Decision

Appendix 2 – Oxfam GB’s workplan in response to GCPS report

Published 25 February 2021

Applies to England and Wales

Appendix 2 – Oxfam GB’s workplan in response to GCPS report

GCPS’ report sets out its findings at the time it delivered its draft report to Oxfam and the Charity Commission: September 2020.

Section 1 of this workplan sets out the recommendations which we fully met between September 2020 and January 2021.

Section 2 sets out the recommendations on which we need to do further work in 2021.

Section 1

Actions that were outstanding in September 2020 which we have completed since then.

Systems and procedures

Recommendation No. 46: PSEA Policy – clarifying that reporting considerations apply where there is “potential risk of harm”

Oxfam response

The Ineqe Review in 2019 was commenting on the 2018 Oxfam GB PSEA Policy, which we have since replaced with a much improved “One Oxfam” PSEA Policy for consistency across the Oxfam Confederation. In line with the recommendation, it is already our established and documented practice to consider whether to report to statutory authorities whenever there is a “potential risk of harm”. We acknowledged this could be clearer in the wording of the Policy itself and have implemented a revised Policy.

Strategy and planning

Recommendation No. 28: Amendment to safeguarding strategy to include the development of an evaluation framework to determine impact

This Recommendation set out aspects of safeguarding training which should be included in our safeguarding strategy – including an evaluation framework. GCPS concluded that our strategy refresh in 2020 covered all aspects of the Recommendation, except that the development of a formal evaluation framework to determine impact remained a gap.

Oxfam response

See also Recommendation No. 79 which set out more detail about the recommended training evaluation framework.

A safeguarding evaluation framework in compliance with Recommendation No.’s 28 and 79 is now in use to evaluate our safeguarding training. Further, the new learning management system which went live in January 2021 will allow us to track people’s engagement within safeguarding training, so that we may continually evaluate where there are gaps in people’s knowledge.

Recommendation No. 65: Oxfam safeguarding strategy or workplan to ensure dedicated focus on developing links with key safeguarding structures in the UK

GCPS concluded that Oxfam has established links with Haringey and Oxfordshire Safeguarding Boards. In order to achieve full attainment of the Recommendation for stronger engagement with local arrangements in the UK and stronger cross agency engagement, GCPS recommends going beyond this provision towards a broader UK service collaboration.

Oxfam response

The work of our dedicated Trading Safeguarding Manager already links us with Local Authority Designated Officers and Multi-Agency Safeguarding Hubs across the UK on a case by case basis. We will continue to build these links moving forward.

We have added as a continuing strategic objective for the Trading Safeguarding Manager the identification of, or if necessary, work to establish, networks with statutory and charitable safeguarding bodies in the UK to improve communications and learning.

Case management

Recommendation No. 2: Revisit entries on the register ^{[footnote 1]} for which no paperwork or file was made available to the Review

GCPS accept that serious and sustained efforts were made to locate missing information but assessed the work as inadequate in relation to establishing whether ongoing risks exist or not.

Oxfam response

Since the conclusion of the Ineqe Review, members of Oxfam’s Global Safeguarding Team located some paperwork for, and undertook assessment of all of, the entries on the Safeguarding Register for which no paperwork or file was made available to the Ineqe Review.

We have uploaded the information onto our case management system and arranged for a representative sample of these cases to be checked by independent auditors to ensure that all appropriate steps have been taken. The auditors’ report (which we have disclosed to the Commission) identified no outstanding safeguarding risks.

Recommendation No. 8: reporting to police of non-recent cases in international programme countries

See also associated Recommendations No. 7 and 16

GCPS found that Oxfam had shared with the relevant UK law enforcement agency case summary information relating to potential crimes that were unreported to the police in the country where the alleged crime was committed. They also found that, on the law enforcement agency’s advice, none of the cases were reported. However as the merit of each case was assessed on summary information, GCPS concluded that they were left with uncertainty about potential gaps in critical information.

Oxfam Response

GCPS’s concern was based on the fact that the summary information for the non-recent cases had been collated by a non-safeguarding expert, before being reviewed by the Director of Safeguarding and by the relevant law enforcement agency.

When GCPS told us their concern, we made sure that professional Safeguarding Advisors within the Global Safeguarding Team had conducted a comprehensive case review of each of these cases, using a pro forma risk assessment tool. That tool was prepared in accordance with the Independent Review recommendation and includes a final question “based on everything provided do you think any actions must be taken today?” Further, we agreed with the Charity Commission that independent auditors should review a representative sample of these cases to ensure that all appropriate steps had been taken. The auditors’ report (which we have disclosed to the Commission) identified no further actions to be taken: no cases were required to be reported to the police. For several files there was a note of police involvement within case recordings, hence no further reporting to the police was required.

