Protection from Sexual Exploitation and Abuse (PEAS)

Standard Operating Procedures

United Nations agencies, MINUSMA,

international NGOs and local partners
Date of revisions

1st Draft 10/10/2019

2nd Draft 27/04/2020
Final 24/09/2020

Standard Operating Procedures (SOPs) for sharing information and reporting allegations of
sexual exploitation and abuse (SEA) between the United Nations (UN Agencies, Funds,
Programmes and MINUSMA), international and national NGOs and the Government of
Mali.1

1The agencies and organisations party to this agreement are listed i n Annex I (hereinafter referred to as
"entities" or "signatories").

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CONTENTS
Cigles and abbreviations .....................................................................................................3
i. Introduction .................................................................................................................4
ii. Objectives .................................................................................................................5
I. Scope of application ............................................................................................................6
II. Definitions ................................................................................................................6
III. Principles ..................................................................................................................7
3.1. Survivor-centred approach..............................................................................................7
3.2. Liability........................................................................................................................7
3.3. Confidentiality and informed consent ..............................................................................7
3.4. Right to assistance and appeal .................................................................................................8
3.5. Do no harm and the best interests of the child ........................................................................8

IV. Reporting allegations ................................................................................................8

4.1. What to bring back ......................................................................................................8
4.2. Deadlines ...................................................................................................................9
4.3. Rapid reporting - 24 HOURS............................................................................................9
4.4. Immediate assistance to the victim..................................................................................9
4.5. Transmission of the claim..........................................................................................................10

V. Documentation and information management ...........................................................11

VI. Assistance to victims ...............................................................................................11
VII. Investigation ...........................................................................................................12
VIII. Sharing information with the victim about the response process ...........................13
IX. Results of investigations into reported cases ...............................................................13
X. Responsibilities .......................................................................................................14
10.1. Responsibilities of and to the PEAS Network Coordinator ............................................14
10.2. EAS allegations against MINUSMA personnel.....................................................................15
10.3. EAS allegations against UN agency staff .............................................................................15
10.4. EAS allegations against staff of NGOs or national organisations.........................................16
10.5. EAS allegations against the International Security Forces .................................................16

XI. Expiry of SOP...........................................................................................................17

XII. XII. SIGNATURES......................................................................................................18
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CIGLES AND ABBREVIATIONS
CDT : Conduct and Discipline Team
Core Team : Steering Committee
EHP : Humanitarian Country Team
EAS : Exploitation and Sexual Abuse
SEA : Sexual Exploitation and Abuse
GBVIMS : Gender Based Violence Information Management System
MARA : Monitoring, Analysis, Reporting Arrangement
MINUSMA: United Nations Multidimensional Integrated Stabilisation Mission
in Mali
MRM: monitoring and reporting mechanism
OCHA: United Nations Office for the Coordination of Humanitarian Affairs
NGO : Non-Governmental Organisation
UNITED NATIONS : United Nations
PEAS : Protection against Sexual Exploitation and Abuse
PSEA : Protection Sexual Exploitation and Abuse
SOP : Standard Operating Procedures
STAIT : Senior Transformative Agenda Implementation Team
UN : United Nations
UNFPA: United Nations Population Fund
UNICEF : United Nations of International Children's Emergency Fund " Fonds
des Nations Unies pour l'Enfance " (United Nations Children's
Emergency Fund)
GBV : Gender-Based Violence

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i. INTRODUCTION :
In 2003, the Secretary General of the United Nations issued the Circular on Protection
from Sexual Exploitation and Sexual Abuse. According to this legal document, sexual
exploitation and sexual abuse (SEA) are unacceptable behaviours that are formally
prohibited for all humanitarian workers, peacekeeping mission staff and development
workers. These acts damage the image and integrity of humanitarian organisations and
undermine public confidence in them.

The current Secretary General insists on a policy of zero tolerance, which means that
the culture of impunity and complacency in relation to sexual exploitation and abuse is no
longer tolerated. Zero tolerance of impunity also means that measures must be actively put
in place to prevent sexual exploitation and abuse, as well as taking appropriate
disciplinary action against those found to have violated the standards of conduct of the
United Nations, NGOs and national and international organisations in this area.

