The U.S. Agency for International Development’s New Policies on Sexual Exploitation and Abuse by Aid Workers

The U.S. Agency for International Development’s New Policies on Sexual Exploitation and Abuse by Aid Workers

January 24, 2020
The U.S. Agency for International Development’s New Policies
on Sexual Exploitation and Abuse by Aid Workers
Some Members of Congress are concerned about protecting
 working globally to protect USAID’s aid recipients and
foreign aid recipients from sexual exploitation and abuse
advance human dignity by preventing SEA;
(SEA) by aid workers. In 2018, media reports alleged that
Oxfam International (Oxfam), a regular U.S. implementing
 elevating the voice of survivors of SEA by working to
partner, covered up an investigation into SEA by seven of
put their needs, rights, and well-being at the forefront of
its workers in the aftermath of the 2010 Haiti earthquake.
USAID’s work on preventing SEA; and
(Oxfam has since taken responsibility and reportedly put in
place internal measures to address the issue.) These
 reviewing and revising existing policies and procedures
allegations, in addition to similar reports from other
to strengthen accountability and compliance, in
nongovernmental organizations (NGOs), sparked concern
consultation with external partners and aid recipients.
among some policymakers and the U.S. Agency for
International Development (USAID) that incidents of SEA
Select components of USAID’s ongoing and planned work
by aid workers could be a recurring problem in the delivery
are described below. Although interagency coordination
of humanitarian and development assistance, and that the
also plays a role, it is not the focus of this report.
United States could be inadvertently funding organizations
that were facing this issue. Congressional interest to date
Review Draft Agency Policy. In September 2019, USAID
has focused on the need for greater accountability and SEA
issued a draft Protection from Sexual Exploitation and
prevention measures.
Abuse (PSEA) Policy. It includes a definition of SEA and
objectives and principles that USAID staff would be
Background
expected to follow when overseeing USAID-funded
Prior to 2018, USAID primarily monitored allegations of
programs. The draft policy also lists several elements
SEA by aid workers through reporting requirements
USAID may add to its awards with IPs, which would build
outlined in the grants and cooperative agreements the
upon existing SEA-related provisions. In June 2018,
agency awarded to implementing partners (IPs). IPs were
USAID added to development awards some SEA-related
required to disclose complaints of human trafficking and/or
provisions that had previously only been included in
procurement of commercial sex by IP personnel to USAID
humanitarian awards. That change requires NGOs and
and to its Office of Inspector General (OIG). The OIG is
contractors to ensure that employee codes of conduct are
mandated to conduct oversight of USAID programs and
consistent with Section 3 of the U.N. Secretary General’s
pursue cases of waste, fraud, and abuse, per the authority
Bulletin on Special Measures for Protection from SEA,
granted by the Inspector General Act of 1978. IPs were also
which identifies many forms of SEA that may be grounds
required to adhere to USAID’s Counter-Trafficking in
for disciplinary measures and eventual dismissal. USAID is
Persons Policy and Child Safeguarding Standards. IPs were
in the process of finalizing the PSEA Policy and developing
encouraged, but not required, to report sexual misconduct
an IP toolkit and additional guidance for USAID field staff.
not already covered by the aforementioned requirements.
Collaborate with Implementing Partners. USAID reports
Following the Oxfam allegations, and in part because of its
that it is collaborating with IPs to shape new SEA-related
role in managing complaints about and potential
policies and procedures. In addition to releasing the draft
investigations into SEA allegations, the OIG conducted an
PSEA Policy for public comment, the agency completed in-
assessment of USAID’s SEA-related reporting
person consultations with IPs on the draft. In early 2020,
requirements. It identified weaknesses, including USAID’s
USAID also plans to convene a workshop with its IPs (as
narrow definition of allegations that required reporting and
well as other international aid donors) to address SEA-
the degree of discretion left to IPs to determine their
related issues, including how parties can help prevent the
credibility.
hiring of perpetrators of abuse within the aid community.
New USAID Policies and Activities
Participate in International Fora and Standardize
Informed by the OIG findings, USAID Administrator Mark
Policy. Other international aid donors with whom USAID
Green launched the Action Alliance for Preventing Sexual
regularly works—mainly G7 countries and the European
Misconduct (AAPSM), an intra-agency effort with two
Union (EU)—have also pursued new SEA policies since
goals: prevent SEA in USAID programming, and prevent
2018. However, policies and procedures vary by country,
and address sexual misconduct in USAID’s workplace. The
which can lead to inconsistencies in awards and confusion
agency aimed to focus its SEA work on three main tenets:
among IPs. This is most pronounced in donor agreements
with multilateral institutions (e.g., U.N. agencies or the
World Bank), which are negotiated and established on a
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The U.S. Agency for International Development’s New Policies on Sexual Exploitation and Abuse by Aid Workers
country-by-country basis. USAID has indicated that having
reporting by IPs. As appropriate, the OIG may transmit
common language on SEA in agreements with multilateral
information on SEA reports to the relevant USAID office
institutions is a goal.
(i.e., the USAID officer managing the award or USAID’s
Office of Compliance) for consideration of further
