GUIDELINES FOR PROTECTION MONITORING REFERRALS

1.DRC Protection Monitoring

Monitoring describes the active collection, verification and immediate use of information to address human rights problems. DRC Protection Monitoring includes:

  • gathering information about incidents and situations;
  • visiting sites;
  • interviewing individuals;
  • discussions with communities (IDPs, returnees, host);
  • discussions with authorities and other actors to pursue remedies (ie advocacy);
  • reporting; and
  • follow-up

All stages of protection monitoring should be implemented in accordance with basic principles of:

-do no harm

-credibility of DRC and DRC staff

-confidentiality

-accuracy and objectivity

-impartiality

-sensitivity

-visibility

2.Objective of these guidelines

DRC protection monitoring aims at identifying and responding appropriately to:

  1. protection issues that affect groups of people; and
  2. individual protection cases

The objective of these guidelines is to assist protection field staff to document, forward and follow up referrals of both group and individual protection concerns, in a simple and consistent manner. The guidelines should be applied in all six districts where DRC is operating.

3.Protection issues that affect groups

Many protection issues identified during monitoring have relevance to all of the people in that monitoring location – eg shelter, access to water, adequate education, etc.Others may affect smaller groups within the general population – such as discrimination against a particular ethnic group or gender based violence against a number of women (note that discrimination and SGBV may also be individual protection cases).

It is important for protection teams to know the services available in their areas of responsibility so that they can provide information to the IDPs during their monitoring visits, as well as forward the concern to the most appropriate department / agency afterwards. When dealing with sensitive group issues (eg land and property disputes, complaints of human rights violations by authorities), protection staff should always request the consent of the community or affected group to share any information about them. This may be done through a recognised representative (eg community leader, head of women’s group etc).

Protection staff should complete a Community Referral Form when referring any community based issues to other agencies. A copy should be provided to the agency to whom the issue is referred and one copy kept on file for that IDP location/community. A follow-up should be made to the agency to whom the referral was made within one month of the referral and this should be noted on the community’s file.

4.Individual protection cases

An individual case may be reported to the protection staff either by the individual directly, or by a concerned family member/friend, social mobiliser, local NGO, etc. In such cases, the individual has been targeted as an individual or is disproportionately affected by a general protection issue (eg an EVI).

Individual protection cases may include:

  • Murder
  • Disappearance
  • SGBV
  • Forced recruitment
  • Underage recruitment
  • Unlawful detention
  • Land disputes
  • Documentation issues
  • Extreme vulnerability (eg related to poverty, illness, number of dependents)

DRC protection monitors are not caseworkers. It is the responsibility of DRC protection field staff to gather relevant information to identify protection needs and issues and to provide information to the individual about the possible courses of action and / or refer the case to an appropriate agency/provider. It is vital that protection staff informbeneficiaries of this fact at the outset.

Key principles to observe when discussing options with individuals and making referrals:

Confidentiality

Respect for confidentiality of information is essential because any breach of this principle could endanger a) the interviewee and the victim and b) DRC’s credibility and safety. Protection staff should be sensitive to finding a private place to discuss human rights issues with individuals, and to asking the persons they interview whether they can use this information for reporting or advocacy purposes. The individual may agree to have the information used in some generalised fashion which does not reveal the source. Referrals should be delivered in sealed envelopes to the responsible person within the agency to whom the referral is made. A copy of the referral should be kept on the individual’s file in a secure, locked place. Protection codes should be used to identify particularly sensitive human rights cases (see list of codes – draft).

Informed Consent

Protection staff should ask individuals whether they consent to the information they are providing to DRC being shared with a third party. It is DRC’s duty to provide honest and objective information to individuals about the courses of action (if any) that are available to them. Where a referral is considered, it should be clearly explained what the referral request is for. The individual should be shown the form containing his/her personal information before signing the release consent. Protection staff should also sign the form in front of the individual to demonstrate his/her duty to treat the information confidentially and for the purpose it has been stated.

Informed consent means that the person is aware of not only the proposed course of action (eg referral) but also the implications of such a course of action.The concept of informed consent is more difficult in respect of issues concerning children; in such circumstances primary consideration should always be given to the best interests of the child concerned.