In Mali, because of social pressure, fear of being stigmatised or reprisals, cases of SEA
and even gender-based violence (GBV) in general are under-reported. Most of the time,
victims of SEA are forced to give up claiming their rights. Today, each organisation
receives cases of SEA individually and deals with them according to its own procedures,
which is correct. The Country Humanitarian Team would like to have standard
procedures for sharing information in order to have an overview of the current situation
in the country regarding cases of sexual exploitation and abuse. The Country
Humanitarian Team has set up the National Network to coordinate prevention, risk
mitigation and response to cases of SEA in Mali.

Following the STAIT (Senior Transformative Agenda Implementation Team) mission in

February 2017, the Mali Country Humanitarian Team (EHP), under the leadership of the
Humanitarian Coordinator, delegated to two organisations - the United Nations
Population Fund (UNFPA) and the NGO Save the Children as the focal point for GTAH-
FONGIM member NGOs - the responsibility of coordinating the development of action
plans for Protection from Sexual Exploitation and Abuse (PEAS/PSEA) and ensuring
overall monitoring of the implementation of these plans, in particular through the
creation and running of the National Network of PSEA focal points designated within
each organisation, a member of the EHP.

The PEAS/PSEA Network's first action plan dates from 2017 for two years 2018-2019. The
PEAS/PSEA Network has developed a number of tools and materials for use in the field to
raise community awareness (such as mobile community cinema activities in

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the local language with a film specific to Mali, etc.). Last year, the EHP validated the second
action plan for 2019-2020, which is currently being implemented.

The Network has a Core Team comprising UNICEF, MINUSMA, Save the Children, UNFPA
and OCHA. It works closely with a number of ministerial departments (Ministry of Health
and Social Affairs, Ministry for the Promotion of Women, Children and the Family, Ministry
of Security and Civil Protection, Ministry of Justice, Human Rights, Keeper of the Seals),
non-governmental organisations and civil society.

The Standard Operating Procedures (SOP) document signed by humanitarian actors,

including the government, national and international NGOs, MINUSMA and UN agencies,
will guide all signatory actors to use harmonised policies and tools, therefore working as
one team with the same understanding and united actions to combat the scourge.

The signing of this document will be followed by a national awareness-raising campaign

at community level to strengthen and publicise the existing reporting mechanisms put in
place by community members as soon as they are designed and implemented.
Communities will thus be informed of the importance of victims' rights and how to
report cases using the same forms and tools.

ii. OBJECTIVES
The purpose of this document is to clarify the process:
(1) for reporting allegations of sexual exploitation and abuse (EAS)2
(2) the sharing of essential information relating to EAS cases in terms of response.
The aim of these SOPs is to improve collaboration between humanitarian actors, including
MINUSMA, and to ensure the safe and ethical collection of allegations of SEA and referral
for victim assistance and investigation.
It is necessary to work within existing coordination and information sharing processes.
This includes the following EAS Country Network coordination mechanisms, the Gender
Based Violence Information Management System (GBVIMS), the Monitoring and
Reporting Mechanism on grave violations against children (MRM) and arrangements for
monitoring, analysis and reporting

2Definition of an "allegation of SEA": uncorroborated information indicating the possible occurrence of

an act or acts of sexual exploitation and abuse.

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of conflict-related sexual violence (Monitoring, Analysis, Reporting Arrangement
MARA)).

I. SCOPE O F APPLICATION
These SOPs concern the reporting of allegations of SEA against United Nations (UN)
personnel, UN-associated personnel, contractors3 , foreign military forces operating
under Security Council authorisation outside UN command, personnel of international
NGOs and national NGOs, and of the Government of Mali.
These SOPs apply when one of the signatory entities receives an allegation of EAS
against a member or former member of staff working or having worked (whether paid or
unpaid) for another entity bound by the UN and IASC standards on EAS that is a signatory
to these SOPs.

II. DEFINITIONS
Sexual exploitation and sexual abuse (SEA): Sexual exploitation is the abuse 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.
Sexual abuse refers to any sexual violation committed by force or coercion or as a result of
an unequal relationship, and the threat of such violation also constitutes sexual abuse4 .

