterActions objectives in providing targeted training for members in order that organizations can be held accountable to their clients. This workshop was developed under the auspices of InterActions SEA Sub-Working Group (SWG). The SWG is dedicated to addressing the issue of SEA of beneficiary populations by humanitarian and development assistance staff. The SWG is the advisory body to strengthen InterAction members capacity to respond to and prevent SEA, to advocate for awareness of SEA, and to influence prevention and response capacities on the global level. This is one of three workshops developed under a project entitled InterAction Framework for Strengthening NGO Capacity to Address Sexual Exploitation and Abuse and Gender-Based Violence. This project is
Introduction & Course Overview
funded by the U.S. Department of State Bureau for Population, Refugees, and Migration (BPRM). The goal of this project is to provide InterAction members with the necessary tools and resources to establish a sustainable capacity to prevent and respond to SEA at all levels of staff and to further coordinate the InterAction memberships response to gender-based violence. While NGOs understand the necessity of protecting their beneficiaries from SEA, it is often challenging to develop the materials and procedures necessary to address this issue with limited technical expertise. This project offers InterAction members an opportunity to work together to build capacity to address SEA as individual organizations, and as an NGO community. 6
Introductions
Name how you would like to be called Organization you work for Where you are based and geographic areas you may support/cover Your role/job related to SEA
Ask participants to introduce themselves by answering the questions. Facilitators introduce themselves first using the same format as the participants.
Explain that you will ask a number of questions.

A few questions for everyone
This is a quick way to become better acquainted with each other and to learn something about the level of experience of people in the room. 1. Raise your right hand if: You have attended any type of SEA training before. 2. Raise your left hand if: You believe you have a fairly solid general understanding of SEA. 3. Wave both hands in the air if: There are clear policies, procedures and/or protocols in your organization for SEA standards, complaints and investigations. 4. Nod your head vigorously if: You have witnessed behavior in the field that looked to you like possible SEA.
5. Stamp your right leg on the floor if: You are aware of any complaints against a staff member in your organization or in another organization. 6. Stamp your left leg on the floor if: You think field staff in all levels in your organization understand SEA. 7. Stamp both legs on the floor if: You think field staff at all levels know what to do if they suspect SEA. 8. Bang your chest like an ape (Tarzan) if: You have seen To Serve with Pride. 9. Clap hands if: You did all the preparatory reading in advance. 8
Expectations
Ask participants to think of any expectations they have for this workshop. In pairs, discuss those expectations. Ask each pair to share one expectation, without repeating what has already been said. At the end, additional expectations not already mentioned can be raised. Write each expectation on a flipchart and post it on the wall for reference at the end of Day 2. Facilitator responds to each, according to whether or not that expectation will be met during the workshop.
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Workshop objectives
Participants will:
Go through the workshop objectives, highlighting that the process will be highly participatory. Participants will work in a variety of groups and in pairs and plenary discussion. This will enable an active learning environment, which will also draw on participants own experiences. The content is drawn from a variety of sources, notably material developed by: HAP Building Safer Organizations project; UN/NGO PSEA Task Force (IASC and ECHA/ECPS).
Gain a greater understanding of the challenges to establishing a CBCM Review their own organizations complaints mechanisms & identify improvements Learn how to establish a CBCM Develop a checklist on the process involved in establishing a CBCM
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Handout 1: Agenda Briefly go through the schedule from Day 1 to Day 2.

Agenda
Highlight morning and afternoon breaks and lunch. Also highlight the homework assignment for tonight, which is to read: Haiti case study (HANDOUT 4 TO BE SHARED AT END OF DAY 1). 11 Give information on: Location of bathrooms Fire exit Lunch/break venues Discuss/seek consensus on: Timekeeping Cell phone use Computer use Make reference to the fact that as far as possible, all references will be anonymous, but should anything sensitive be discussed we should agree to keep that information confidential and it should not leave the room. Highlight that for the success of the workshop, it is important for the facilitators to receive feedback and ask participants to provide feedback, either directly or anonymously using the feedback flipchart. Ask participants to think of energizers that they may wish to lead at various points during the workshop. Ask participants if they have final questions.
Housekeeping Ground rules Announcements
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Session 2. Sexual exploitation & abuse: principles and risks

Aims 1. To understand the history, importance and continuing challenges on the issue of SEA 2. To fully understand the six core principles in the Secretary-Generals Bulletin (SGB) 3. To self-evaluate codes of conduct in participants organizations 4. Familiarization with other systems/structures working on PSEA (Pillars) 5. To recognize the specific risks affecting beneficiaries in different contexts Time 1 hr. 15 min. Materials and Preparation IN ADVANCE: HANDOUTS: HANDOUT 2: UN Secretary-Generals Bulletin (ST/SGB/2003/13) HANDOUT 3: UN/NGO Statement of Commitment
Title slide
Background
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Contents
PSEA milestones
UN Secretary-Generals Bulletin
Go through the contents of this session, which will look at the history of protection from SEA (PSEA) efforts through a series of milestones. The session will then look at specific risks and vulnerabilities to SEA in different contexts and among different population groups, noting that it is through understanding these specific vulnerabilities that we can create more effective complaints mechanisms as well as institute other protective mechanisms to minimize SEA. While some participants will know the historical context and the six principles outlined in the SGB, others will not. This session aims to bring everybody up to the same level of knowledge and also to allow for discussion about some of the more contentious, or confusing, principles in the SGB.
Organizational codes of conduct PSEA 4 pillar framework Risks and vulnerabilities to SEA Special focus: children
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This is the title
In 2002 the story broke of sexual exploitation and abuse in West Africa perpetrated by humanitarian aid workers. This was the catalyst for organizations to strengthen any codes of conduct they might have and to work together to minimize the risks and respond to the allegations appropriately. IN PLENARY ASK: What other cases have you heard about since then? e.g., Democratic Republic of the Congo, Nepal
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Milestones in addressing SEA
2001/2 West Africa SEA scandal March 2002 Formation of IASC Task Force on Protection from Sexual Exploitation and Abuse in Humanitarian Crises October 2003 SGs Bulletin on Protection from SEA (ST.SGB/2003/13) March 2004 IASC Model Complaints and Investigations Procedures 2005 The ECHA/ECPS NGO Task Force on PSEA replaced IASC Task Force UN declared a zero-tolerance policy Building Safer Organizations guide
The revelations of widespread abuse of beneficiaries, predominantly women and children, by various aid agencies (UN and NGO) in West Africa and the negative publicity it attracted as a result were the motivation to address the failings of the UN and NGOs in relation to the protection of beneficiaries. As a direct result of investigations into SEA, the Inter-Agency Standing Committee (IASC) the interagency forum for coordination, policy development and decision-making involving key UN and non-UN humanitarian partners established a taskforce dealing with the Protection from SEA; and the UN secretarygeneral published the Secretary-Generals Bulletin: (ST/SGB/2003/13), which we shall return to in a moment. Since then, there have been a number of key milestones related to addressing SEA. The Executive Committees on Humanitarian Affairs and Peace and Security (ECHA/ECPS) UN and NGO Task Force on Protection from Sexual Exploitation and Abuse was established in February 2005. Co-chaired by the Organization for the Coordination of Humanitarian Affairs (OCHA) and the Department for Field Support (DFS) and consisting of more than 30 UN and non-UN entities (Including InterAction), this task force took up the work of the IASC Task Force on Protection from Sexual Exploitation and Abuse in Humanitarian Crises. The substantive IASC (2004) Model Complaints and Investigations Guidelines sets out the standards for proper complaints and investigations. While still a draft, many
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organizations see this as a model tool. The work of the Building Safer Organisations Project (BSO), initially under ICVA but now under the Humanitarian Accountability Project (HAP International). BSO built on the work of the earlier guidelines and developed a handbook and guidance, as well as conducting various pieces of research and hands-on support on the same issue: complaints and investigations. This training manual draws on some of that work. 5
The U.N. Sex Scandal
From the January 3 / January 10, 2005 issue: Exploitation, abuse, and other humanitarian efforts.
Yet SEA continues. The facilitator can share other clippings, information related to ongoing/more recent SEA incidents.
LAST MONTH A CLASSIFIED UNITED Nations report prompted Secretary General Kofi Annan to admit that U.N. peacekeepers and staff have sexually abused or exploited war refugees in the Democratic Republic of Congo. The worst of the 150 or so allegations of misconduct--some of them captured on videotape--include pedophilia, rape, and prostitution. While a U.N. investigation into the scandal continues, the organization has just suspended two more peacekeepers in neighboring Burundi over similar charges. The revelations come three years after another U.N. report found "widespread" evidence of sexual abuse of West African refugees.
Milestones in addressing SEA (contd)