Credibility

Staff should be extremely careful not to make any promises they are unable to keep and follow through on any promise that they make. When interviewing individuals, staff must:

-Introduce themselves (name, title and purpose of interview/visit)

-Briefly explain the mandate of DRC and DRC’s link with UNHCR (and UNHCR’s protection mandate)

-Emphasise the confidentiality of the information received and referrals made

-Be objective. Do not display any personal judgement when taking the interview or recommending courses of action to the individual

Integrity and Sensitivity

Staff should always treat interviewees with decency and respect and be sensitive to the suffering they have experienced through displacement or human rights violations.

5.To whom to refer

Assuming that a client has given informed consent for a case to be pursued further, the next question is which agency should appropriately assist.

UNHCR

UNHCR should be apprised of many protection matters affecting IDPs and Returnees. These might include:

  • Missing/Killed Individuals
  • Underage Recruitment
  • Forced Recruitment
  • SGBV Cases

UNHCR should also be informed of the following matters:

  • Restrictions on freedom of movement
  • Instances where the voluntariness of (IDP and Refugee) return are in doubt
  • Any protection matters concerning Returnees from India or other countries

Human Rights Commission

The Human Rights Commission has a statutory role to:

‘inquire into and investigate complaints regarding infringements or imminent infringements of fundamental rights and to provide for resolution thereof by conciliation and mediation’

Fundamental rights are those enshrined within the Sri Lankan Constitution and include:

  • Freedom of thought
  • Freedom from torture
  • Freedom from Arbitrary Arrest detention and punishment
  • Freedom of Speech
  • Freedom of Assembly
  • Freedom of Association
  • Freedom to manifest religion
  • Freedom to promote ones culture and use ones language
  • Freedom to engage in any lawful profession, business or enterprise
  • Freedom of movement and to choose ones residence
  • The freedom to return to Sri Lanka

The IDP project attached to the HRC has also assisted those with a wider range of grievances. Technically the HRC covers the whole of Sri Lanka, however their mandate focusses on governmental responsibility and there is currently no HRC presence in the Vanni.

UNICEF

The main priority for UNICEF is dealing with the recruitment and re-recruitment of Child Soldiers. In general referral should be made to UNHCR on the understanding that they will refer the case on appropriately.

ICRC

ICRC should be informed of the following:

  • Where unlawful detention is suspected
  • Missing persons
  • Separated family members
  • Suspected violations of International Humanitarian Law

NRC

NRC is present in Trinco and Vavuniya and can be referred for legal aid for cases of:

  • Land and property dispute
  • Documentation

DRC

Individual Protection Assistance (IPA) cases. See IPA guidelines and assessment forms for details.

Note that IPA cases should be coordinated with UNHCR’s ‘Extremely Vulnerable Individual’ (EVI) program to avoid duplication. Eg, in Trinco DRc and UNHCR have divided up the geographical coverage.

6.How to refer

Referral is the process of presenting key personal data to another agency so that they can pursue a case. Signposting is giving an individual the details of an agency that will be able to assist her/him; the onus is on the individual to make contact directly. ‘Active’ signposting is a fusion of referral and signposting where the individual is given a letter addressed to the other agency that briefly sets out her/his problems. This can be useful in relation to those who have difficulty expressing themselves, or if there are language issues.

As a general rule,in cases where the individual has not given informed consent for referral, s/he should always be signposted to a relevant agency in case s/he decides to take the matter further at a later stage. Signposting would also be appropriate in respect of many less serious issues, such as obtaining documentation when the procedure is known to be straightforward. However where a person has already sought such a solution which has not proved successful,l referral is appropriate.

In general any referral should be made in writing by letter or email and should use the signed DRC referral format.

7. Follow up

It is appropriate that any referred cases be followed up with the agency to whom they were referred to ensure appropriate action has been taken. This follow-up should be made within two weeks in the case of individual cases and noted on the referral action form of the individual. A follow-up should also be made to the individual or community to monitor the impact of the referral. It may be necessary to review the appropriateness of referring types of cases to different agencies based on the experiences that our beneficiaries have.

Follow-up outcomes should be recorded in the DRC Referral Matrix each month to enable easy tracking of cases and impact.

Protection Unit

March 2008

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