The Democratic Republic of the Congo: Information on the Rate of Sexual Violence in War-Torn Eastern DRC and Adjoining Countries
Published: 2011-07-13T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: Large numbers of civilians in war-torn areas of the Democratic Republic of the Congo (DRC) have been the victims of horrific violence, including rape, mutilation, and sexual slavery carried out by armed groups and others. The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated GAO to submit to appropriate congressional committees a report assessing the rate of sexual and gender-based violence in war-torn areas of the DRC and adjoining countries. This report aims to provide Congress with the best possible understanding of the most recent estimates of sexual violence in eastern DRC and adjoining countries as it considers the range of policy options available to address the alarming incidence of such violence in the region. This report identifies and assesses available information on sexual violence in war-torn eastern DRC and adjoining countries. GAO reviewed and analyzed reports, memorandums, and other documents and interviewed officials from the Department of State (State), other United States agencies, and the United Nations (UN), as well as researchers and representatives from nongovernmental organizations.
section_title: What GAO Found
paragraphs: Of the two types of data on sexual violence from war-torn eastern DRC and adjoining countries GAO reviewed--data from population-based surveys and case file data--population-based surveys are more appropriate for estimating a rate of sexual violence. Unlike case file data, surveys are conducted using the techniques of random sampling and their results are generalizable. However, there are limitations and challenges to using surveys to gather sexual violence data and estimate rates of violence, particularly in eastern DRC. Specifically, GAO found the following: (1) Three population-based surveys provide data on the rate of sexual violence in eastern DRC. The most recent survey, conducted in eastern DRC in 2010, estimated that 9 percent of the population had experienced some form of sexual violence in the 1-year period from March 2009 through March 2010. An earlier survey in eastern DRC conducted in late 2007 estimated about 16 percent of the population had experienced sexual violence over the period 1993 through 2007, although this survey did not employ the standard survey estimation techniques used in the 2010 survey. The third survey was conducted in early to mid-2007 and estimated that about 8 percent of females in North Kivu and 6 percent of females in South Kivu had experienced sexual violence within the 1-year period preceding the survey. (2) Two population-based surveys for Uganda--the only adjoining country for which such information is available--provide data on the rate of sexual violence. The most recent survey, conducted in 2010 in four districts in northern Uganda, estimated less than 0.5 percent of the population reported experiencing sexual violence at the hands of armed groups in the 1-year period from April 2009 to April 2010. An earlier survey conducted nationwide in Uganda in 2006 estimated 39 percent of females and 11 percent of males had experienced sexual violence at some point in their lifetimes. (3) There are limitations and challenges to using population-based surveys to gather data and estimate rates of sexual violence, particularly in war-torn areas like eastern DRC. For example, there can be undercoverage due to poor infrastructure and insecurity which can limit access to some areas; underreporting, as survey response rates partly depend on whether or not sexual violence victims are willing to discuss such difficult experiences; and higher survey costs if large sample sizes are required. (4) Case file data, such as data collected by medical service providers or law enforcement agencies on sexual violence victims, can provide indicators that sexual assaults are occurring in certain locations and can help service providers respond to the needs of victims. However, since case file data are based on a nonrandom sample, the results of analyzing such data are not generalizable. Also, UN officials and others noted that case file data are largely anecdotal and not uniform, and service providers are generally hesitant to share their data with outside parties. This report does not contain recommendations. GAO provided a draft of this report to State and other relevant agencies for review and comment. These agencies reviewed the report and responded that they did not have comments.

section_title: Letter
paragraphs: Large numbers of civilians in war-torn areas of the Democratic Republic  of the Congo (DRC) have been the victims of horrific sexual violence,  including rape, mutilation, and sexual slavery carried out by armed  groups. According to United Nations (UN) and U.S. officials, researchers,  and nongovernmental organization (NGO) representatives, sexual  violence—a form of gender-based violence—includes any sexual act,  attempted or perpetrated, such as rape or sexual slavery, carried out  against the will of someone, whether male or female. Sexual violence has  been perpetrated against the civilian population (men, women, and  children) by members of illegal armed groups and some Congolese  national military units, as well as by other civilians. While opportunistic  acts of sexual violence occur, members of illegal armed groups and  Congolese military units also use sexual violence to exact revenge on  communities for their perceived cooperation with rival groups. Sexual  violence has been a feature of conflict in the DRC at least since the  Congolese civil war of the mid-1990s.
