Question: Should the organization report findings to the national authorities? When?

What should
they report?

As soon as an organisation is aware that an allegation is a crime, the organisation must consider
whether or not to inform the national authorities. The integrity of the police or judicial system and
safety of the victim, SOC and other witnesses are paramount considerations when making a
decision. If the organisation decides to inform the national authorities, the organisation should stop
their administrative investigation immediately so as not to hamper the criminal investigation. The
organisation and its staff should cooperate willingly with the criminal investigation and all relevant
information collected during the investigation process should be handed over to the national
authorities.

Confidentiality is an ethical principle that restricts access to and dissemination of information. This
principle protects the privacy and safety of all the people involved in a complaint of staff
misconduct. It requires that information is available only to a limited number of authorised people
for the purpose of conducting the investigation (i.e disclosure of information only on a need-to-
know basis). In most investigations, the fact and nature of the complaint, the identity of the key
participants (complainant, victim, Subject of Complaint and witnesses) and the investigation records
are confidential. That said all aspects of the complaint are sensitive since there is a risk that
outsiders will be able to deduce important information about the case from small seemingly
insignificant details.

Question: What do you say when the Subject of Complaint asks "who told you that"?

The Subject of Complaint is not entitled to know the name of the complainant or the sources of
evidence brought against her or him. Reiterate the importance of maintaining confidentiality for the
interview process. Stress that this interview is her/his opportunity to present all evidence in her/his
favour; however do not disclose sources of evidence unless it would be detrimental to the
investigation process.

Question: What about beneficiaries exploiting aid workers when they go up to them and offer their
bodies?

There is a clear imbalance of power between humanitarian workers and beneficiaries of aid. Disaster
survivors are often given no choice in who helps them; treated as though they are all the same and
forced to remain for long periods of time in detrimental circumstances. As a result of this power
imbalance, if a beneficiary offers a sexual favour in exchange for money, employment, goods or
services and an aid worker accepts, that worker is sexually exploiting the beneficiary. It does not
matter who approached who or whether or not the beneficiary engaged in sexual activity willingly.
In addition, the Secretary-General’s Bulletin clearly states that sexual relationships between
beneficiaries and humanitarian workers are strongly discouraged because they are based on
inherently unequal power dynamics. Aid workers are obliged to refrain from entering into any
relationship with a disaster survivor if it is exploitative in any form (see Secretary-General’s Bulletin
section 1, definition of sexual exploitation and abuse). 2

Question: What should we do when beneficiaries lodge malicious complaints?

Due to the many barriers that beneficiaries face when making complaints, it is highly unlikely that
beneficiaries will make malicious complaints. However, if it becomes apparent that a complaint was
lodged maliciously, the investigation should terminate and the Subject of Complaint be cleared.
Disciplinary procedures cannot be pursued against beneficiaries making malicious complaints unless
they are also incentive workers, however, the organisation should explore why the complaint was
lodge maliciously and address the reasons why such a complaint was lodged.

Frequently Asked Questions

Question: What is the legal situation when international law and national law are incompatible?

Generally speaking International Law has no force of law in a country unless that nation ratifies the
treaty and brings it into force. For example, Kyoto is an International Law in the sense that it is an in
force treaty but it is not ratified by the US so it has no force of law there. Another example, the U.S.
has ratified and brought into force the Geneva Conventions and the Declaration of Human Rights.
Several authorities challenge that the US is in violation of the Geneva Conventions and the
Declaration of Human Rights in regards to Guantanamo Bay and as a result, there are several
pending legal actions in the US in relation to the government’s detention of terror suspects at
Guantanamo Bay. If an international treaty, convention, that is in force in a country and its national
law are incompatible than the law of a higher standard must be adhered to in the country.

Question: What is the situation when customary practice is not in conformity with the national or
international law?

Customary practice has no legal enforcement. If an individual is involved in a behaviour that is

acceptable under customary practice but is a breach national or international laws, the proper legal
authorities could prosecute him/her.
Question: If I have participated in the investigation learning programme am I a certified investigator?

No. You have been trained to conduct investigations for your organisation however you are not a
certified investigator.

Question: Why does this learning programme focus on humanitarian and not development
organisations?

This Learning Programme was developed as a result of inter-agency efforts of humanitarian

organisations to address abuse and exploitation of their staff. However, the learning principles and
skills gained during the trainings are equally applicable in a development setting.

Question: Why does this Learning Programme focus on sexual exploitation and abuse and not on
sexual harassment?

This Learning Programme focuses on responding to sexual exploitation and abuse of recipients of aid
by humanitarian staff. These investigations are often more complex and safety concerns of all
parties augmented. Most organisations have internal policies addressing sexual harassment and
should refer to those policies when a complaint of sexual harassment is made.

The duties of the lead investigator:

 Develop an investigation plan in coordination with organisational policy with two (or one) other
investigators
 Manage the investigation team and ensure the investigation is conducted according to key
principles and procedures
 Assess and make recommendations of safety, confidentiality
 Secure evidence
 Make recommendations on the work status of the SOC for the duration of the investigation
 Inform all parties of their rights and what it means for them to be involved in an investigation
 Gather evidence
 Record the information accurately
 Compile a full Investigation Report for the Investigation Manager, with findings on the outcome of
the complaint.
 Make recommendations on the policies and practices that may have enabled the breach of Code
of Conduct to occur.
 Ensure that the investigators adhere to ORGANISATION policies at all times during this
investigation as well as HAPs Code of Conduct.