2005 Prince Zeid report: A comprehensive strategy to eliminate future sexual exploitation and abuse in UN peacekeeping operations DPKO Conduct & Discipline Units Deployed 2006 Statement of Commitment Eliminating SEA by UN & non-UN personnel High-level conference on eliminating SEA by UN and NGO personnel 2007 UN film To Serve with Pride Victim Assistance Strategy 2008 Technical PSEA Meeting development of the Four Pillars Framework January 2010 Website on PSEA: www.un.org/pseataskforce/ Formation of IASC PSEA Taskforce (NGO co-chair)
After the Zeid report, which highlighted the SEA risks due to having a large contingent of (predominantly male) soldiers, away from home with limited distractions in their free time, the UNs Department for Peacekeeping Operations (DPKO) realized it had to develop mechanisms that reinforced PSEA in peacekeeping operations. Then in 2007, the UN adopted the Victim Assistance Strategy in UN resolution A/Res/62/214, which is an acknowledgement of the need to provide appropriate assistance and support in a timely manner. In 2011, the IASC reconvened its task force, which ensures greater involvement of NGOs, whose role had been less prominent in the ECHA/ECPS task force.
We shall now remind ourselves of the SecretaryGenerals Bulletin (SGB) in more detail. HANDOUT 2: SGB.
Key Milestone:
UN Secretary-Generals Bulletin (2003)
Ask participants to find the relevant section covering the six principles. (Section3.2)
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UN Secretary-Generals Bulletin (SGB)
Applies to all staff, partners, contractors, peacekeepers Applies 24/7 and in all places Defines Sexual Exploitation and Sexual Abuse
By virtue of being a partner of the UN, NGO staff are subject to the SecretaryGenerals Bulletin (or SecGens Bulletin or SGB, as it is known). Most controversially, it applies not only when a staff member is off-duty, but also when he or she is on holiday. We live in a 24/7 media universe now (blogs, YouTube, Twitter, Facebook, emails, instant messaging, etc.). So, no activity is entirely hidden; those in the field are particularly bound to the agency identity becoming their own identity.
So, Why is the SGB important? It defines sexual exploitation and sexual abuse. These definitions tend to be the standard and are used by all organizations. 9
Sexual exploitation
means 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 Exploitation. Note the highlighted sections, particularly that it can be actual or attempted. ASK IN PLENARY: Can you give any examples of sexual exploitation? Examples of sexual exploitation include, but are not limited to: 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. (Remember: even if the young man refuses to sleep with her, if she attempts to abuse her position by making such a request, she is guilty of sexual exploitation
It also includes situations where a staff member or related personnel facilitate SEA, while not directly engaging in the abuse or exploitation. For example:
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A peacekeeper is requested by his superior officer to encourage a female member of the local population to engage in a sexual relationship with him in exchange for small sums of money.
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Sexual abuse
the actual or threatened physical intrusion of a sexual nature, whether by force or under unequal or coercive conditions.
Go through the definition of sexual abuse. ASK IN PLENARY: What examples of sexual abuse can you provide? Examples of sexual abuse include, but are not limited to: A refugee, who is employed as an incentive worker by WFP, 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 Red Cross worker touches a 6-yearold girl inappropriately while playing with her as part of a psycho-social intervention. Rape. Solicitation of a prostitute.
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Six Core Principles
1. Sexual exploitation and sexual abuse constitute acts of serious misconduct and are therefore grounds for disciplinary measures, including summary dismissal. 2. 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 in the age of a child is not a defence.
Ask a participant to read Principles 1 and 2 out loud and then discuss. Principle 1 highlights the severity with which this behavior is viewed, i.e., serious misconduct. Principle 2 is categorical that sex with a child (a person under the age of 18) is prohibited. The SGB is also explicit that assuming that someone is over 18 is not a defense. This also reinforces the later principle related to the discouragement of any sexual relations with a beneficiary. It also highlights that even on leave it is not permissible to have sex with a minor, even if the age of consent is lower in your home country.
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Six Core Principles (contd)
3. Exchange of money, employment, goods or services for sex, including sexual favours or other forms of humiliating, degrading or exploitative behaviour, is prohibited. This includes any exchange of assistance that is due to beneficiaries of assistance. 4. Sexual relationships between United Nations staff and beneficiaries of assistance, since they are based on inherently unequal power dynamics are strongly discouraged.
Ask another participant to read principles 3 and 4. The power issue is of key relevance. Any staff member will likely have more power than a beneficiary economic or social standing, influence, decision-making, freedom of movement. This is attractive to those who do not have that power, which makes them vulnerable. DISCUSS IN PLENARY: In some SEA trainings some aid workers say that refugees/beneficiaries approach them, therefore the aid worker is vulnerable. What do you think? Ensure that participants are clear that because of the inherent power differential they, as aid workers, are not vulnerable in the same way as beneficiaries. Aid workers have the power to resist such offers. When people are poor and rely on external aid, they will use any commodity they have to provide for themselves and their families. Sex may be the only commodity they have.
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Six Core Principles (contd)
5. Where a [United Nations] staff member develops
concerns or suspicions regarding sexual exploitation or sexual abuse by a fellow worker, whether in the same agency or not and whether or not within the United Nations system, he or she must report such concerns via established reporting mechanisms.
6. [United Nations] staff are obliged to create and
maintain an environment that prevents sexual exploitation and sexual abuse. Managers at all levels have a particular responsibility to support and develop systems that maintain this environment .
Staff members are required to report this is mandatory. If a staff member knows OR has suspicions regarding SEA and they chose not to report them, they are culpable. They are possibly allowing abuse/exploitation to continue, and are therefore not protecting the beneficiary. If they are found to have covered something up or not reported it, they can also be held accountable. The responsibility to create and maintain a protective environment relates directly to the necessity of managers to establish a CBCM, although it is also reiterated later in the SGB. HANDOUT 3: Statement of Commitment The Statement of Commitment reaffirms agencies commitments to the six principles, but also commits agencies to implement them. It is a very useful internal advocacy tool for our community, as way of showing how many agencies have publicly committed to uphold these principles. It may come as a surprise to agency staff to learn that their senior leadership have signed the document!
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Exercise
Review your organizations Code of Conduct:
EXERCISE: In small groups (4-5 people) review one of the agency codes of conduct brought to the workshop. If time allows, the group can review more than one. Allow approximately 20-30 minutes for discussion. Briefly discuss in plenary, drawing out answers to the questions from each group. Conclude by highlighting the need for good policies/codes of conduct that are well understood, as these will form the basis for receiving complaints and conducting investigations.
Are all 6 core principles included? Is yours stronger or weaker than the SGB? What do you think of your Code of Conduct in comparison to the SGB?
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The next part of the session will look at specific risks and vulnerabilities to SEA, via two exercises.
Risks and Vulnerabilities to SEA
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Exercise
In small groups, list the potential SEA risks associated with one of these situations: Refugees Internally Displaced People (IDPs) Regular development programming Conflict-affected people People affected by a natural disaster
EXERCISE 1: Divide participants into groups of three to five and allow them to select one of the situations listed. For their situation, they should outline the risks and vulnerabilities to SEA for that context. Ensure each of the scenarios is covered. Record key points on a flipchart [15 minutes] Provide feedback in plenary [15 minutes]
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Exercise
In small groups, identify whether there are specific SEA risks for one of the following groups: Boys and girls People with disabilities (PWD) People living with HIV/AIDS (PLWHA) Elderly people Minority communities Young people
EXERCISE 2: NOTE if there is not enough time to do two exercises, then do a mix of two groups [refugees; IDPs; elderly; etc.]. Also in small groups, select a particular population from those provided and identify any specific SEA risks for that group of people. Record key points on a flipchart. [15 minutes group work] Provide feedback in plenary [20 minutes plenary]
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NOTE: again, if there is time pressure, skip this entire section on children, since it is simply meant to illustrate how you delve deeper on a specific group.
Special Focus: Children
While all the groups we have looked at have specific vulnerabilities, we shall now have a special focus on one of those groups: children.
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Displaced children are tragically vulnerable to [SEA] not only in the crisis situations they have fled, but in their flight to safety, and in the camps where they seek refuge and protection
InterAction (2002)
It is children, especially those affected in emergencies, who more often than not are the most vulnerable to SEA at various stages throughout their journey and transition to becoming displaced or a refugee. Children often constitute a large portion of refugee/IDP populations [e.g. unaccompanied minors]
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Childrens vulnerabilities
Early responsibility for other family members Emotional and physical trauma Breakdown of social fabric and protective environment Lack of privacy, security in a camp Dependence on others Lack of food and other supplies
Vulnerability The InterAction Task Force on the Prevention of SEA of Displaced Children was established in 2002 response to the West Africa scandal and made recommendations on how children could be better protected by aid agencies.
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West Africa SEA scandal
UNHCR found:
From: UNHCR (2002) Meeting the rights and protection needs of refugee children, an independent evaluation of the impact of UNHCRs activities. Agencies often fail: to make children aware of their rights to protection and assistance; to give children access to channel of redress; to consult directly with children; to train staff in child rights; and to provide adequate aid and other means to reduce vulnerability. The assumption is that serving the needs of parents will serve the needs of children
despite a high level of awareness that children are a policy priority, in practice, children and childrens concerns are consistently addressed and often regarded as something extra to core protection and assistance work (2002)
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SO a reminder to all participants
Throughout this workshop: for all aspects of developing a CBCM, ensure that childrens voices are heard and that measures are put in place that allow not just for childrens participation, but also their protection.
The focus of this workshop will be on integrating community structures and providing feedback to communities, both of which require a commitment to participation. But because the most vulnerable people are often those overlooked in consultations, participants must keep in mind the need to design processes that are socially inclusive, especially in relation to integrating all views in this case being sure to include the views of children, both boys and girls. Other hidden groups also need to be inserted into this process, such as the elderly and people with visual, aural, physical, and cognitive disabilities.
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Session 3. Community-based complaints mechanisms