3 For the purposes of this SOP, "United Nations and United Nations-related personnel" shall mean staff of
the United Nations:
i) Persons engaged or deployed by the Secretary-General of the United Nations as members of the
military, police or civilian components of a United Nations operation;
ii) Other officials and experts on mission of the United Nations or its specialized agencies who are present
in an official capacity in the area where a United Nations operation is taking place;
iii) Persons designated by a government or an intergovernmental organisation with the agreement of the
competent competent of the Organisation of the Nations
United Nations;
iv) Persons recruited by the Secretary-General of the United Nations or by a specialised agency
v) Persons deployed by a non-governmental humanitarian organisation or agency under an agreement
with the Secretary-General of the United Nations or with a specialised agency to carry out activities i n
support of t h e implementation of the mandate o f a United Nations operation.
(vi) Contactor employees providing services to the United Nations

4 Secretary-General's Bulletin: Special measures for protection from sexual exploitation and sexual abuse
(ST/SGB/2003/13), 9 October 2013.

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Complaints mechanism: A channel that gives users access to secure means of making
comments or complaints on relevant areas5 for and under the control of the responsible
body.

Reporting Entity : An entity that is a signatory to this SOP and receives and reports
suspicions or information about an EAS allegation involving another entity that is a
signatory to this SOP.

Entity concerned: Entity signatory to this SOP for which the member of staff or former
member of staff concerned by the allegation of EAS (alleged perpetrator) works or has
worked, whether remunerated or not, temporarily or permanently.

III. PRINCIPLES
The following principles must be observed when reporting and responding to allegations
of EAS:

3.1. SURVIVOR-CENTRED APPROACH:

SEA is a form of gender-based violence (GBV) and represents an abuse of power
perpetrated primarily against women and girls, due to gender inequality, and can
also affect men and boys. The rights, wishes and needs of victims 6 should be
prioritised and respected in all actions taken to address SEA, which is called a
"survivor-centred approach".

3.2. ACCOUNTABILITY :
Alleged perpetrators of EAS must be investigated and, if found guilty, punished
(or even prosecuted in the case of crimes), in compliance with the required rules
and procedures and with confidentiality.

3.3. CONFIDENTIALITY AND INFORMED CONSENT :

The right to confidentiality is guaranteed to the victim, his family and
community, as well as to the alleged perpetrator, his family and working
environment, and to witnesses. Confidential information relating to the victim
and witnesses may only be shared with the entities involved in the investigation
and follow-up, provided that written informed consent has been obtained on the
basis of the consent form (Appendix 1). To this end, the

5 Linked to EAS within the scope of this SOP.

6 In order to comply with the use of the term "victim" by the United Nations General Assembly in the context of
programming assistance for SEA, this SOP uses the term "victim". However, this term is interchangeable with
survivor, both referring to the person who has suffered an incident of SEA.

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 Personally identifiable information of victims (which will only be shared after
informed consent has been given), witnesses and alleged perpetrators (if
identified), as well as other identifying information relating to SAE allegations
and investigations, must be treated as strictly confidential by authorised persons
of the entities concerned. In addition, all material relating to EAS cases, in
whatever form, must also be kept in a secure and confidential place.

3.4. RIGHT TO ASSISTANCE AND APPEAL :

Victims must be guaranteed protection and support, including protection of
their dignity, safety and security, as well as assistance and access to justice and
reparation.

3.5. DO NO HARM AND T H E BEST INTERESTS OF THE CHILD :

The reporting of allegations and the response must be carried out in accordance
with the principles of "do no harm". In the case of victims or witnesses under the
age of 18, the legal principle of the Best Interests of the Child shall be respected
in all decisions and actions concerning the child, in accordance with the
Convention on the Rights of the Child.

