1. Module 9 Planning INTERNATIONAL PROTOCOL
PART IV – DOCUMENTATION IN PRACTICE: PREPARATION
PAGES
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

2. Session objectives
Recognise the strategic advantages of careful and dynamic planning
Consider relevant factors to select the right interpreters and intermediaries and manage their activities
Identify the best way to store, organise and analyse information
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

3. Thorough planning is crucial and will enable you to, for example:
Why plan?
International Protocol, pages
Module 7 – Do No Harm and Module 8 – Safety and Security
Module 10 – Types of Evidence and Module 13 – Storing and Handling Information
Thorough planning is crucial and will enable you to, for example:
Know your objective and gather good evidence
Be financially/ logistically prepared
Avoid unnecessary risks
Be properly trained
Know how to transport and store the evidence
Know what to do with the evidence gathered
Put in place adequate referral options
Peer experience – why plan, International Protocol Chapter 9, Box 1
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

4. CARSV Documentation Plan
International Protocol, pages
Module 7 – Do No Harm and Module 8 – Safety and Security
Module 10 – Types of Evidence and Module 13 – Storing and Handling Information
Planning helps you to answer the following key questions: Why gather the information? How to do it? To what end? And according to which framework?
Ensure that your efforts complement and do not hinder existing documentation processes
Develop a thorough documentation plan to answer these questions prior to embarking on the process of documentation, and keep adjusting it throughout the process
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

5. CARSV Documentation Plan
To populate the three main components of your documentation plan you need to answer the below planning question examples:
Preliminary research
What have you found during your research and analysis phase?
What is your objective?
What acts are you investigating?
What is the scope of your inquiry?
What are the risks?
What resources do you need and what will they cost?
Information collection strategy
What information is required?
What are your information gaps?
Where will you get the information?
How will you gather it?
How will you store and transport it?
How will you organise it?
Procedures
What are the reporting arrangements?
How will you review procedures?
What are your codes of conduct?
What are your SOPs?
How will you self-care?
What are your insurance arrangements?
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6. Relevant planning factors for CARSV documentation include:
Module 7 – Do No Harm and Module 8 – Safety and Security
Module 10 – Types of Evidence of Sexual Violence
Relevant planning factors for CARSV documentation include:
Mandate and resources
Potential sources of information
Possible suspects/ perpetrators
Events to be investigated/ documented
Authority to collect evidence
Team roles and duties
Possible lines of inquiry
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

7. Training
International Protocol, pages
Module 11 – Interviewing and Module 16 – Sexual Violence against Children
Module 15 – Trauma and Module 17 – Sexual Violence against Men and Boys
All members of your team should be appropriately trained and vetted to deal with sexual violence – that includes interpreters, interviewers, analysts, support staff and intermediaries
The Protocol and these training materials can be used to train team members on the basic standards of documentation - all team members should at least be trained on/be aware of:
Appropriate interview techniques
Sensitive responses to disclosure
Recognising trauma
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8. Training Do no harm, confidentiality and informed consent/assent
International Protocol, pages
Module 11 – Interviewing and Module 16 – Sexual Violence against Children
Module 15 – Trauma and Module 17 – Sexual Violence against Men and Boys
There are specific considerations when working with male victims or children who are victims or witnesses of sexual violence
Those who will be approaching, interviewing or referring children, should be specially trained and experienced on issues such as
Do no harm, confidentiality and informed consent/assent
Age-appropriate interviewing techniques
Preventing re-traumatisation
Specific challenges and vulnerabilities
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9. A. Preliminary research and risk assessments
International Protocol, pages
Module 7 – Do No Harm and Module 8 – Safety and Security
Annex 2 – Conducting Threat and Risk Assessments
Before undertaking any CARSV documentation, careful research and analysis is crucial
It is vital to understand the context to be able to assist survivors to remain safe and pursue accountability
Thorough research allows you to discover what information is already publicly available and to assess the following issues:
Guiding questions for research and analysis, International Protocol Chapter 9, Box 2
Crimes, context & community
Risks to witnesses, staff & information
Available support services
Alleged perpetrators
© Institute for International Criminal Investigations 2018