Aims 6. To understand the purpose of CBCM and role of the community 7. To understand management and organizational responsibilities 8. To appreciate the barriers to making complaints Time 1 hr. 30 min. Materials and Preparation IN ADVANCE: 2 flipcharts HANDOUTS: None
POWERPOINT SLIDE SLIDE NO. DETAILED FACILITATOR NOTES
Title slide
CommunityBased Complaints Mechanisms
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Contents
A definition of complaints mechanisms
Internal/external
Contents of session EXERCISE: In pairs: come up with a brief definition of a complaints mechanism (CM). In plenary solicit feedback from pairs who feel confident with their definition.
The purpose of a complaints mechanism Management responsibilities What should be reported Barriers to making complaints The community community-based complaints mechanism
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Complaints mechanism:
Channel that gives users access to safe means of voicing feedback or complaints on areas relevant to and within the control of the agency
BROAD all steps and processes an organization adopts from the time the allegation is made up to the time the investigation report is finalized
Link the definition(s) offered to the definitions on this slide. A CM can be used to refer to the entire process encompassing all parts of the mechanism, including the investigation and report finalization, or have a more narrow focus on making the initial complaint only. For the purposes of this workshop we are using the NARROW definition so that we can identify the special considerations in the time before an investigation begins.
NARROW encompasses procedures that allow a complainant to alert an organization to allegation
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Complaints process
This is a diagram of the complaints process, outlining the aspects we shall cover in this workshop.
Incident occurs
Victim gains awareness about SEA & reporting mechanisms
Decisio n made to report
Selection of reporting entry point
Complaint made/ received; Risks assessed & referrals
Complaint is recorded
Referrals: to HQ or agency / interagency body for next steps
Feedback to complainant
In the aid sphere, we also split CMs further into internal and external reporting mechanisms. Internal refers to the mechanisms for staff to make reports. External the mechanisms for beneficiaries and others to make reports.
Internal and External Reporting

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Staff and internal reporting
Responsibility of each agency to develop
Approaches may differ Not necessarily participatory
Mandatory reporting
Understanding penalties for not reporting
Clear guidelines on how to report

Including alternate channels if necessary
Internal staff reporting channels might be the same as for reporting other issues, such as sexual harassment or corruption. It is not necessary that the creation of these processes be participatory, as there is a mandatory element to reporting. Organizations may, however, wish to support a participatory process in an effort to encourage complaints, should there be concerns about the transparency/effectiveness of the system. External complaints mechanisms:
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External CBCM
Community reporting of SEA should be common to all agencies in a given location Simple, consistent reporting procedures Co-designed
The mechanism that communities use to report SEA should (ideally) be common to all agencies in a given location so that communities can follow simple, consistent reporting procedures, and so that the reporting procedures do not differ depending on the agency associated with the alleged perpetrator. The external complaints mechanisms should be designed together with the relevant community so that it is both effective for and accessible to them. (Note: samples of reporting mechanisms developed at the field level are available in the PSEA tools repository at www.un.org/psea/taskforce.)
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We shall also be looking in more detail at some CBCM Case studies in Day 2.
Note: the terms complaints, reports, and allegations are used interchangeably. As a general rule:
The alleged victim (i.e., the complainant) makes a complaint. Those who are not the alleged victim make reports (this includes those who are making the original report and those who are responsible for forwarding reports to the appropriate person/unit in the organization). Allegations can refer to complaints and reports.
Terminology: Note that sometimes the terms complaints, reports and allegations are used interchangeably. Your organization can decide how to use this terminology.
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Exercise
Why is it important to establish and implement a formal complaints, or reporting, mechanism?
GROUP EXERCISE: Divide the participants into two groups. Each is given a flipchart. In 5 minutes, the groups must come up with as many reasons as possible why it is important to establish and implement a formal CM. Members of the group with the most reasons will each receive a candy. Each group reads out reasons and winning group is rewarded. Note: this is a useful exercise for building cohesion amongst the participants the competition generated provides some light relief.
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A formal reporting system ensures that:
The system is transparent and known to all There is a consistent approach Staff know what to do with concerns of inappropriate behavior Beneficiaries are protected Staff are protected (clear reporting & investigation procedures guard against false allegations) The organization will be less attractive to potential abusers The organization can maintain its reputation The organization shows commitment to the protection of human rights, thereby minimizing SEA
This slide provides some reasons why it is important to establish a CM, although it is likely that the groups will come up with more and better reasons.
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Highlighting Accountability to Beneficiaries
Complaints mechanisms: - Help organizations learn what they are doing wrong and improve program efficiency - Give communities a voice in programming - Make programs safer
Setting up complaints mechanisms helps us improve our overall way of working and learn from what we are doing wrong in order to be more efficient and effective, give a voice to beneficiaries, and make overall programming safer. An organization only knows how accountable it is if it has an effective system to handle complaints.
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Why develop a complaints mechanism?
The purpose of developing a complaints mechanism is to provide people of concern, beneficiaries and others wishing to lodge complaints with a fair, consistent and accessible means of raising allegations of sexual exploitation and abuse by a staff of an NGO or agency
DISCUSS IN PLENARY: The rationale highlighted on the slide is on SEA. If a CM is only for SEA, what problems might arise? This discussion will touch on issues of confidentiality having a CM purely for SEA will make it obvious to observers that the person seen accessing the CM is making an SEA complaint. Note: without having a CM in place, an organization might assume it does not have a problem. BUT, if people have no entry point for complaints it will be difficult to gauge this. Therefore, the establishment of a functioning CM will result in more complaints. Establishing the CM at the start of a project/program is useful in terms of strengthening the engagement/partnership with the beneficiaries. ASK IN PLENARY: By a show of hands how many of your agencies have complaints systems in place? Facilitator should highlight that if there is nothing in place, it would be useful to discuss this with your HQ SEA focal point.
BSO Handbook
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Timeframe
Ideally a complaints mechanism should be established at the start of a program Dont worry about being inundated with complaints and not being able to handle them it is more likely to have less than expected
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Management responsibilities
Building Safer Organisations:
Managers are obliged to create a culture that deters SEA, especially those whose organizations not only tie in with the UN, but also are affiliated with NGO consortia, etc. Refer to the Statement of Commitment, which obliges management to implement the SGB. Management has a responsibility to ensure that a clear and accessible reporting system is established in each setting so that all
Managers must create a culture and related systems that promote trust among the host country, international /national staff and beneficiaries and in doing so mitigate factors which may deter individuals from making complaints
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Management responsibilities
(contd)
beneficiaries (especially women and children) know where to go to make a complaint and receive assistance. Management responsibilities are also a principal of InterAction membership. The InterAction PVO Standards, which all members are to adhere to, have a section (7.9) on SEA that refers to the requirement of having agency reporting mechanisms. ASK IN PLENARY: What should be reported? It can be either a specific instance or patterns of behavior both inside and outside the workplace and concerns about past behavior
UN Secretary-Generals Bulletin:
United Nations staff [and partners] are obliged to create and maintain an environment that prevents SEA. Managers at all levels have a particular responsibility to support and develop systems that maintain this environment
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What should be reported?
A practice of behavior suggesting that a staff member has abused the power invested in him/her, by virtue of his/her post, to sexually exploit or abuse a beneficiary
An allegation that a staff member has breached an agencys policy and rules regarding SEA outside the work environment (e.g., by engaging in sex with a person under 18) Concerns that cover a wide range of issues involving the exploitation of women and/or children ranging from inappropriate behavior to possible criminal offences Concerns regarding the past behavior of a staff member Concerns expressed by a government partner, UN agency, NGO or international NGO about the behavior of a staff member
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We shall now look at one of the most important aspects of a complaints mechanism: the reasons that people dont want to complain. Understanding the barriers is important for establishing a CM that can overcome some of those barriers.
Barriers to Making Complaints

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Exercise
In pairs discuss an example of where you had something to complain about in the workplace, personal life but you didnt you dont have to be too specific. Discuss the reasons why.
EXERCISE: In pairs, discuss an example of where you had something to complain about in the workplace or your personal life but you didnt dont have to be too specific. Discuss the reasons why you didnt complain. If there is time the facilitator can ask for a few examples.
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Although beneficiaries know sexual abuse and exploitation is going on around them and perceive the risks, the vast majority of the 295 beneficiaries consulted said they would not complain about misconduct. Consequently complaints are rare and investigations even rarer.
HAP Consultations in November 2007 in Kenya, Namibia, and Thailand
HAP researchers found the same reticence among refugees in Kenya that even though they knew about SEA, they would not complain. See HAP (2008): To complain or not to complain: still the question, Consultations with humanitarian aid beneficiaries on their perceptions of efforts to prevent and respond to sexual exploitation and abuse by Kirsti Lattu et al. EXERCISE:
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Exercise
Two groups:
Organize participants into the same two groups as before. Each group is to come up with barriers to reporting: Group 1 - Staff barriers to reporting an allegation about SEA Group 2 - Beneficiary barriers to making an SEA complaint The winning group receives candy (hopefully a different group than before). Review in plenary. Since the focus is on CBCM, we shall focus on the beneficiary barriers the following slides are some that have been identified.
GROUP 1 List some of the staff barriers to reporting an SEA allegation.