Recommendation No.10: Oxfam to support its decision making by developing a template (checklist) and contemporaneous record of their decision-making process.

GCPS concluded that, rather than the existence of a specific and streamlined template (checklist) to aid effective decision making and a contemporaneous record, several forms exist which are dispersed across the case management suite of resources.

Oxfam response

We have created and implemented a checklist template, as an addition to the case management mechanisms in our software system.

Recommendation No. 21: Oxfam should amend its policy to facilitate the appointment of independent investigators for cases involving individuals in positions of power, influence, and authority.

GCPS concluded that while Oxfam’s Safeguarding Case Management standard operating procedures (SOP) facilitate the appointment of independent investigators, it does not go far enough. The SOP do not state explicitly that independent investigators should be appointed for cases involving individuals in positions of power, influence, and authority. GCPS was assured that in practice this risk was always considered, but concluded it is important to embed this consideration into procedural documents.

Oxfam response

Oxfam has added into the Oxfam GB-specific Case Management SOP explicit reference to the need to consider and document the appointment of external investigators in cases involving people in positions of power, influence and authority.

Recommendation No. 45: Procedural alignment for handling safeguarding concerns should wherever possible be aligned with UK guidance, best practice approach.

GCPS concluded that the Consolidated Safeguarding Case Management SOP does not explicitly align with a UK ‘best practice’ approach set out in statutory and non-statutory guidance in the UK.

Oxfam response

Our Safeguarding Advisors dealing with allegations outside the UK always strive to adhere to UK “best practice” approaches to investigating and reporting to statutory authorities, balanced with the views of the survivor and consideration of the country context. We have now made this explicit in an Oxfam GB-specific Case Management SOP (the same SOP as referred to in relation to Recommendation 21 above).

Recommendation No 51: Use of face to face interviews

GCPS concluded that Oxfam should strengthen their wording to better ensure every effort is made to undertake face to face interviews, particularly with Subjects of the Complaint (SoCs) or vulnerable witnesses.

Oxfam response

Oxfam has amended its stakeholder meeting template to include a question which focuses on face to face interviews: Is it possible to undertake interviews face to face? If not why and what strategies will be employed to mitigate any barriers to effective and inclusive interviewing process so as to ensure that witnesses, SoC’s and survivors are effectively supported and further the quality of the information gathered and the investigation is not adversely impacted?

Recommendation No.56: Consolidated procedures/SOP to provide a step by step approach to dealing with safeguarding allegations

GCPS concluded that the Consolidated Safeguarding Case Management SOP does not include an explicit reference in any of the process steps to a safeguarding incident being a potential crime or constituting criminal activity, and so there is no reference to considering an external referral to the police or other appropriate agencies, although actual practice appears to be that this is always a consideration.

Oxfam response

GCPS is correct that our practice is to consider in every case whether external referrals should be made to the police or other appropriate agencies. This practice is explicit in the risk assessment template which is an integral part of every investigation. We have now also added it into the Oxfam-GB specific Case Management SOP (the same SOP as referred to in relation to Recommendations 21, 45 above).

Serious incident reporting (SIR)

Recommendation No. 3: any files not made available to the Independent Review which meet SIR criteria to be reported to the Charity Commission without delay

GCPS concluded that the work carried out to establish whether ongoing risks exist or not for these incidents was inadequate. It was also not possible to determine if all cases that met SIR criteria were reported to the Charity Commission.

Oxfam response

We have entered all these cases onto our case management system. As part of this process, Safeguarding Advisors determined whether an SIR should have been submitted for each case and we checked this against the SIRs submitted to the Commission in 2018/19. We identified seven cases which had not been reported to the Commission which should have been. We have now reported these. Going forward, the independent auditors who audit our safeguarding case management every year will also check that all cases which should have been reported as SIRs have been duly reported (see also Recommendation No. 4 below).

Recommendation No. 4: Defined process to strengthen compliance with SIR reporting to the Charity Commission

To assess effective implementation of the process, GCPS reviewed a dip sample of case files from June 2019 to March 2020 and determined that not all cases that met the threshold for SIR had been identified and reported.

Oxfam response

During 2019/20 we implemented significant improvements to our process for SIR reporting, including by centralising responsibility for all reporting and clarifying our procedures in a Reporting Misconduct Standard Operating Procedure. The cases which were not reported during this period were as a result of human error during transition to current procedures and have now been reported as SIRs to the Commission. We have checked our records and no further such errors exist. Going forward, the independent auditors who audit our safeguarding case management will also give us assurance that all cases which should have been reported as SIRs have been duly reported (see also Recommendation No. 3 above).