10. A. Preliminary research and risk assessments
International Protocol, pages
Module 7 – Do No Harm and Module 10 – Types of Evidence of Sexual Violence
During the preparation phase, you should find out whether the information you are seeking has already been documented by others, whether that information is accessible and whether re-documentation – including interviewing – is necessary
Some information will be readily available from open source reports or international organisations, some may only be available locally or from domestic authorities/NGOs
Analysing as much information as possible before beginning the documentation will help you identify gaps in available information, focus your enquiries and increase the relevance of information collected
Open source information, International Protocol Chapter 10, Box 2
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

11. A. Preliminary research and risk assessments
International Protocol, pages
Module 2 – Understanding Sexual Violence
Module 4 – Individual Criminal Responsibility and Module 5 – State Responsibility
PRELIMINARY RESEARCH – SPECIFIC CRIMES/VIOLATIONS
Relevant issues for researching specific CARSV crimes or violations include:
Cultural attitudes to sexual violence
Gender roles & social dynamics
Forms & patterns of sexual violence
Specific obstacles for male & child victims
Available forms of justice & redress
Local & regional security situation
Official reports & national inquiries
Rules of evidence & legal elements
Guiding questions for research and analysis, International Protocol Chapter 9, Box 2
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12. A. Preliminary research and risk assessments
International Protocol, pages
Module 2 – Understanding Sexual Violence
Module 4 – Individual Criminal Responsibility and Module 5 – State Responsibility
PRELIMINARY RESEARCH – CONTEXT OF CRIMES/VIOLATIONS
Relevant issues for researching the context in which CARSV crimes or violations have taken place include:
Details of conflict/ attack
Targeted groups – who and how
Political & security situation
Ethnic/religious/racial tension
History & patterns of gender violence
Overlap with other crimes
Guiding questions for research and analysis, International Protocol Chapter 9, Box 2
© Institute for International Criminal Investigations 2018

13. A. Preliminary research and risk assessments
International Protocol, pages
Module 4 – Individual Criminal Responsibility and Module 5 – State Responsibility
Module 8 – Safety and Security
PRELIMINARY RESEARCH – PERPETRATORS
Relevant issues for researching groups or individuals who are alleged or suspected to have committed CARSV include:
Political or military contacts
Ability to block/control inquiries
Military/security structures
Armed groups, territory and control
Male/female membership of armed groups
Influence over local society
Guiding questions for research and analysis, International Protocol Chapter 9, Box 2
© Institute for International Criminal Investigations 2018

14. A. Preliminary research and risk assessments
International Protocol, pages
Module 7- Do No Harm and Module 8 – Safety and Security
PRELIMINARY RESEARCH – REFERRAL SERVICES
Relevant issues for researching the support services available to victims/witnesses of CARSV include:
Referral options/ follow-up
Security & financial obstacles
Local/national/ regional organisations
Medical & psycho-social services
Local NGOs & victims support groups
Ability to access legal or economic aid
Guiding questions for research and analysis, International Protocol Chapter 9, Box 2
© Institute for International Criminal Investigations 2018

15. A. Preliminary research and risk assessments
International Protocol, pages
Module 3 – Accountability Avenues and Remedies
Module 4 – Individual Criminal Responsibility and Module 5 – State Responsibility
PRELIMINARY RESEARCH – OBJECTIVE AND ACTS
Relevant issues to research and establish for achieving your accountability objective include:
Aim and specific outcome of documentation
Accountability mechanisms available and requirements
Elements of underlying crimes/violations
Applicable legal framework including RPE
Scope of inquiry & resources (e.g. staff, costs)
© Institute for International Criminal Investigations 2018