GROUP 2 List some of the beneficiary barriers to making a complaint about SEA.
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Barriers to making a complaint
Lack of trust that the allegation will be taken seriously Fear of reprisal and no protection Respect for/fear of senior officer/expat Gender inequality re: attitudes to women/children Socioeconomic or political context that doesnt prioritize abuse in the face of other challenges Isolation, lack of management/ support Fear that there will be no confidentiality
Beneficiary barriers
Little confidence in reporting mechanisms because beneficiaries perceive no action will be taken
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More barriers
Fear that aid/source of income will Age children may be less likely be taken away to report Fear of losing life, job, status, prospects Cultural issues and norms SEA seen as acceptable practice Lack of knowledge concerning reporting process or lack of access to people with power or will to intervene Lack of awareness that such behavior is wrong Lack of faith complained before and no response
More beneficiary barriers
Not culturally appropriate to challenge those in authority

Reporting may render one unmarriageable
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Further beneficiary barriers
Further barriers
Few channels for reporting
Concern that boxes are not secure Beneficiaries are benefiting from the transaction, so they may not want to complain Beneficiaries may not desire punishments as proposed by NGOs may wish to shop for alternatives
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Fear of being accused of making a false accusation if they have no tangible proof No one has heard outcomes of investigations
Fear of getting it wrong Community leaders act as gatekeepers to engaging with aid organisations inhibits
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Barriers for children making a complaint

Might think that
Child barriers
They will not be believed

They will be killed or hurt if they tell They will be taken away from families They will not be able to explain/articulate Their families will be hurt
Abuse is normal and it happens to everyone

The abuser will be sent to prison, fired or killed They are bad and it is their fault Abuse is their fault because they do not practice religion enough Will not receive presents, money, food
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Barriers to boys in particular
Often more difficult for them to report Perception that girls are more vulnerable and need protection Boys perceived to be less at risk
And barriers for boys in particular
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Adults may believe
No one could abuse a child that way Child is not trustworthy Child is a liar or fantasist Child is wicked Child is lying to get adult into trouble
Myths about children
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Myths related to people with disabilities
Nobody would abuse them Its impossible to protect them It doesnt really matter
Myths about disabled people
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Chronic underreporting THEREFORE Mechanisms have to be created with the constraints to reporting in mind, and work with communities to break the silence and establish systems that reflect the concerns above.
Thus, with all these barriers to making a complaint, there is chronic underreporting. The need for understanding these constraints and factoring them into the planning for establishing CM entails community participation, hence CBCM
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So now we shall look at the COMMUNITY in CBCM.
The Community
Community-Based Complaints Mechanism
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Community-based complaints mechanism
A reporting mechanism that integrates the role of formal and informal community structures in revealing SEA faced by community members in an all-inclusive and culturally appropriate manner.
First the Definition: Note that it builds on existing community mechanisms and it is highly participatory.
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In order to have an effective CBCM, it is essential that there is trust between the organization and the beneficiaries.
complaining is not possible when there is not [a] relationship of trust, no information provided, no participation in programming and feedback mechanisms are non existent.
HAP (2007) To Complain or Not to Complain: Still the Question
One way to build that trust is to build a relationship and take into account the concerns and knowledge of the beneficiaries.
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Community-Based why?
Builds on existing community mechanism Contributes to empowerment of communities disempowered by their reliance on aid Greater accessibility for the community should increase reports Efficiency incorporating local solutions
the CM should build upon local structures and systems In the eyes of the user, this will facilitate and strengthen the legitimacy of the mechanism Danish Refugee Council
So why is it important to have a communitybased complaints mechanism?
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Existing complaints structures
Consider:
How beneficiaries have organized themselves in the emergency or new setting How beneficiary communities would normally organize themselves traditionally Could these structures be adopted/integrated?
It is important to understand how the target communities have organized themselves in their current setting and to understand how they organize themselves under normal circumstances. Then to assess whether these systems could be integrated into a CBCM. Caution: Do current structures help the most vulnerable? Or do they perpetuate conditions that exclude the most vulnerable members of the community?
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What/who is the community?
Difficult to define: Geographical/shared beliefs or interests/cultural/socially cohesive? A community of refugees, for example, contains many different groups or communities
BUT, there are challenges. What does community mean? Who represents the community? Community is difficult to define it can refer to a group of interacting people living in a common location (e.g., refugees),or it can refer to a group organized around common values with a degree of social cohesion that may or may not share a location (e.g., the international community). Community is no longer defined only geographically, because the internet allows people to share common interests regardless of their physical locations (adapted from www.wikepedia.org). Community participation often involves engaging with community leaders, in the expectation that the community has elected them and that they represent their community in an impartial and fair way. Organizations must ask WHO represents WHOM?
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Who represents the community?
Elders Committees elected/self-identified Gatekeepers Educated people People with knowledge of the aid workers language Established/encouraged by aid organizations
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Challenge of committees
[HAP]found that the structure and functioning of camp committees are a major accountability challenge for the humanitarian response. Rather than these governance structures serving as effective accountability mechanisms they are means by which victims are subject to unaccountable and corrupt practice
HAP (2010) Camp Committees in Haiti: Un-accountable Mechanisms?
In the latest HAP findings (2010), when reviewing their work in Haiti, it was found that: Committees were often set up at the instigation of NGOs to ease access and decision-making. Often the community lacked knowledge about the committee. Committee members were using decisionmaking for their own personal gain.
They also found that camp leaders sometimes pressured beneficiaries into using internal structures to resolve problems. The community/camp leaders are gatekeepers and benefit financially or in terms of status and political currency through solving problems. This means that the gatekeepers can pose an obstacle for reporting SEA.
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In establishing a CBCM, understand how the community is defined

If you decide to work through committees consider:
Who chose committee members and how were they selected? Are all included in the CBCM decision-making structure? Who is excluded how can those people be included? Does the committee share information with the community? Will this approach challenge an established status quo and lead to additional exclusion/challenges for some people? How much power should be invested in a committee? What checks are in place to minimize corruption?
Therefore, while the rationale for establishing a CBCM is strong, there are issues consider in terms of how one defines and engages with the community. It is necessary to understand how the community is defined and whether all members are included in the community decision-making structure related to the CBCM. Who is excluded, and how can those people be included? Will this challenge an established status quo and lead to additional exclusion/challenges for some people? A CBCM also reflects diversity not all situations are the same, so it is not possible to have a one-size-fitsall solution. Each CBCM should be tailor-made and must reflect local dynamics. As a result, agencies must take time to invest in establishing such a process. Without that investment, we can be unknowingly contributing to or creating new difficulties for beneficiaries.
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Without mechanisms in place to ensure the accountability of camp committees, it is the humanitarian community itself that is placing people affected by the disaster at risk of further hardship and abuse
HAP (2010)
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Session 4. Establishing a community-based complaints mechanism

Aims 9. Gain greater familiarization of the principles of establishing a socially-inclusive CBCM 10. Learn the steps to establishing a CBCM 11. Identify potential challenges/issues related to CBCMs Time 2 hr. 45 min. Materials and Preparation IN ADVANCE: Paper with messages on for I dont believe you exercise Flipchart paper with one of each of the steps for establishing a CBCM written on: HANDOUTS: HANDOUT 4: Haiti case study: Collaboration and Innovation developing a joint complaint and response mechanism in Haiti, Save the Children LWF, World Vision, HAP, 2010
Title slide
Establishing a CBCM
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Contents
Principles of establishing a CBCM Steps in establishing a CBCM
This session draws strongly on a draft guidance note related to establishing CBCMs developed by the ECHA/ECPS PSEA Task Force as well as the PSEA Task Force Training for PSEA Focal Points.
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3
Discuss
PLENARY DISCUSSION: What steps would make it easier for a complainant to come forward? Note them on a flipchart.
Given the numerous barriers to reporting, what would make it easier for a complainant to come forward?
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4 characteristics of an effective complaints mechanism
1. Safety
Considers potential dangers/risks to all parties Incorporates ways to prevent injury and harm Includes ensuring confidentiality, offering physical protection and addressing potential retaliation A safe space (also used for other purposes)
Four characteristics of an effective CM. These are all essential.
2. Confidentiality
Restricts access to/dissemination of information Helps create environment enabling witnesses to engage Information should be available to limited number of people
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4 characteristics of an effective complaints mechanism (contd)
3. Transparency
Members of affected community know it exists, input into its development, know how to access it, ensure it is adhered to
Contd.
4. Accessibility
Available to be used by as many people as possible in operational area special access measures for children Communities must be informed how to complain and encouraged to complain as necessary
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10 Principles in Establishing a CBCM
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ECHA/ECPS PSEA Taskforce
1. Integrated complaints mechanism 2. Participation, not just consultation 3. Effective community awareness raising 4. Multiple channels 5. Trained staff 6. Commit to confidentiality 7. Safety of complainant and staff 8. Information clearinghouse 9. Feedback to communities/individuals 10. Resourcing the CBCM
These are the 10 principles, as outlined in PSEA Task Force Guidance. We will now look at each of them, in more detail.
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1. Integrated complaints mechanism
SEA CMs operate within the overall complaints or feedback mechanism Community structures involved in the overall complaints system
1. Integrated Complaints Mechanism A CBCM dealing purely with SEA can generate problems. It can be an inhibitor to reporting as people seeing anyone approaching the CBCM will immediately know they are making a complaint. This is a confidentiality issue, but it also can impact on safety. Thus it is easier to disguise the SEA reporting via other structures so anyone can make a complaint while seemingly
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dealing with other business. It is important not to establish a new system without understanding what already exists and, if possible, integrating that alreadyfunctioning system. To enhance local buy-in, community structures can be an alternate reporting option. It should be noted, however, that while in some cases beneficiaries will prefer this method, in others community leadership may not be perceived positively. 8
2. Participation, not just consultation
To ensure buy-in of community To foster ownership To build on community best practice Wide participation of all groups FGDs etc. Consider language, sex, age, caste, faith, sexual orientation, physical ability, literacy, job roles etc.
2. Participation, not just consultation The aid community is now learning that effective participation in decision-making has long-term benefits, notably in terms of project sustainability. If a community feels a structure or intervention is imposed on them, they will not necessarily see the value. Yet there are different forms of participation, with consultation at all levels. The solicitation of views is important, but it is not sufficient in terms of developing a CBCM. For the purposes of this training, participation should be an ongoing process with a particular focus on engaging everyone, from the most vulnerable populations to the communitys leadership. In its 2002 report on the West Africa SEA scandal, the InterAction team made a series of recommendations related to children. Children are often among the most vulnerable and excluded, yet they are also the ones who can provide the best suggestions as to their specific risks and their own protection. Note too that children are not a homogenous group, and sessions with them should be organized according to age and sex. Older girls and boys are far less likely than younger children to speak out honestly and comfortably.
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foster an environment of respect, trust and accountability in camps so that children feel comfortable talking about their problems, employees respect childrens boundaries and adults and children are willing to challenge exploitative or abusive behaviour at an early stage. InterAction (2002) Therefore, ensure participation of boys, girls, young people and other marginalized groups in the design and implementation of developing a CBCM.
Note: this takes work.
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3. Effective community awareness-raising campaign
Demystify SEA
training staff Community awareness-raising on codes of conduct
3. Community awareness In order for the CBCM to function, people need to know at the very least what it is and where it is located. The message must be clear and consistent. The communication strategy must also factor in the dynamics and specifics of the operational environment. Again, a one-size-fits-all approach does not work. 4. Multiple channels
4. Multiple Channels
Goal make CBCM safe, simple and easy:
Demystify complaints mechanism