IV. REPORTING ALLEGATIONS

4.1. WHAT TO BRING :

Reporting must be carried out using a reporting form (Annex II.B) which provides the
essential relevant information:
▪ Who
• Who is the alleged victim and what is their profile: child/adult, woman/man,
internally displaced person/refugee/host community (names shared after
informed consent given by the alleged victim or guardians in the case of
minorities).
• Who the alleged perpetrator is and his profile (name of contingent, UN or NGO
employee)
• Who/what organisation reported the allegation?
▪ What? Describe the nature of the incident
▪ When did the alleged incident take place?
▪ Where the alleged incident took place.

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 4.2. DEADLINES :

Any allegation of SEA against UN personnel, associated personnel and humanitarian NGO
personnel must be reported promptly for appropriate action.

4.3. RAPID REPORTING - 24 HOURS :

When an entity that is a signatory to this SOP receives information concerning an allegation
of EAS involving another entity that is a signatory to this SOP, the person who receives the
information shall forward the information to the appropriate person (in accordance with the
agreement agreed in this SOP), immediately or at most within 24 hours. Any EAS Focal Point
that receives a complaint must inform the EAS Focal Point of the organisation concerned, if
different from its own. The EAS Focal Point of the organisation concerned will follow its
organisation's internal EAS notification procedure and will inform t h e PEAS Network
Coordinator within 48 hours at the latest. The PEAS Network Coordinator must in turn
inform the Humanitarian Coordinator immediately.

4.4. IMMEDIATE ASSISTANCE TO THE VICTIM :

When recording the allegation, it should be checked whether the victim has received
emergency assistance, if necessary. If they have not, and if the victim wishes and agrees
to receive it, an immediate referral, within 24 hours, must be provided.
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 Assistance to victims of SEA will be provided in accordance with the assistance referral
m e c h a n i s m s established for cases of GBV.
For all cases involving children, UNICEF is the provider of last resort.

4.5. TRANSMISSION OF THE CLAIM

i. If the reporting entity has an EAS Focal Point7 at the place where the allegation was
reported, by the victim/witness/third party, this EAS Focal Point fills in the reporting form
(Annex IIb) and sends it to the EAS Focal Point of the entity concerned by the allegation.

ii. If the reporting entity does not have an EAS Focal Point on site, the person receiving
the allegation immediately informs the EASP Country Network Coordinator. If the
allegation concerns the EAS Focal Point of the entity concerned, the EAS Focal Point of
the reporting entity will forward the information only to (i) the Head of Office of the
entity concerned, if different, (ii) the EAS Focal Point of the head office of the said
organisation if known, or (iii) the EAS Network Coordinator.

iii. If the allegation involves an International Non-Governmental Organisation, the Focal

Point of the organisation receiving the information should contact the NGO's ISSP
Focal Point, or the Head of Mission or Country Representative of the organisation
concerned. If the latter is the alleged perpetrator, the allegation should be reported to
the Focal Point at the organisation's headquarters8 .

iv. If the allegation involves MINUSMA, the person receiving the information should
contact the MINUSMA Conduct and Discipline Team (CDT).

v. If the allegation involves elements of international forces outside MINUSMA, the

person receiving the information should contact the MINUSMA Human Rights Section.

7 The focal point may be the Head of the organisation or agency, depending on internal procedures.

8 A list of contact persons at the various head offices will be drawn up and appended to this SOP.

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vi. In these various cases, information is shared by e-mail by sending the completed alert
form (Appendix IIb) to the e-mail address of the EAS Focal Point concerned, without
copying any other person.

vii. This agreed inter-agency transmission mechanism does not exclude the
simultaneous application of mandatory reporting procedures within each
organisation.

For a visual representation of the reporting process, see the diagram: reporting
allegations in Mali (Annex IIa)9 .

V. DOCUMENTATION AND INFORMATION MANAGEMENT

Hard copies of all forms must be kept in secure, locked and confidential locations at all
times. Scanned copies of all forms must be stored electronically in a password-protected
file to which only the EAS Focal Point has access.

The number of people the victim has to deal with should be kept to a strict minimum
and on a need-to-know basis (for example, one responsible agent should carry out all
interactions with the victim).