Recruitment, vetting and performance management

Recommendation No. 44: Integrate safer recruitment minimum standards into Recruitment policy and procedures

Whilst the GCPS Review Team fully acknowledged significant progress in recruitment and vetting, they found key gaps that include: A definition within each job description of the nature of supervision a post-holder will receive. The requirement to conduct repeat checks every 3 years on every member of staff who works directly with, or has regular contact with, children and young people. Availability of management information about safer recruitment training. GCPS found that outside the UK Oxfam is also seeking ‘local checking services, for example Police records’ for local hires and has signed up to the Inter-Agency Misconduct Disclosure Scheme, but that there was a lack of clarity about which checks are being administered in relation to non-British expatriates who work or travel overseas, including consultants and contractors on short assignment.

Oxfam response

“Supervision” is already provided to all staff in the Global Safeguarding Team and has now been formalised in all relevant job descriptions.

We have revised our Recruitment Policy to include a clear requirement for local police or criminal conviction checks (where available) for every new member of staff who works directly with, or has regular contact with, community members. (The revised Policy will go live in February after going through our formal approval processes.) This is in addition to the checks we already conduct, including referencing, Disclosure and Barring Service (DBS) checks in the UK and International Child Protection Certificate checks. The revised Policy also includes a requirement to conduct repeat checks every 3 years on all staff who work directly with, or have regular contact with, children and young people.

We have gathered data on the checks already carried out on existing staff in our International Programme countries so that we can be sure that appropriate local checks have been carried out on all relevant staff. External consultants, contractors and agency staff are covered by our Oxfam Reference Policy and procurement selection guidelines which set out necessary screening checks. We have a consultant and contractor reference form template and require compliance to the Oxfam Non-Staff Code of Conduct. We have gathered data on the checks carried out on consultants and contractors in our International Programme countries so that we can be sure that appropriate and consistent checks are carried out.

Recommendation No. 69: Oxfam should include the regular use of the International Child Protection Certificate (ICPC) as part of its recruitment process overseas

GCPS noted an exception relating to the recommendation to include the regular use of ICPC as part of Oxfam’s recruitment process overseas.

Oxfam response

We had after the Independent Review in 2019 implemented a change to make the ICPC a regular part of our recruitment process. Regrettably, a decision was made later that year by a member of staff without senior leadership oversight to stop applying for ICPCs, on the grounds that we employ so few staff who qualify for one.

When GCPS brought this to our attention in July 2020, we immediately reinstated the requirement for an ICPC for all Oxfam GB’s new recruitment of qualifying staff. Our HR team has in addition applied for ICPCs retrospectively for all qualifying staff (except for those staff currently on furlough for whom we will apply as and when they are due to return to work).

To ensure that the requirement for the ICPC is embedded in our procedures, it is now an express requirement in our revised Recruitment Policy.

Increased capability and capacity

Recommendation No. 17: Trustees, Oxfam leadership team and all senior managers (as appropriate) should as a priority, where possible, receive accredited safeguarding training

GCPS found that, while efforts were made to source accredited leadership training as recommended by the Independent Review, such provision was not found. A formal leadership training programme based on Oxfam’s own needs analysis that approximates an accredited safeguarding provision remains a gap.

Oxfam response

Safeguarding training is already given to every new Strategic Leadership Team (SLT) member and Trustee as part of their induction and a further development session formally delivered to Strategic Leadership Team members and Trustees at least once each year. Trustees on the Safeguarding and Ethics Committee also undertake the online safeguarding training which is offered to all staff.

We have rolled out a formal leadership training programme for SLT members and for Trustees, beginning with an externally-facilitated safeguarding governance development session for all SLT members and Trustees in December 2020. This included a development needs analysis at the outset and evaluation on conclusion. We’ll follow this in 2021 with further targeted training for all SLT members and other senior staff (in addition to the new online mandatory training), along with an externally- facilitated “refresher” session for Trustees.

Recommendation No. 23 Support trustees to develop skills required for their role

GCPS found there was evidence that serious and sustained efforts have been made by Trustees to develop and extend their safeguarding capability and work had begun on developing individual Trustee Personal Development Portfolios. They said that how these relate to their individual role in Oxfam should be included in order to establish a base line of knowledge and understanding across the Council linked to relevant areas of Trustee role responsibility.