Translate information into local languages Communicate mechanisms to all stakeholders Information campaign for all visual/aural tools etc.
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Having a range of channels for reporting will increase the likelihood of capturing complaints. Adapt existing systems (e.g., GBV reporting) to avoid confusion among beneficiaries. Capitalize on what works best. Incorporate staff with beneficiary contact roles, especially those not identified purely with SEA (for confidentiality purposes). Ensure there are a range of options that meet needs of all groups, e.g., teachers might be one option for school-going children, and ensure space for written and verbal complaints.
Adapt existing systems (e.g. GBV reporting) Incorporate staff with beneficiary contact roles Opportunity for written and verbal complaints Ensure there are a range of options that meet needs of all groups, e.g. teachers might be one option for school-going children
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4. Multiple Channels
What reporting channels does your Agency use? What channels are you aware of?
Plenary ask a few people in the room to share their ideas (take no more than 5 minutes for this).
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4. Multiple channels examples

Staff visiting informal gatherings (active outreach)
SEA/CoC Focal Points ensure they are known to all Web-based systems Helpdesks (e.g., at FDPs) Multipurpose suggestion boxes (allows for anonymous complaints)
Here are some examples of different reporting channels. Acronyms spelled out (in case people dont recognize them): SEA = sexual exploitation and abuse CoC = Code of Conduct FDPs = food distribution points SGBV = sexual and gender-based violence 5. Trained staff
Trusted (trained) community members

Participatory assessments Open Days between community members and staff SGBV project staff/ volunteers
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5. Trained staff
Early deployment of [SGBV] staff (trained on SEA) with understanding of CBCM People receiving complaints well-trained (esp. for dealing with children) Senior staff to deal with SEA referrals Management ready/committed to respond
If the staff is already trained, the CBCM and other PSEA mechanisms can be established at the start of an emergency rather than adding it later when other systems are already running. Those trained staff need to know the internal mechanisms and the principles of CBCM and how to go about establishing one. Another advantage of this early engagement with beneficiaries is the opportunity to foster a more cohesive partnership rather than as dependant and provider. In addition if an organization has a principle of training staff, it can serve to minimize SEA but also could counter staff fears about SEA and resistance to PSEA efforts. This is a reality that some organizations have come up against and we shall look at this when we look at some case studies.
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6. Commit to confidentiality
Trust is critical confidentiality linked to protection All communications/complaints confidential & disclosed on need-to-know basis Suggestion boxes must be secure and receive other issues as well as SEA Written complaints must be locked away Complete confidentiality may not be assured. Others will need to be involved.
6. Confidentiality This is one of the hardest aspects to deal with in some settings e.g., long-running refugee programs. It is easier in others. The environment can limit opportunities for discreet discussions, protection interventions and investigations. Where SEA efforts are very explicit, any contact by a beneficiary with NGO staff may lead to assumptions, hence the need to integrate SEA complaints systems within other mechanisms. In relation to disclosure, the complainant must be informed that for a complaint to be pursued it may not be possible to maintain complete confidentiality. Remember staff have an obligation to report if they have any suspicions. The
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system must ensure that it is conducive to staff and beneficiaries making a complaint and knowing they will be protected as far as possible.
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7. Safety of everyone involved
Complaining may expose people to risk of retaliation this affects willingness to complain therefore CBCM must protect.
Conduct risk assessment immediately
Provide urgent medical assistance Address urgent safety/protection concerns Refer children to child protection specialists (agency)
7. Safety of complainant and staff The safety of complainant (the person who brought the complaint forward), witnesses, the alleged perpetrator and any others associated with the allegation is a top priority. NGOs and partners must ensure that there are options available that will provide protection as required, from safe havens to resettlement (UNHCR response in some instances). Without a commitment by agencies to provide security to complainants, those who fear retaliation will not speak up and will continue to suffer in silence. Those receiving complaints must know how to conduct a risk assessment (or who to consult within the agency to do this for example, staff safety and security personnel) and know what options are available. Additionally, there should be an immediate risk assessment of the protection needs of the persons involved before any investigation. These include immediate medical assistance, immediate intervention to ensure physical safety and referrals of children to organizations with child protection expertise. A: Identify the risks. Think broadly about what happened and what could happen to everyone involved in the process. It could be physical (e.g., pregnancy, violent retaliation), psychosocial, economic (loss of income). All are harmful and reduce a persons quality of life and may also inhibit his/her ability to contribute to the investigation. B. Prioritize risks. After identifying risks need to rank them by person, type of danger and likelihood whose needs are most urgent (usually the complainant or SOC). C. Minimize risks. Make referral to the relevant experts. Note: risks should be reassessed once the investigation starts or if additional concerns come to light.
and subsequently
Identify who may be at risk, and how Prioritize risks which are most urgent? Minimize risk how to respond Important to have safety plans in place for those at risk of retaliation
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8. SEA complaints clearinghouse
A system for agencies to share information:
When complaint received about another agency For sharing information related to receiving/recording complaints For making referrals Not necessarily investigating
8. SEA complaints clearinghouse An integrated system and a location where more than one organization is working will require a mechanism for sharing information, gathering quantitative data and coordinating. Each agency can receive complaint about another agency there needs to be a system for sharing this information. (This does not mean investigating another agencys staff. At this point, it means only receiving the complaint.) This network (e.g., the UN/NGO in-country network, or ICN) is related to receiving and recording complaints and making referrals, but not investigating. The Humanitarian Country Team has responsibility for establishing a complaint mechanism, but it is rarely done. 9. Feedback
9. Feedback to communities/individuals
Community role must be acknowledged by agencies in how they facilitated the CBCM Trust in system reinforced when complainant receives feedback Community feedback should be provided based on programming changes as a result of their input
Can also provide initial acknowledgement back to complainant
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The clearinghouse can also be the structure that provides acknowledgement of the complaint. This acknowledgement should be in a form acceptable to the complainant ideally written, though it could also be verbal (but information about a verbal acknowledgement must be recorded to keep a paper trail). So many assessments/activities engage with communities in an extractive way they use peoples time and take information, rarely providing feedback and acknowledging their contribution. The community role must be acknowledged by agencies in how they facilitated the CBCM, what the impact has been. The community must continue to be involved to ensure trust in the system. The push from the donor community, regarding accountability to program participants/beneficiaries will drive this even more. We will be assessed on how well we do this.
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10. Resourcing the CBCM
A CBCM is mandatory according to the SGB CBCM-related costs (training, staff time, materials) can be resourced under separate projects Essential for accountability purposes and better programming Consider too costs incurred by complainants
10. Resourcing Developing a CBCM is a challenge for agencies that may not have the needed resources. Coordination with partners will be important in deciding how to deal with CBCMrelated costs. Also consider the financial costs incurred by complainants in making phone calls and/or travelling to the reporting location, and opportunity costs of taking time away from other activities. Integrating a CBCM within existing structures is one way to reduce additional costs. Also, during the program design phase, consultation with the community can often be a legitimate expense (for program design). This then could begin the process for developing a CBCM.
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EXERCISE: Select 6 volunteers. Each is given one of the flipchart sheets upon which is written one of the steps for establishing a CBCM. As a group they try and put themselves in order of which step comes first. When they are content, the rest of the participants can contribute their ideas until some consensus is achieved. Give the volunteers 5-10 minutes to get the sequence correct. Then, have the wider discussion. Dont take more than 20 minutes for this exercise.
Steps in Establishing a CBCM
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Exercise
What are the steps you would take in setting up a Community-based complaints mechanism?
This is the suggested process. There is no point in raising awareness of beneficiaries, for example, if staff are not ready and trained. Similarly, dont design system and then consult with beneficiaries it will be perceived as top-down. The process reinforces some of the principles already discussed and is meant to reinforce the key messages, notably coordination and participation key elements of a CBCM. EXERCISE: Divide participants into 6 groups. Each of the volunteers in the previous exercise leads a group, who will then work together to identify and note down the activities/strategies involved in that part of the
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process (take 15 minutes).