VI. ASSISTANCE TO VICTIMS

Assistance is provided as soon as the case is reported and through existing partners and
referral channels for GBV/Child Protection cases. The EAS Focal Point receiving the
allegation will ensure that the victim is referred to the appropriate care structures or will
contact the EAS Network Coordinator who will ensure this.
Assistance is provided to victims on the basis of the survivor-centred approach, i.e.
respecting the victim's wishes and the UN Protocol for Victim Assistance. This should not
be linked to the outcome of the investigation. In this sense, the case may be closed from
the point of view of assistance (for example if the victim refuses further assistance, or
cannot be found, or her needs have been met) while the investigation may continue;
and vice versa, the investigation may be finalised and assistance not yet concluded.

9 Diagram in Annex II.

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Assistance is due on the same terms as for other victims of GBV, based on an
assessment of individual needs in accordance with the "Inter-institutional guidelines for
the management of cases of gender-based violence" (2017)10 .

VII. INVESTIGATION
The victim will only be involved in the investigation process with his/her informed
consent. The consent form (Annex I) will be completed by the appropriate person, in
this case the institution's focal point or case manager. This will not affect the victim's
right to access assistance and support at the time of reporting, or at a later date, if they
so wish.

The investigation process by the appropriate body must be carried out diligently and
effectively.

Where the victim is a child, the child will have the right to have an adult person, where
possible a child protection officer, as emotional support before, during and after
interviews with investigators. The role and conditions to be fulfilled by this support
person will be defined and agreed in advance.

10 2017 IASC case management guidelines

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 VIII. SHARING INFORMATION WITH THE VICTIM ABOUT THE RESPONSE PROCESS
The response process is based on a victim-centred approach throughout all the stages
necessary for case management, which will respect the principle of safety and
confidentiality.

Victims will be informed of their rights to receive assistance, to be informed of the

results of the investigation and to have recourse to justice.

With regard to the right to assistance, the victim will be informed by the EAS Focal Point
who receives and/or reports the complaint about :

(a) the assistance provided and available to victims, i.e. medical, psychosocial
and legal assistance;
(b) that assistance is based on an assessment of the needs related to the incident of
SEA, in the same way as it is done for other victims of GBV;

(c) that assistance is not linked to start or to

result of the incident investigation/investigation.

The victim should receive advice and support throughout the investigation and, in
particular, should be informed, as far as possible, of the options for assistance and
redress available, so that they can make informed decisions in their own best interests,
including whether the victim (or their guardian in the case of a minority) authorises the
disclosure of their statement or identity and whether they wish to participate in the
investigation or prosecution. This support may be provided either directly by qualified
staff of the entity concerned or by referral to other qualified service providers.

The victim shall be kept informed by the reporting entity of the measures taken to follow up
the complaint. To this end, the entity concerned must keep the reporting entity and the EAS
Network coordinator informed accordingly.

IX. RESULTS O F INVESTIGATIONS INTO REPORTED CASES

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The victim has the right to know the outcome of his/her complaint. The entity that
reported the case should inform the victim or his/her guardian, in the case of a minority, of
the results of his/her complaint (in the case of established and/or non-established facts,
any corrective measures taken, any preventive measures, etc.) as the investigation
progresses.
Victims will be informed of the outcome of the investigation in confidence in order to
respect their right to privacy and to reduce the risk of stigmatisation and protection.
In the case of a child victim, when the child is notified of the outcome of the
investigation, he or she may be accompanied by the support person who accompanied
him or her during the investigation.
Notification of the outcome of the investigation will be made in writing and personally
by Conduct and Discipline when the perpetrator is a member of MINUSMA's civilian, police
or military personnel.

When the perpetrator is a member of non-UN international forces, the notification will
be made by the MINUSMA/OHCHR Human Rights Office.

The entity concerned must keep the EAS Network coordinator informed accordingly.

X. RESPONSIBILITIES
If a signatory entity receives a complaint against another signatory entity, it must
inform the entity concerned immediately or at the latest within 24 hours. Signatory
entities must be informed of EACH allegation of EAS against their members or former
members of staff or persons working for or having worked for them, whether paid or
unpaid, temporarily or permanently.