16. B. Information collection strategy
International Protocol, pages
Module 10 – Types of Evidence and Module 11 - Interviewing
Annex 1 – Evidence Workbook
The information collection strategy forms part of the broader CARSV documentation plan and should include answers to:
What information is needed to satisfy the legal elements of the crimes/violations
What are the gaps & where to obtain additional information
How to identify/approach witnesses & collect other CARSV information
How to store and transport CARSV information
How to organise information/ systems/tools
The information collection strategy, International Protocol Chapter 9, Box 5
© Institute for International Criminal Investigations 2018

17. B. Information collection strategy
International Protocol, pages
Module 10 – Types of Evidence and Module 11 - Interviewing
Annex 1 – Evidence Workbook
In practice, this means that you should develop a detailed evidence workbook listing the individual elements to be proven for each crime or violation
You should also list all the potential sources of information and types of information that could satisfy one or more elements that you need to prove, which could include:
The information collection strategy, International Protocol Chapter 9, Box 5
Testimonial evidence
Documentary evidence
Digital evidence
Physical evidence
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

18. B. Information collection strategy
International Protocol, pages
Module 2 – Understanding Sexual Violence
IDENTIFYING VICTIMS & OTHER WITNESSES
It can be more challenging to identify victims/witnesses of CARSV - especially male and child victims – than other crimes
Victims may be reluctant, unwilling or even unable to speak about their own experiences for many internal and external reasons:
Checklist for engaging intermediaries, International Protocol Chapter 9, Box 8
Case law example – risks in using intermediaries – the Lubanga case at the ICC, International Protocol Chapter 9, Box 7
Trauma/ avoidance
Security concerns/ fears
Shame & doubt
Lack of trust/ corruption
Stigma/ reprisals
Gender/ cultural obstacles
Personal circumstances
© Institute for International Criminal Investigations 2018

19. Measures to encourage victims/witnesses to come forward include:
B. Information collection strategy
Measures to encourage victims/witnesses to come forward include:
IDENTIFYING VICTIMS & OTHER WITNESSES
AVOIDING BIAS
Don’t make assumptions about who might be a victim based on age, gender or social status
Be cautious of stereotypes about how victims ‘should’ react or behave
SECURITY AND PRIVACY
Try to meet in a discreet location and make sure the surroundings are comfortable and safe
If you cannot guarantee visual privacy, try to ensure that you cannot be overheard
PROFESSIONAL APPROACH
Be aware of how your choice of words, body language and facial expressions could be interpreted
Make sure that you are comfortable with sexual issues and terminology
SUPPORT AND OUTREACH
Research and engage with referral/ support services in the area before contacting victims
Try to assess and respond to the victims’ needs, fears or concerns
Checklist for engaging intermediaries, International Protocol Chapter 9, Box 8
Case law example – risks in using intermediaries – the Lubanga case at the ICC, International Protocol Chapter 9, Box 7
© Institute for International Criminal Investigations 2018

20. B. Information collection strategy
International Protocol, pages
Module 2 – Understanding Sexual Violence
IDENTIFYING VICTIMS & OTHER WITNESSES
Victims/witnesses will sometimes come forward spontaneously - you need a contingency plan for what to do if a particular witness/victim, during the interview, turns out to be a good source of evidence for other crimes
If victims/witnesses were originally identified by a third party (NGOs, screening tools or surveys) your approach should respect their confidentiality and security needs and should not reveal third party sources unless previously agreed and discussed
Victims/witnesses can also be identified through intermediaries
Checklist for engaging intermediaries, International Protocol Chapter 9, Box 8
Case law example – risks in using intermediaries – the Lubanga case at the ICC, International Protocol Chapter 9, Box 7
© Institute for International Criminal Investigations 2018