Steps in setting up a CBCM
1. Consultation/coordination with partner agencies/HQ 2. Engage in participatory process of consultation with community 3. Design mechanism in partnership 4. Train staff 5. Raise awareness 6. Implement, monitor and adjust as necessary
Each group provides feedback (30 minutes, 5 minutes per group). The facilitator can augment with the following slides.
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1. Consultation/coordination
A joint CBCM is preferable because:
It is cost-effective It is simple -beneficiaries do not necessarily differentiate between different agencies. It promotes coordination It might be seen as independent If a PSEA in-country network (ICN) is in place under UN resident coordinator, link with this. It may provide additional technical support and resources. Note: ensure HQ is on board.
Coordinating with partners. A joint CBCM is preferable, because it is cost-effective, it is simple, it promotes coordination and beneficiaries do not necessarily differentiate between different agencies. If a PSEA ICN is in place under the auspices of UN resident coordinator, link with this, which may provide additional technical support and resources.
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2. Participatory approaches with community
Barriers to reporting are site-specific and vary dramatically. A wide range of perspectives should be captured, especially the most vulnerable Try to ensure that gatekeepers do not take the lead Community representatives are important, but may also have their own agenda and not fully represent all perspectives Ask people how they would like to report Use variety of participative methodologies (FGD, KII) Beware of superficial consultation
Participatory process with beneficiaries. Link back to previous discussions about ensuring that all people are engaged in this process especially the most vulnerable, remembering that community representatives may also have their own agenda and not fully represent all perspectives. Q: what methodologies could be used? Participatory methods could include focus group discussions, key informant interviews, etc.
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3. Design mechanism in partnership
This is a key requirement, especially if a joint mechanism. Ensures that the expertise of all stakeholders is factored into process Ensures buy-in by all (beneficiaries included) Removes possibility of an imposed structure
Design mechanism in partnership. This is required if sharing a CBCM, but also ensures that the expertise of all stakeholders is factored into the process ensures buy-in by all and removes possibility of an imposed structure.
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4. Training
Staff
knowledge about processes SEA and protection Skills for receiving complaints and carrying out risk assessments
Preferably select staff with those profiles for receiving complaints, but all staff are required to know about the CMs and potentially receive complaints
Key community member focal points, depending on role they will take
Train staff in the processes, SEA and protection, and in skills for receiving complaints and carrying out risk assessments. Preferably select staff with those profiles for receiving complaints, but all staff are required to know about the CMs. Depending on the role of the community, it may also be necessary to train key focal points among beneficiaries. Raise awareness for all. This should include partners, government officials, beneficiaries and all staff as both part of the regular PSEA awareness-raising and as a standalone related to other complaints. Collect any feedback people wish to provide. Awareness-raising should use a variety of tools, ensuring that the most vulnerable are targeted, specifically taking into account access to information, language, literacy and disabilities. Implement and Monitor. Pilot the mechanism in order to assess its effectiveness and ensure people are aware of it. Iron out glitches, again in partnership with beneficiaries and other stakeholders. This should be a continuous process. A monitoring plan should be developed covering all facets of the CBCM. HOMEWORK: Explain that participants should read the Haiti case study. This will be important for the first part of tomorrow. HANDOUT 4: HAITI CASE STUDY
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5. Raise awareness
For all this should include partners, government officials, beneficiaries and staff As part of regular PSEA awareness-raising, but also standalone and/or related to other complaints/feedback people wish to provide Use a variety of tools, venues, entry points Ensure most vulnerable are targeted, taking into account access to information, language, literacy and disabilities
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6. Implement, monitor & adjust
Develop a monitoring plan covering all facets of CBCM Pilot the mechanism to assess effectiveness Assess impact Adjust, again in partnership with beneficiaries, and other stakeholders. This is a continuous process.
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Homework
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Session 5. Recap on Day 1

Note: there is no PowerPoint for this session Aims 1. Recap on lessons from the day before through a practical example 2. Identify additional learning requirements Time 45 min. Materials and Preparation None no power point for this session
DETAILED FACILITATOR NOTES
FEEDBACK: Facilitator will refer to any feedback received regarding the sessions on Day 1 and comment as relevant. Remind participants that they will be asked to evaluate the workshop at the end of the day. Facilitator will address any housekeeping issues as necessary. Remind participants of the days activities according to the agenda. Participants will have read the Haiti case study the previous night. To quickly revise, the facilitator will ask a few questions to elicit the main content. Ask a volunteer to summarize the case study, but without addressing any of the previous days lessons, as that will be the main thrust of the next exercise. EXERCISE: Organize the participants into 4 groups. Based on the issues discussed yesterday and what participants learned about the principles and stages involved in establishing a CBCM, each group will discuss one of the following: 1. What did the case study reveal about community leadership? 2. What was the most relevant lesson for you in terms of establishing a CBCM? 3. What elements were missing from the process? 4. Identify the elements of an effective CBCM developed in the JCRM.
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Each group will provide oral feedback in plenary. Sample responses (non-exhaustive): 1. What did the case study reveal about community leadership? They already had CMs in place communities will always set up decision-making power structures. The community favored not reporting via committee but preferred NGO service options. Lack of trust by community re: complaints box. Community leadership comes in other forms, i.e., grassroots groups not just committees explore what community leadership means. The community was unhappy with the committee being the only place to identify an opportunity for NGOs to either work with committees to improve the situation, or with communities to empower themselves and take on leadership roles. Committees are not the only decision-makers, and other people (local staff, etc.) may have valuable inputs. 2. What was the most relevant thing you learned in terms of establishing a CBCM? The importance of HAPs leadership role (i.e., external). Would NGOs have done this alone? There needs to be someone dedicated to the process, which can be time-consuming. HAP was a driving force. The time and planning required to set up a system like this are considerable. Dont assume that anything doesnt exist systems and barriers to reporting already existed, but not taken into account at early enough stage. Need to have a child-friendly complaints mechanism. Need for engagement of the same staff consistently. Need for regular information-sharing with communities on all aspects of NGO work, not just SEA. Need for greater senior management engagement. 3. What elements were missing from the process? Lack of options for reporting only three channels existed, which presented confidentiality challenges for those who could not write or who did not want to go via committee or approach staff directly. Detailed review of existing mechanisms. Needed better designed communication strategies for meetings, and to engage all members of the community (e.g., men).
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Children should have been involved in the process (they are most vulnerable)
4. Identify the elements of an effective CBCM developed in the JCRM Multiple channels Feedback within 10 days Participation (FGDs with vulnerable groups and discussions) Effective coordination with agency staff Training for staff and community members Monitoring via a review process Integrated CM
For an update on the study, please contact mbokanga@interaction.org prior to the workshop.
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Session 6. Case studies lessons learned

This session builds on earlier sessions. Through using practical case studies, it reinforces some key messages already covered in earlier sessions. It also raises a few additional points that are valuable to consider. Participants will now have a second chance to internalize the issues critical to establishing a CBCM. Aims 1. To review different types of mechanisms with a view to learning from other organizations 2. To critically assess the elements that must be taken into account when establishing a CBCM 3. To develop a CBCM checklist for participants agencies Time 1 hr. 15 min. Materials and Preparation Flipcharts and markers
Verify that everyone read the Haiti Case Study. Have a volunteer or two recap what happened without getting into the lessons learned.
Haiti Case Study