10.1. RESPONSIBILITIES OF AND TO THE PEAS NETWORK COORDINATOR

The role of the PEAS Network Coordinator is to coordinate and support the effective
operation of the PEAS Network, under the supervision of the Humanitarian
Coordinator.

Each signatory entity is required to inform the PEAS Network coordinator, by an official
email submitting its report, of any complaint against its entity's staff or implementing
partner received either from other signatory entities, from the victim or from any other
reporting mechanism (internal/other). These reports will not include personally
identifiable information of victims and alleged perpetrators, but will include the type of
incident (abuse/exploitation), the location of the incident, the sex and age of the victim,
and the agency involved.

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The Coordinator will ensure that standards of confidentiality and protection of
information are strictly applied in the management of EAS cases and that cases are
followed up diligently and appropriately.

The PEAS Network Co-ordinator will report to the Humanitarian Co-ordinator on a monthly
basis on the total number of cases reported, as well as analysing trends to improve response
and prevention.

The signatory entities will share a report containing the number and status of cases (non-
nominative information) with the PEAS Network coordinator on a quarterly basis and once
the allegation case(s) has/have b e e n dealt with and concluded internally within a
reasonable period of time.

The EAS Network Co-Chairs, in their role of supporting the effective operation of the
PEAS Network, will receive EAS allegations in the absence of the PEAS Network
Coordinator and will keep the HC/HCT informed of the occurrence of EAS.

The following bodies are responsible for dealing with EAS allegations:

10.2. EAS ALLEGATIONS AGAINST MINUSMA PERSONNEL

The MINUSMA Conduct and Discipline Team (CDT) in Mali is the point of contact for
allegations of SEA by personnel assigned to or providing services to MINUSMA. The CDT
is competent to receive and deal with such allegations concerning all MINUSMA
personnel.11

10.3. EAS ALLEGATIONS AGAINST UN AGENCY STAFF

Each UN agency or office designates an EAS Focal Point who is to be contacted in the event
of an allegation. The Representative and/or the EAS Focal Point is responsible for the
internal investigation and for providing assistance to the victim. In addition, he/she must
inform the EAS Network Coordinator of the results of the internal investigation, without
sharing detailed information that would allow the identification of the victim or the alleged
perpetrator.

11International and national staff, United Nations Volunteers (UNV), all categories of MINUSCA, military and
police personnel, United Nations contractors and consultants.

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 10.4. EAS ALLEGATIONS AGAINST STAFF OF NGOS OR NATIONAL ORGANISATIONS
Each international NGO or national organisation should have appointed an EAS Focal Point
who is responsible for internal reporting and investigation and for providing assistance to
the victim. In addition, he/she must inform the EAS Network Coordinator of the results of
the internal investigation as well as the internal disciplinary measures and legal proceedings
if the case is proven, without sharing information that would allow the identification of the
victim or the presumed perpetrator.
If there is insufficient internal capacity to carry out these tasks, the organisation can
turn to the EAS Network for help.

10.5. EAS ALLEGATIONS AGAINST THE INTERNATIONAL SECURITY FORCES

The Office of the United Nations High Commissioner for Human Rights (MINUSMA's
human rights section) is the United Nations entity dealing with allegations of SEA
involving non-UN security forces.

NB: The SOP is without prejudice to the rights and obligations set out in the rules, policies
and procedures of participating agencies and organisations in relation to the reporting and
investigation of allegations of SEA.

Thus, for entities with internal procedures providing for the management of EAS cases,
they will be able to apply their procedures for all allegations affecting their staff, while
fully complying with the SOP framework for other allegation reports.

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 XI. EXPIRATION OF SOP
The SOP and related annexes will be applicable from the date of signature. An
evaluation of their implementation will be carried out by the EAS Network after one
year and any necessary adjustments will be included in a revised version. If no
adjustments are necessary, the SOPs will remain applicable.

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XII. SIGNATURES

# ORGANISATION FULL NAME TITLE CONTACTS

EMAIL PHONE
1

10

11

12

13

18
# ORGANISATION FULL NAME TITLE CONTACTS
EMAIL PHONE
14

15

16

17

18

19

20

21

22

23

24

25

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