In addition, USAID has participated in several international
administrative action. Once a case is referred, though, it is
coordination efforts addressing SEA. For example, USAID
unclear whether USAID has a standard procedure for
endorsed the G7 Development Ministerial’s Whistler
evaluating that case and determining a course of action.
Declaration on Protection from Sexual Exploitation and
Recognizing these concerns, the OIG has initiated an audit
Abuse in International Assistance, which includes a
that seeks to “(1) determine to what extent USAID has
commitment to a “zero tolerance” approach to SEA, and
taken action to prevent and detect sexual exploitation and
made related commitments arising from a UK-hosted SEA
abuse; and (2) assess USAID’s process for responding to
conference. USAID is exploring how it will engage on SEA
allegations of sexual exploitation and abuse.” The audit is
in future fora, including potentially the 2020 Organization
expected to be completed by the end of 2020.
for Economic Cooperation and Development’s
Development Assistance Committee Tidewater Meeting
Funding and Implementation of Reforms
and the U.S.-hosted G7 Conference. USAID plans to
At the same time USAID is pursuing the aforementioned
continue its efforts with donors and multilateral
policy reforms and procedural changes, the Administration
organizations through ongoing quarterly technical
has repeatedly requested cuts to the agency’s operating
discussions.
expenses ranging from around 7% to approximately 17%.
To date, Congress has not accepted these proposals. Should
Issues for Congress
the Administration again propose cuts, Congress may seek
Congressional interest in U.S. efforts to address SEA by aid
greater understanding of their potential effect, if any, on the
workers has been demonstrated through, for example,
implementation of the new PSEA Policy. The
reporting requirements in annual State, Foreign Operations,
Administration has also proposed budget cuts to the OIG
and Related Programs (SFOPS) appropriations laws for
operating budget. The OIG has found that it has been well
FY2019 and FY2020. Measures require a joint report from
equipped thus far to manage the case intake because, while
the Department of State and USAID “detailing allegations
the number of SEA-related reports has risen, most
of, and steps taken to prevent and respond to, sexual
disclosures have not required independent OIG
exploitation and abuse committed by IPs of foreign
investigations. (Of the 32 SEA allegations received by OIG
assistance programs supported by funds appropriated for
in FY2019, the OIG pursued three investigations and
the Department of State and USAID.” (The report was
referred 12 cases to the Agency for consideration of further
submitted to Congress on January 21, 2020.) When
action. As of publishing, the remaining 17 have not
debating ongoing SEA-related reforms, Members of
received an investigative determination. Comparable data
Congress may consider several key issues.
from prior years are not available.) However, the proposed
funding cuts have raised questions about how the OIG
Accountability for Victims of SEA
would allocate its resources at reduced funding levels while
Some policymakers have raised concerns about holding
balancing increased SEA case intake with oversight of other
perpetrators accountable for SEA. Broadly, USAID and its
waste, fraud, and abuse cases.
OIG can take action against those it finds guilty of waste,
fraud, and/or abuse. USAID, for example, may choose to
U.S. Relationship with Implementing Partners
terminate an award early or recover funds that it determines
Many policymakers and observers have expressed concern
were used inappropriately. As a law enforcement entity,
that some IPs lack sufficient safeguards and policies to
OIG is able to arrest individuals and seek and execute
address SEA by aid workers. USAID and the OIG are
warrants, among other capabilities. However, these
working with IPs to assess current capabilities in preventing
functions have limits. Foreign nationals hired by foreign
SEA, identify weaknesses in process, and build their
entities (e.g., NGOs or multilateral organizations), for
capacity to handle SEA cases. For example, the OIG hosted
example, fall outside the OIG’s jurisdiction and cannot be
more than 100 NGOs and contractors at an Oversight
pursued. Privacy protections can also be an obstacle to
Roundtable in July, 2019 covering best practices on SEA
pursuing an individual alleged to have committed SEA. The
investigations. While IPs have generally been receptive to
EU’s General Data Protection Regulation, for example,
USAID’s new policies, their biggest criticism remains that
prohibits the sharing of personal data outside the EU and
USAID needs to provide more clarity in definitions,
European Economic Area. As such, if the alleged
training, and other written materials in order for them to be
perpetrator is European or a member of a European entity,
successful in preventing and responding to SEA. Further,
the OIG and USAID are not entitled to their personal
many IPs in the field have expressed their desire for USAID
information. Congress could examine actions USAID and
to translate its materials so they are accessible to all
OIG might take within these legal limitations to provide
audiences, not just those who speak English.
accountability to SEA survivors.
Emily M. Morgenstern, Analyst in Foreign Assistance and
Oversight of USAID Processes
Foreign Policy
Congress may increase its oversight of USAID’s processes
to evaluate and respond to SEA cases. At present, while the
IF11417
OIG in certain circumstances may directly investigate SEA
allegations, its focus is on ensuring timely and sufficient
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The U.S. Agency for International Development’s New Policies on Sexual Exploitation and Abuse by Aid Workers

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