Oxfam response

All Trustees were surveyed to establish what outcomes and learning approaches they wanted to see in terms of future safeguarding development sessions. External providers used this information to design the safeguarding governance session referred to in Recommendation No. 17 above. We have updated the Personal Development Portfolio for each Trustee accordingly.

Recommendation No. 74: Safeguarding induction materials: building in tests as part of the e-learning induction and prescribing a mandatory pass rate

GCPS found that building in tests as part of the e-learning and prescribing a mandatory pass rate remained a gap. Additionally, no sample completed tests and results or information about compliance rates were provided.

Oxfam response

We have introduced a new safeguarding induction course (the Humanitarian Leadership Course ‘Safeguarding Essentials’) which includes an assessment which requires an 80% pass mark to complete the course. Further, our new learning management system went live in January providing better management information including about compliance rates.

Recommendation No. 76: Develop a single course structure that will be applicable across all Oxfam divisions, both in the UK and in countries where Oxfam works (ie where Oxfam is Executing Affiliate)

GCPS found that, while there is evidence that serious and sustained efforts have been made, it is not clear if there has been a mapping and analysis of training needs across the Oxfam divisions and cross checking this with the content of the course identified by Oxfam for suitability. It is also not clear when this course will be launched.

Oxfam response

We have mapped the differing training needs of roles within Oxfam, so that in future we can give greater emphasis to getting the right information to the right people. As part of this work, the Oxfam Confederation has developed an extensive range of new course materials. International aspects of the new training are different from UK aspects due to the different nature of the context these settings present.

The new course materials are available on the new learning management system introduced in January.

Recommendation No. 77 Defined programme of safeguarding training that is scheduled annually

GCPS found that while there is evidence of training being delivered to different audiences across Oxfam and much of it to a high standard, the recommendation to develop a defined programme of training, scheduled to run annually, published in advance and planned in a systematic way that maximises attendance, remains a gap.

Oxfam response

See Recommendation No. 76 above: new training materials are available on our learning management system introduced in January. There is an expectation that some aspects of the training will be completed every two years, such as code of conduct training and introduction to safeguarding. The new learning management system enables us more easily to target individuals with prompts to complete all appropriate training.

Recommendation No. 78: a learning management system should be developed to provide prompts for refresher training

GCPS found that a further area of exception is the absence of a formal learning management system. The ability for the system to deliver specific prompts for refresher training is central to the recommendation.

Oxfam response

Oxfam had a learning management system which gave us a central record of training delivery across the UK and international workforce. However, the system had limitations, which is why we launched a new system this month. The new system has functionality for prompts for refreshers.

Recommendation No. 79: Safeguarding training evaluation framework

GCPS found that although there is evidence of serious and sustained efforts, there was no clear demonstration that Oxfam had developed a safeguarding training evaluation framework. It was also unclear if Oxfam had a systematic approach to the evaluation of safeguarding trainings or clarity on how it was routinely collating and analysing evaluation feedback to feed into institutional learning. It also remained uncertain if consideration was given to a dedicated resource to manage this activity.

Oxfam response

A Safeguarding Evaluation Framework is now in use to evaluate our safeguarding training. The new learning management system allows us to track people’s engagement within safeguarding training, so that we may continually evaluate where there are gaps in people’s knowledge.

After due consideration, Oxfam decided that as we work closely with the training and development manager at Oxfam International it was not necessary to employ a separate, dedicated resource to manage safeguarding training.

Governance

Recommendation No. 22: The Safeguarding Committee should bi-annually review the findings of safeguarding audits

GCPS found that a formal safeguarding report that identifies ‘trends, themes and patterns’ remained a gap. Furthermore, it was not clear from the evidence that findings from the independent safeguarding auditor’s phase 1 report of cases not reported to statutory authorities due to lack of consent from victims were reported and discussed with Trustees at that time.

Oxfam response

Oxfam agreed with the Commission that external safeguarding audits could be conducted annually provided that other internal audits/reviews also took place and GCPS confirmed that this represented best practice. There will be bi-annual six-monthly reviews by the Safeguarding and Ethics Committee: one informed by the annual external audit, the other by internal casework review.

The auditors’ phase 2 report included the recommended “trends themes and patterns”.

Future audit and six-monthly review reports will continue to include the recommended “trends themes and patterns”.

Further, we have ensured that “incomplete investigations” are in future considered by the Safeguarding and Ethics Committee, then presented to Council, by formalising this requirement in a Committee forward planner.

Section 2

Actions which require further work in 2021.