21. B. Information collection strategy WHAT IS AN INTERMEDIARY?
International Protocol, pages
WHAT IS AN INTERMEDIARY?
An intermediary is anyone you engage to help you identify or approach relevant individuals or sources of information
You may need an intermediary if you are operating in an unfamiliar environment, dealing with severe security risks or trying to approach members of a closed community
Many different individuals or groups can serve as intermediaries:
Checklist for engaging intermediaries, International Protocol Chapter 9, Box 8
Case law example – risks in using intermediaries – the Lubanga case at the ICC, International Protocol Chapter 9, Box 7
NGOs & service providers
Victim support groups
Religious or community leaders
Male survivor networks
© Institute for International Criminal Investigations 2018

22. B. Information collection strategy USING AND SELECTING INTERMEDIARIES
International Protocol, pages
USING AND SELECTING INTERMEDIARIES
Intermediaries can be a vital source of local information/context and a good way to responsibly manage risk, but they will require careful supervision if they are representing you to others
If you are working with a new or unfamiliar intermediary, particularly for the initial approach to a victim/witness, be cautious about their impartiality and potential agenda
YOU/YOUR TEAM
INTERMEDIARY
VICTIMS/ WITNESSES
Checklist for engaging intermediaries, International Protocol Chapter 9, Box 8
Case law example – risks in using intermediaries – the Lubanga case at the ICC, International Protocol Chapter 9, Box 7
© Institute for International Criminal Investigations 2018

23. B. Information collection strategy USING AND SELECTING INTERMEDIARIES
International Protocol, pages
Module 8 – Safety and Security
USING AND SELECTING INTERMEDIARIES
Before selecting or working with an intermediary, you should consider the following issues:
Relevant community leaders & organisations
Suitability to approach female/male victims
Reliable means of contacting intermediary
Relevant local support groups/ organisations
Impact on risks to survivors & witnesses
Applicable law & ethical standards: compliance
Ability to monitor & manage activities
Background check, affiliations & gender views
Checklist for engaging intermediaries, International Protocol Chapter 9, Box 8
Case law example – risks in using intermediaries – the Lubanga case at the ICC, International Protocol Chapter 9, Box 7
© Institute for International Criminal Investigations 2018

24. B. Information collection strategy USING AND SELECTING INTERMEDIARIES
International Protocol, pages
Module 8 – Safety and Security
USING AND SELECTING INTERMEDIARIES
Your intermediary should avoid the following bad professional practices:
Unethical/ dishonest behaviour
Offering financial or material inducements
Coaching witnesses, or asking leading questions
Involvement beyond agreed role/mandate
Raising unreasonable expectations
Checklist for engaging intermediaries, International Protocol Chapter 9, Box 8
Case law example – risks in using intermediaries – the Lubanga case at the ICC, International Protocol Chapter 9, Box 7
© Institute for International Criminal Investigations 2018

25. B. Information collection strategy USING AND SELECTING INTERPRETERS
International Protocol, pages and Module 11 - Interviewing
USING AND SELECTING INTERPRETERS
Interpreters are a crucial part of your team – they are your primary communication point and a vital source of local/contextual information
Your interpreter should ideally be professionally trained and have the sensitivity and experience to work with CARSV victims/witnesses (including men and children as appropriate)
It is important to carefully vet potential interpreters as they will have access to very sensitive information and you must assess and minimise the risk of disclosure
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

26. B. Information collection strategy USING AND SELECTING INTERPRETERS
International Protocol, pages and Module 11 - Interviewing
USING AND SELECTING INTERPRETERS
Like the rest of your team, interpreters need to be briefed on the concepts of confidentiality, informed consent and Do No Harm; they must understand the objectives, their roles and responsibilities
Not all interpreters will be professionally trained – some may just speak the relevant language(s). Remember, you speak through them and they represent you to others
Information
Communication
YOU
INTERPRETER
INTERVIEWEE
© Institute for International Criminal Investigations 2018