Review of Day one - in practice
2
Haiti Case Study: Group Work
1. What did the case study reveal about community leadership? 2. What was the most relevant learning for you in terms of establishing a CBCM? 3. What elements were missing from the process? 4. Identify the elements of an effective CBCM developed in the Joint Complaints and Response Mechanism (JCRM).
TO FACILITATORS: please look at detailed examples of responses to each of the above questions found in the Facilitation Guide. Divide participants into 4 groups (can be 5 groups; then have two groups work on question 4). Allow 15 minutes for group work; then 20-25 minutes for plenary presentation. Update: in the end, the JCRM was never implemented. A number of factors impeded, including changing dynamic inside Haiti at the time (pressure to close camps and thus to move people, forcibly; weather; etc.).
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COMPLAINTS MECHANISMS OTHER EXAMPLES
Complaints Mechanisms
Case Studies
Explain that complaints mechanisms were one of the last aspects of SEA to be addressed as a priority, despite being addressed in the primary document, the SGB. Since it became clear that complaining itself was a challenge for a variety of reasons, this mechanism began to be taken more seriously, especially after Save the Childrens 2008 report No One to Turn To. This session draws on HAP (2010) Literature Review: Complaints Mechanisms and Handling of Exploitation and Abuse, by Veronika Martin. The case studies that follow provide excellent recommendations based on their practical application of CMs. EXERCISE: Explain to participants that as we go through that they should note issues they think are of critical importance, as they will use that information later.
4
Protection clubs South Sudan, Save the Children
Training for children on rights, issues etc. Safe space, so a deterrent to abuse Linking with child protection committees Brings vulnerable groups to the aid workers
Protection clubs South Sudan, Save the Children This is one example of programming actively integrating PSEA efforts. The creation of a safe space enables a potentially vulnerable population to interact directly with staff thus providing additional opportunities to make a complaint. Flooding/disaster preparedness Cambodia, CARE This case study was not explicit in evaluating its impact, but it does make very useful recommendations, especially in relation to: outreach activities in order to solicit complaints; the location of the complaints box to enable privacy; and in terms of addressing communities concerns that complaints will lead to the cessation of aid. Lessons/Recommendations: Keep complaint box key with staff (not the community)
5
Flooding/disaster preparedness Cambodia, CARE
CM committee set up first then shared with community for raising complaints Entry points: complaints boxes, committee, 2 telephone numbers (CARE & government counterpart); Information provided through village information boards and discussed in village meetings
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6
PSEA project, Timor-Leste CARE
Case study highlighted challenges:
CM set up specifically related to SEA (led by PSEA Officer) Staff threatened by CM provided no support to staff overseeing it
Put boxes far from authority to allow people to be anonymous Allow people to complain anonymously without adding names Encourage staff to see complaints positively: means to improve Initiate CM early part of communitys project orientation Best project feedback from visiting project regularly to talk/listen Visit isolated homesteads most vulnerable/ marginalized Assure people they should complain & that it wont affect the provision of aid Explain purpose of CM
PSEA project, Timor-Leste CARE This one is interesting because one of the major lessons comes from the way the project was conceived i.e., with a focus on PSEA, which was actually an inhibitor for staff.
Community was consulted, but refused to discuss in public the possibility staff would abuse
Fear CM would lead to losing aid, upsetting NGO or police would get involved
Changed CM to feedback and sharing and changed title of staff to community liaison officer
Greater discussion with community and effective engagement
7
Drought, northern Kenya, Tearfund
First, set up beneficiary reference groups (BRGs). BRGs consist of independent group of individuals receive verbal complaints
Then, set up suggestion boxes
complaints has negative connotation local leaders decided location of boxes checked 2 times a month response posted publically on notice boards 5 complaints received a month, on average
Drought, northern Kenya, Tearfund Again, the location of the box was important and community leaders were involved in that decision. Also the name complaints replaced with suggestions. This is more positive and allows for the possibility of positive feedback and good ideas so that projects can benefit and ultimately improve. Also important to note here is the logging of both verbal and nonverbal complaints, and ensuring that both are dealt with. One interesting factor was how alien the concept of complaining when receiving aid for free was this identifies need for significant outreach. Lessons: Ensure safety & confidentiality only NGO staff to have box key Different channels provide more options
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Log both verbal and nonverbal complaints in log book so verbal complaints are given the same attention Integrate complaints into project planning Ensure all staff understand the purpose Note low numbers of complaints, because that could reveal beneficiaries lack of faith, awareness etc.
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Food aid, Ingushetia & Chechnya Danish Refugee Council
Set up information centers to raise issues Each complaint logged and given number Recommendations include need for gender balance among information team members; better communication on how systems works
Danish Refugee Council, food aid in Ingushetia and Chechnya Information centers are less threatening and enable beneficiaries to approach the agency about a range of issues. This is the only case study that draws attention to the gender balance of staff, given some people are sensitive about talking to members of the opposite sex.
9
Case studies (HAP) findings and recommendations
IMPORTANCE OF: A code of conduct to make enforcement effective Participation by beneficiary community in designing a CM usable for any anticorruption or prevention measures Building on existing CM to avoid making this an NGO or outsider-owned system Taking care to adjust CM to local cultural context, including use of term complaints, taboos of discussing sex, and fears related to politicising use of the mechanisms
Overarching Recommendations: The literature reviewed by HAP found agreement on the importance of a number of issues. These include: the involvement of communities for ownership, building on their experience; simplicity for all, both in reporting and in ensuring that there is no confusion among staff; and that staff must also understand the value of a CBCM ultimately, it will improve programming. Recommendations continued.
Findings and recommendations
(contd)
IMPORTANCE OF: Keeping CM simple: clarity on how to complain and to whom Clarity with all stakeholders (staff and community members) regarding the purpose of the CM and the consequences of violating code
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Ensuring mechanism is accessible to vulnerable populations who may be illiterate, marginalized, or have other difficulties accessing CM Basic principles of anonymity, confidentiality and safety, and how to communicate and ensure these
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11
Exercise
Design a checklist that you would share with your organization on setting up a CBCM in a specific context with which you are familiar. Ensure you consider the principles, risks and barriers.
EXERCISE: Organize the participants into small groups (each table can be a group): Make a checklist of what to consider when setting up a CBCM for either a specific environment in which you work, or a more generic checklist. It might be useful to group participants according to location so they can draw on location-specific knowledge or to group by organization. Alternatively, they could be mixed up ask participants which would be most helpful. 15 minutes for group work Each group will then give feedback to the plenary through role play. They will be advocating the use of this checklist, imagining they are at an organizational meeting. The rest of the participants are senior managers and can critique the presentation/ideas. Allow 25-30 minutes for the presentations to senior managers. The objective is for participants to practice being advocates for SEA measures, as well as to liven up the feedback part of the exercise. Facilitators should aim to get copies of each checklist to share with other participants as a take-away resource.
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Session 7. Receiving and documenting complaints and referral mechanisms

Note: the section on receiving complaints may be shortened or omitted as necessary to avoid duplication, depending on whether the investigations workshop is following this one. Aims 1. To enhance ability of participants to receive complaints 2. To understand how to conduct a risk-based assessment 3. To understand process of referring complaints Time 1 hr. 30 min. Materials and Preparation HANDOUTS HANDOUT 5: Victim assistance resolution a/res/62/214 HANDOUT 6: Victim assistance guidance
Title slide
Receiving and Documenting Complaints and Referral Mechanisms
2
Contents
Process of receiving a complaint Principles of receiving a complaint Role and skills of complaint recipient Next steps:
Referrals Victim assistance strategy
Contents
3
Receiving a complaint
Receive initial complaint Consider immediate protection needs Establish nature of complaint Decide who deals with complaint Follow up complaint
The process of receiving a complaint Bear in mind that whoever is making the complaint has thought long and hard about it and probably overcome a number of barriers to coming forward.
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4
Role of complaints recipient
Encourage reporting and receive complaints; Give guidance on what happens with the report; Pass report through appropriate channels Make referrals as necessary
Role of person receiving complaint Staff must know that they are not required to make any decisions about whether or not the allegation is true or false they are merely receiving the information, conducting an initial risk/protection assessment and sharing with the complainant the next steps in the process. Qualities of person receiving complaints
Qualities of effective complaints recipient
Knowledge: Must know what s/he is talking about. All information given must be consistent & accurate. Responsibility: To facilitate the interview in a way that respects complainants values, personal resources & capacity for self-determination. Neutrality: Should not project own biases or offer own judgements. Patience: Should give complainant ample time to tell her/his story. Focus: Should only ask only relevant questions.
REMEMBER: Person receiving complaint is: NOT an investigator NOT a counselor
Staff should be equipped with these skills and this knowledge it will likely require additional training. Note: it is very important to ensure that the person receiving the allegation does not investigate the allegations, nor are they to judge the validity of the allegation. Principles of receiving a complaint
Principles of receiving complaints

Protection, safety and security Identification of welfare support required and referrals Preserve confidentiality as far as possible absolute confidentiality may not be possible, as reacting to the allegation may require interventions
Involve as few people as possible

Support the victim in referring to local authorities if a there is a crime
Forward the allegation for action via established mechanisms
7
Basic phases of an interview
Rapport-building Information-gathering Free narrative Questions Closure and next steps
Basic phases of an interview Note: these next few slides are a replication of what happens later in the Investigations workshop. It could be skimmed through, if appropriate to avoid duplication.
8
Rapport-building
Introduce yourself and welcome the complainant Make them feel comfortable Reassure them that they did the right thing in coming Explain your role is to take the complaint that you are not making any decisions, simply gathering information Explain the boundaries of confidentiality and obtain their consent to your sharing the information on a need-toknow basis
Rapport-building
51
9
Information-gathering
Let them tell their story in a free narrative Do not interrupt Show you are listening by concentrating, remaining attentive & focused Silence is OK; allow complainant time to think and choose words
Ask for clarification to make sure you have understood Use open rather than leading questions what did you mean? and then what happened? not did you mean X? or did you then do X? Do not make judgments; avoid why questions Use simple language
Information-gathering
10
Anonymity
If the survivor wishes to remain anonymous, all other information must be forwarded through appropriate channels. An anonymous complaint might be more difficult to investigate the person needs to know this. In this case they will be told that his/her identity will not be disclosed during the investigation without his/her permission
Anonymity is possible, but it will very likely have an impact, making it difficult to investigate. Anonymity may also make it difficult to do safety planning, and will prevent direct feedback to the complainant of the outcome.
11
Closure and next steps
This reassures complainants their complaint is taken seriously
Let them know what may happen next do not guarantee an outcome Explain how long the process might take Explain that you (or someone else) will be in touch again Provide contacts if the complainant has questions
Closure and next steps
Explain that someone else will decide what happens next