Case management

Recommendation No. 13: To achieve consistency in the formulation of ToR for safeguarding cases, Oxfam should include guidance and examples in the Consolidated Guidance document. The guidance should be included in the Safeguarding Training Strategy and should be delivered as part of the training for Designated Safeguarding Leads, Regional Designated Officers and relevant decision makers.

The gap in relation to this Recommendation was that GCPS were unable to determine if Regional Designated Officers (RDOs) and other relevant decision makers, critically members of the Incident Management Panel (IMP), had been sufficiently trained on case management and the Consolidated Procedural Guidance document.

Oxfam response

The RDOs have throughout been key in developing and delivering all our training, including in relation to case management, as well as key contributors to our Consolidated Procedural Guidance document.

We have disseminated the One Oxfam Case Management Standard Operating Procedures (SOP) across the Confederation and signposted Country Directors to this. In the first half of 2021 we will deliver webinars on the SOP to Country Directors and senior management, along with further online Country Director training focussing on roles and responsibilities and the IMP as well as safe programming and other safeguarding specifics. This will mean that at least one member of every IMP will have completed the relevant training.

Increased capability and capacity

Recommendation No. 27: Align Workplan for reviewing the Safeguarding Risk Management approach with the proposals for a Learning and improvement framework

GCPS found that there was evidence of serious and sustained efforts to develop a consolidated and comprehensive Learning and Improvement Framework, although it was unclear how this was being done in practice outside of case auditing.

Oxfam response

We are completing work on several projects (such as staff inductions, implementation of a new learning management system and updated training material). Bringing these together with the ongoing external audits for case management will be key in the development of a Learning and Improvement Framework whereby we better analyse trends and patterns and feed this analysis into preventative measures moving forward.

This Framework will be developed in 2021 with support from safeguarding consultants and will be approved by, and progress reported into, the Safeguarding and Ethics Committee.

Recommendation No. 35: Engage other cross agency forums to explore opportunities to develop the role of the Regional Designated Officer (RDO) on a cross-NGO basis

GCPS acknowledged the engagement of Oxfam’s safeguarding and HR staff based in the UK in various cross-agency meetings and workshops but found that this recommendation had not yet been achieved.

Oxfam response

In addition to the UK-based engagement work, our Regional Advisors (RDOs) also are engaged in cross agency forums but we recognise that there is more to do to develop the role of the RDO in a cross-agency work: this continues to be an option we will pursue with other organisations. We are continually looking at ways to support the RDO role to ensure there is a more sector wide approach and learning for safeguarding.

Recommendation No. 63: Effectiveness reviews should be developed to include safeguarding

GCPS considered that the recommendation to develop an Effectiveness Review that includes safeguarding as a defined element or as a stand-alone discipline is an exception.

Oxfam response

Oxfam recognises the importance, as part of its continuous learning and improvement approach, of reviewing the effectiveness of our safeguarding mechanisms for those who need recourse to them, as well reviewing how effective we are at lessening the risk of safeguarding incidents taking place. In recognition of this, in 2019/20 we conducted and published unique research on the effectiveness of our mechanisms for reporting misconduct in the countries in which we work and in 2020 we added an “accountability module” to our regular programme reviews.

In addition, the Safeguarding Team is working with monitoring, evaluation and learning experts in our Impact Division to identify what measurements are already taking place of our safeguarding and prevention work and how we may put these together for a comprehensive review of the effectiveness of the mechanisms currently in place. The Director of Safeguarding will bring proposals for taking this work forward to the Safeguarding and Ethics Committee in 2021.

Recommendation No. 64: Learning and Improvement Framework that includes mechanisms for safeguarding self-assessment, case auditing, performance data management, stakeholder feedback and external learning

GCPS found evidence of a comprehensive overarching ‘One Oxfam Safeguarding Learning and Development strategy 2020 – 2022’ which (although still in draft) included a training needs assessment and analysis for most of the organisation and set out clear organisational safeguarding training priorities, but that a consolidated (‘one process’) Learning and Improvement framework remained a gap.

Oxfam response

As GCPS acknowledge, Oxfam has adopted a continuous improvement approach to safeguarding. This includes a commitment to a culture of ongoing learning and improvement. As part of this approach, we have engaged external auditors regularly to audit our case work, leading to significant demonstrable improvements in the quality of our case management and recording. We recognise there is more to do and will develop a Learning and Improvement Framework in 2021. See Recommendation No. 27 above.

Clifford Isabelle, Global Director of Safeguarding

Judeth Neville, Head of Governance

Oxfam GB

30 January 2021

1. this is a reference to the register which until 2018 was Oxfam’s record of safeguarding cases. It is no longer in use as it was replaced in 2018 by case management software ↩