27. B. Information collection strategy USING AND SELECTING INTERPRETERS
Relevant factors when choosing an interpreter include:
Financial cost vs. professional value
Personal views on sexual violence (also against men)
Training/ experience working with children
Profile (age, ethnicity, sex) – risk assessment
Confidentiality & security concerns
Impartiality & background check
Trust issues for witnesses (cultural/political groups)
Need for male and female interpreters
© Institute for International Criminal Investigations 2018

28. B. Information collection strategy
International Protocol, pages
Module 10 – Types of Evidence and Module 12 – Collecting Additional Information
Module 13 – Storing and Handling Information and Module 14 – Analysing Evidence Annex 9 – Chain of Custody Form
MANAGING INFORMATION
CARSV documentation involves searching for evidence or information in various different forms – documents, clothing, witness testimony, photographs, official records
Each piece of information can help tell the story, but it may also identify a victim or witness if not protected and carefully managed
It is vital that you carefully consider at the planning stage what you intend to do with your information and what you will be able to do
© Institute for International Criminal Investigations 2018

29. B. Information collection strategy
International Protocol, pages
Module 10 – Types of Evidence and Module 12 – Collecting Additional Information
Module 13 – Storing and Handling Information and Module 14 – Analysing Evidence Annex 9 – Chain of Custody Form
MANAGING INFORMATION
In making plans for information storage and retrieval:
consider both the potential volume of information & the need for a secure private location (e.g. locked filing cabinet, secure storage unit)
In developing plans for information management:
consider the most suitable system to help organise and search very large amounts of information and to identify details and patterns
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

30. B. Information collection strategy
International Protocol, pages
Module 10 – Types of Evidence and Module 12 – Collecting Additional Information
Module 13 – Storing and Handling Information and Module 14 – Analysing Evidence Annex 9 – Chain of Custody Form
MANAGING INFORMATION
It is essential to frequently review and analyse your information throughout the documentation process to identify gaps and manage priorities
You should ideally use an electronic database to consistently record and catalogue your information – it enables more efficient information-gathering and more detailed analysis
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

31. C. Procedures
International Protocol, pages
Module 7 – Do No Harm and Module 8 – Safety and Security
Module 13 – Storing and Handling Information and Module 14 – Analysing Evidence
Annex 5 – Organisational Security Good Practice
You should have procedures in place to ensure that your CARSV Documentation Plan is continually reassessed as new information is gathered
Prior to documenting CARSV, you should also consider whether your organisation has in place appropriate codes of conduct, internal standard operating procedures (SOPs), insurance arrangements, and other policies to conduct CARSV documentation professionally, efficiently, ethically and in accordance with the law
Training Materials on the International Protocol
© Institute for International Criminal Investigations 2018

32. Standard Operating Procedures
C. Procedures
Some of the procedures that you should consider include:
Codes of Conduct
Obligation to behave lawfully, professionally and respect key ethical principles
Procedures for mandatory reporting – sexual violence against children
Standard Operating Procedures
Protocols on digital security, confidentiality, access to sensitive information and evidence handling
Procedures on witness handling, referrals, manner of documentation & communication
Self-Care Procedures
Assessment of individual resilience, training to recognise signs of vicarious trauma & counselling
Rotation of staff for emotionally intense work, breaks and time for self-care activities
Examples of principles included in codes of conduct, International Protocol Chapter 9, Box 10
© Institute for International Criminal Investigations 2018

33. Approaching witnesses
EXERCISE
International Protocol, pages 58 (Box 9), 88 (Box 1), 126 (Box 3),
130 (Box 6), 218 (Box 4) and 268 (Box 3)
Carefully read the scenario assigned to your group. In groups, discuss how you could go about identifying and approaching the victim or witness. Would it be more appropriate to approach him/her directly or through an intermediary?
What additional information would you want to research or plan for before approaching or conducting a risk assessment for that victim/ witness?
What forms of communication or suitable meeting locations are available to you?
© Institute for International Criminal Investigations 2018