Explain that the allegation will be followed up Tell them they will be informed of the outcome
12
Special considerations for children
Children may be as reliable as adults Take their report seriously Children may have special needs with regard to interviews, i.e., timing, language Consider whether parent or caregiver should be present
Special considerations for children. Other vulnerable groups in your setting may have additional special needs and considerations.
13
Receiving complaints
Be prepared to receive complaints from:
A variety of people could make complaints need to be prepared and able to function equally well. The staff receiving the complaints should also know the protocol for how to forward these complaints if they relate to another organization.
UN staff NGO staff Local community - family, friends, neighbors, witnesses Victims themselves Others?
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14
Documentation
Documentation review the IASC Model Complaints Form, which is in both the IASC Model Complaints and BSO resources. DISCUSS: Does your agency have a complaints form? How does it differ? What is missing from the IASC tool?
Keep a written record e.g., the IASC Model Complaint Form Review Forward complaint for action as soon as possible, as per agency reporting procedure
15
Assessing physical safety & welfare
DISCUSS: How do you assess? How do you organize referrals
EXERCISE: Assessing physical safety and welfare. In pairs, brainstorm how you assess a complainants physical safety and welfare. Give feedback in plenary by making a list on a flipchart.
16
SEA victim assistance
HANDOUT 5: Victim assistance resolution HANDOUT 6: Victim assistance guidance Introduce the SEA Victim Assistance Resolution, which is an acknowledgement of the responsibility of organizations to support SEA victims and children born out of SEA, as well as complainants. Make a link to the Statement of Commitment. The UN humanitarian/resident coordinator is tasked with leading PSEA efforts in a country. It is likely that wherever your organizations work, there will be a UN presence. Tap into this structure if at all possible. Note: the Victim assistance mechanism is still mostly academic as of this courses creation, it is not clear that it has been formally established anywhere. PSEA ICNs are still a goal for many PSEA advocates. Yet the principles should be understood, as they relate to the risk assessment at the start of the process for the complainant, and then subsequently if a complaint is upheld. They entail the organization and the humanitarian/development community accepting a degree of culpability in allowing one of the staff to perpetrate SEA against a beneficiary.
UN Resolution (2007) A/Res/62/214 obliges assistance and support to SEA victims
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17
Identifying services & creating a referral pathway
Conduct an assessment of available services and gaps in services in health, legal, psychosocial, and material support Develop a referral plan and list of referral agencies for basic support and extended support
This assessment should be done at the same time as the CBCM is being established since it identifies the different services a complainant/victim can access. This exercise is best done in coordination with other stakeholders. Many of these resources can be identified through contact with GBV programs, especially the second bullet.
Identify victim support facilitators to assist the complainant/survivor to access services

Identify standards for confidentiality, data collection, coordination among service providers
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Session 8. Implementing a community-based complaints mechanism

Aims 1. To address some critical issues in relation to establishing a CBCM based on learning so far 2. To consider how to monitor and ensure a CBCM is functioning, pre-empting some of the challenges (risk) the organization might face. Time 1 hr. 30 min. Materials and Preparation Flipcharts
Title slide
Implementing a CBCM
2
Brainstorming
What are some of the constraints you might face in:
establishing a CBCM? implementing a CBCM?
EXERCISE: Divide participants into 4 groups. This exercise is in 2 parts: Part 1: each group will be given a piece of flipchart paper to note down the constraints of: GROUP A - Establishing a CBCM [2 groups work on this] GROUP B - Implementing a CBCM [2 groups work on this] Encourage groups to think broadly their brainstorming should cover institutional/ contextual/personnel/logistical/programmatic constraints. Part 2: after 5 minutes, each group will swap over and review each others work i.e., those in Group A switch their papers with people in Group B. Each look at what the other group identified. For each constraint identified, the other group will
55
come up with a possible solution and note it on a flipchart. Do this for another 5 minutes Plenary feedback (20 minutes total): A representative from GROUP A will read out a constraint in establishing a CBCM. A representative from GROUP B will read the relevant solution identified by their group. This will be repeated until all constraints have been dealt with. Then the exercise is repeated with two other representatives for the other constraints (implementing a CBCM). Review and augment as necessary. Identify a person to capture the presentations, and this will be shared with participants as a resource. Note: the next two slides list some of those constraints it may be unnecessary to go through them if the exercise has been done well.
3
Establishing a CBCM potential constraints
Lack of management/agency buy-in Lack of coordination with other agencies Failure to get full participation by the community Staff resistance Limited funding Inadequate expertise Emergency situation not seen as priority
This slide lists some of the possible establishment constraints cross-reference with participants feedback.
Implementing a CBCM potential constraints

Lack of management buy-in Staff resistance Few/no complaints Lack of knowledge about referrals Poor feedback to the community Community resistance Inadequate coordination
This slide lists some of the possible implementation constraints cross-reference with participants feedback. Note: because the potential constraints are similar, its better to iron them out in advance of establishing a CBCM in the hope that the constraints during implementation are minimized.
Lack of staff capacity
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5
Monitoring a CBCM is it working?
EXERCISE: How do you know if there are problems? What steps can you take to mitigate against problems?
Monitoring a CBCM The establishment of a CBCM is not an end in itself. The organization/coordination body will need to assess whether it is meeting the expectations expected. PLENARY DISCUSSION: How can you monitor and evaluate whether the CBCM is effective? List the contributions on a flipchart. (10-15 minutes)
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Session 9. Wrap up, recap and workshop closure

Aims 1. To remind participants what they have covered over the past two days 2. To test their knowledge 3. To facilitate participants identify what they will do next in relation to establishing CBCMs Time 1 hr. 15 min. Materials and Preparation 4 pieces of flipchart paper pasted to the wall. Each with one of the following written on the top: 1. One of the most important or useful things I have learned about CBCMs 2. What I need to look into or change in my organizations way of dealing with complaints mechanisms 3. Action steps I know I want to take 4. What I want to think about more HANDOUTS: HANDOUT 7: Workshop Evaluation
Title slide
Recap
2
The process
Background to SEA milestones Reminder of the 6 SGB Principles SEA risks in humanitarian/development scenarios SEA risks for specific groups Working with communities rationale/challenges role of committees Barriers to making complaints
Staff beneficiaries
Remind the participants of the process they have gone through over the course of the twoday workshop.
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3
The process (contd)
Rationale for complaints mechanisms 10 principles in establishing a CBCM Steps in establishing a CBCM Case studies lessons learned Receiving complaints and referrals Implementing and monitoring a CBCM
The process continued.
PLENARY CBCM QUIZ: In plenary, ask the participants questions. Reward them with a piece of candy. Ideally, ensure each participant has a chance to provide an answer. Suggested questions: Name one of the six principles in the SGB (6 people) For each of the following groups, what is one of the risks of SEA: o A child, a disabled person, a single mother, a young man, an elderly person (5 people) Name one of the barriers to reporting for an NGO staff member (3 people) Name one of the barriers to reporting that a beneficiary may face (3 people) What is one of the risks of working with a committee in establishing a CBCM? Name one of the 10 principles in establishing a CBCM (10 people) Etc.
TEST YOUR KNOWLEDGE

A few questions.
5
The way forward
LIST (one point per post-it note)
The way forward: Ask each participant to note down the responses to each of the questions, for their own records. Then, rewrite each on a separate post-it note and put them on the flipcharts at the back of the room.
One of the most important or useful things I have learned about CBCMs What I need to look into, or change, in my organization's way of dealing with complaints mechanisms Action steps I know I want to take What I want to think about more
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Thanks and Evaluation Facilitator thanks the participants and announces the end of the workshop. This might be the time when certificates are distributed.
THANK YOU!!!!
Evaluation: Ask each participant to fill in an evaluation sheet before they leave.
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SEA CBCM Workshop Facilitator Guide - Final (06.13.2012)

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Sexual Exploitation and Abuse

C om m unity- B ase d Complaints Mechanisms Workshop

SEA Sub-Working Group

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

Session 1. Introductions and workshop overview

Management Responsibility to Address SEA

SEA Community-based Complaints Mechanisms Workshop

Introduction & Course Overview

Why this workshop? Why InterAction? Why now?

SEA Community-based Complaints Mechanisms Workshop

Introduction & Course Overview

SEA Community-based Complaints Mechanisms Workshop

Explain that you will ask a number of questions.

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

Handout 1: Agenda Briefly go through the schedule from Day 1 to Day 2.

Housekeeping Ground rules Announcements

SEA Community-based Complaints Mechanisms Workshop

Session 2. Sexual exploitation & abuse: principles and risks

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

Milestones in addressing SEA (contd)

UN Secretary-Generals Bulletin (2003)

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

Risks and Vulnerabilities to SEA

SEA Community-based Complaints Mechanisms Workshop

Special Focus: Children

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

Session 3. Community-based complaints mechanisms

CommunityBased Complaints Mechanisms

NARROW encompasses procedures that allow a complainant to alert an organization to allegation

SEA Community-based Complaints Mechanisms Workshop

Victim gains awareness about SEA & reporting mechanisms

Decisio n made to report

Selection of reporting entry point

Complaint made/ received; Risks assessed & referrals

Referrals: to HQ or agency / interagency body for next steps

Internal and External Reporting

Clear guidelines on how to report

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

SEA Community-based Complaints Mechanisms Workshop

Barriers to Making Complaints

SEA Community-based Complaints Mechanisms Workshop

GROUP 1 List some of the staff barriers to reporting an SEA allegation.

SEA Community-based Complaints Mechanisms Workshop

More beneficiary barriers

Not culturally appropriate to challenge those in authority

Further beneficiary barriers

Barriers for children making a complaint

They will not be believed

Abuse is normal and it happens to everyone

And barriers for boys in particular

SEA Community-based Complaints Mechanisms Workshop

Myths about children

Myths about disabled people

So now we shall look at the COMMUNITY in CBCM.