During the investigation:
 The rules of natural justice and ORGANISATIONs (or HAPs) Investigation Guidelines will be
adhered to.
 Courtesy and respect will be extended to all parties involved.
 Confidentiality will be maintained throughout the investigation.
 Safety risks will be assessed and maintained.
 Where applicable the investigation should conform to National Labour Law (qualified external
support will be made available to the investigation team).

Responsibility of AID ORGANISATION

The investigation leader will report to the Investigation Manager identified by AID ORGANISATION.
The investigation Manager will oversee the investigation, take strategic decisions and create the
conditions for investigators to do their work. This includes:

 Making the key decisions about the direction of the investigation, take strategic decisions, such as
to suspend or redeploy the SOC during the investigation
 Ensuring that safety and confidentiality plans are implemented and that the investigation is
conducted according to key principles and procedures
 Providing logistical and administrative support
 Managing the relationship between the investigation team and the rest of the organisation
 Receiving the final investigation report on behalf of the organisation

Responsibility of HAP

Qualifications:

Professional: exercise sound judgement and showing competence in conducting an investigation

Responsible: trustworthy, confidential, dependable and personally accountable for the decisions
taken throughout the investigation

Qualified; experience in interviewing and leading a team of investigators and trained in conducting
investigations

Independent: have no material, professional interest in the outcome of the complaint and no personal
or close professional connection with any of the witnesses.
Timeframe: The investigation will take place between Date for a two-week period.

Investigations: The four stages of interviewing

Rapport building and opening information

Thank the witness for attending the interview. For example:

Thank you for coming today and speaking to us/me. I imagine it was difficult to fit this into your full
schedule. I understand that today is your day off. How long have you worked for the organisation? Is
it a good job?

Outline the pre-interview information (ground rules):

 Introduce yourself Explain who you are, offer your card with contact details and introduce any
other investigators, observers or interpreters present.
 Honesty and accuracy Staff members have a duty to cooperate and obligation to tell the truth. For
witnesses who are not staff members, simply thank them for their time and explain it is important
for them to be accurate.
 Confidentiality Staff members have an obligation to refrain from communicating with other
persons interviewed in the framework of the same investigation. Explain that the investigation
process is confidential for both witnesses and investigators alike. Describe who you, as the
investigator, may have to share information with and why. If they are a staff witness, explain that
breaching confidentiality can result in disciplinary measures. Non staff witnesses cannot be
obliged to maintain confidentiality but the investigator should explain the importance of
confidentiality to a fair process.
 Purpose of note-taking Explain who will be taking the notes i.e. the interviewer or the second
interviewer. Explain the purpose of taking notes is to ensure accuracy when the investigation
report is written up and to offer the witness a chance to verify the accuracy of what is written in
the statement.
 Acceptable to state when answer not known Clarify to witness that it is ok if they cannot
remember or do not know a particular piece of information.
 Right to ask for short break Tell the witness where the bathroom facilities are; offer them water and
explain that they can ask for a short break if they need it. You should also ask if there are any other
problems you can help with that might interfere with the interview i.e. if the driver has to drive the
representative to an appointment in half an hour’s time, offer to ask to have the interview
rescheduled or to find an alternative solution.

Note:
Lack of cooperation, fraud, malicious reports and concealment of facts or evidence can lead to
disciplinary measures for staff witnesses.

Free Narrative

 “Do you know why we are here today?”

 “I understand that there have been some problems in the office. Have you encountered anything
like this?”
 “Tell me about that…”
 “I wasn’t there and I’m not allowed to assume or guess anything so tell me about it in your own
words.”
 “If you could tell me about that and try not to leave anything out.”
 “I understand that this might be difficult but it is important because…..”

Remember:
Avoid interrupting or clarifying ambiguities. Have an “active listener” posture. Elicit more information
by repeating key phrases used by the witness. Offer prompts that relate to the witness’ account only –
not to other witnesses’ evidence. Work at the pace of the interviewee. Do not give positive or negative
feedback. Beware of unintentionally communicating approval or disapproval through facial expressions
and voice inflexions.

Questions

Open questions (designed to elicit further information):

 “Describe for me the exact events surrounding… (for example, collecting the girls and taking them
to the guest house)?”
 “Tell me what happened when she returned back from the church?”

Specific questions (to clarify the information the witness has already given and to help the witness
give relevant information s/he was unable or unwilling to give during the free narrative):

 “Please tell me the names and physical description of the individuals involved.”
 “Tell me what was said.”
 “Who saw this?”

Closed questions (designed to clarify something you already know or to specify some earlier
information – usually involves a “yes” or “no” answers or one piece of information):

 “What is that person’s name?”

 “Did you personally witness these events?”
 “Did someone else see this?”
 “Did you have this instruction in writing?”

Leading questions (interviewers should avoid asking leading questions as they may distort the witness’
testimony – use as a last resort only):

 “Were you in the car at the time?”

 “Are there women entering Mr. Michaelson’s home?”
 “Did he ask you to pick them up at 8:20?”

Summary and Closure

 “I am going to sum up now what I have heard you say, please tell me if I got anything wrong”.
 “I have summarised what I think I heard you say. Did I leave anything out? Would you like to
correct anything”?
 “Do you have any questions for me”?
 “Explain what will be done with the information”.
 “Thank you for your time”.

Remember:
Check with the second interviewer (recorder) if there are any outstanding matters before you
summarise. Summarise what the interviewee has stated in his/her words. Answer any questions s/he
may have.

Core Principles

1. Confidentiality

2. Commitment to safety, health and welfare

3. Good planning and reviewing

4. Timeliness

5. Thoroughness

6. Professionalism

7. Independence

8. Respect for all involved

9. Working in partnership

10. Adherence to the law