Although warfare between the DRC and its neighbors has officially ended,  conflict, especially in the eastern part of the DRC, has persisted.  According to UN officials, U.S. agency officials, and subject matter  experts, the entire DRC has been affected by war to varying degrees, but  North Kivu, South Kivu, and the Ituri District in Orientale Province  (hereafter referred to as eastern DRC) continue to suffer from ongoing  conflict and violence and are considered war-torn; three countries that  border eastern DRC are Rwanda, Uganda, and Burundi.
There are two basic types of data on sexual violence from war-torn  eastern DRC and adjoining countries: (1) data from population-based  surveys, and (2) case file data, such as data collected by medical service  providers or data collected by law enforcement or international entities on  sexual violence victims. Population-based surveys identify the extent of  something specific (such as whether a respondent has been sexually  assaulted) within a given population based on participants’ responses.  According to some UN officials and NGO representatives, analyzing case  file data helps service providers better understand the conditions on the  ground in eastern DRC so they can better address sexual violence and  assist sexual violence victims. Between the two basic types of data on  sexual violence, data from population-based surveys provide information  that is more appropriate for estimating a rate of sexual violence because  such surveys are conducted using the techniques of random sampling (as  opposed to nonrandom sampling, such as reviewing medical or clinical  intake records), and their results are generalizable to a target population.
This report responds to a requirement in the Dodd-Frank Wall Street  Reform and Consumer Protection Act (Pub. L. 111-203, sec. 1502(d))  that we submit an annual report that assesses the rate of sexual and  gender-based violence in war-torn areas of the DRC and adjoining  countries to appropriate congressional committees. In this report, we  identify and assess available information on sexual violence in war-torn  eastern DRC, as well as three neighboring countries that border eastern  DRC—Rwanda, Uganda, and Burundi.
To respond to this objective, we reviewed relevant provisions of the  Dodd-Frank Wall Street Reform Act and reviewed and analyzed relevant  reports and other documents from the Department of State (State); the  United States Agency for International Development (USAID); the  Department of Defense (Defense); various UN agencies, including the  United Nations Population Fund (UNFPA); nongovernmental agencies,  such as the International Rescue Committee (IRC); and research  organizations, such as the University of California (UC) Berkeley Human  Rights Center, on sexual violence data collected in eastern DRC and  adjoining countries. We also interviewed relevant officials and  representatives from these entities regarding data collected on sexual  violence in eastern DRC and adjoining countries. We identified five recent  population-based surveys that contain estimates on rates of sexual  violence in eastern DRC and adjoining countries. We evaluated the  methodological strengths and shortcomings of these existing estimates by  discussing the specifics of these surveys with researchers and  statisticians specializing in the scientific measurement of human rights  issues, and conducting a rigorous analysis of each of the five relevant  surveys to identify their respective strengths and limitations. We also  reviewed the Office of Management and Budget’s (OMB) Standards and  Guidelines for Statistical Surveys and derived a number of survey  research principles relevant to assessing the surveys. Appendix I  provides more details on our objective, scope, and methodology.
We conducted this performance audit from November 2010 to July 2011  in accordance with generally accepted government auditing standards.  Those standards require that we plan and perform the audit to obtain  sufficient, appropriate evidence to provide a reasonable basis for our  findings and conclusions based on our audit objectives. We believe that  the evidence obtained provides a reasonable basis for our findings and  conclusions based on our audit objectives.
subsections: section_title: Background
paragraphs: The DRC is a vast mineral-rich nation with an estimated population of  approximately 68 million to 72 million people in an area that is roughly  one-quarter the size of the United States. It was colonized in 1885 as a  personal possession of Belgian King Leopold II, administered by the  Belgian government starting in 1907, and achieved independence from  Belgium in 1960. For almost 30 years of the postindependence period,  the DRC was known as Zaire and was ruled by an authoritarian regime  under Joseph Mobutu. Following the 1994 genocide in Rwanda, some  perpetrators of the genocide and refugees fled into eastern DRC. See  figure 1 for a map highlighting eastern DRC and countries that border  eastern DRC.
The Mobutu regime was toppled in 1997 by Laurent Kabila, who led a  rebel group from eastern DRC with the assistance of Rwanda and  Uganda. Kabila was assassinated in 2001 and leadership shifted to his  son, Joseph Kabila. During the period of the senior Kabila’s regime, the  nation experienced a period of civil war during which numerous rebel  groups, with the assistance of Rwanda, Uganda, and other neighboring  countries, captured significant parts of the DRC. The war continued into  the regime of Joseph Kabila, and resulted in the deaths of an estimated  5.4 million people by 2007.
After decades of instability and war, the central government in the capital,  Kinshasa, currently has little administrative capacity and control over  remote regions, such as eastern DRC. The lack of control is exacerbated  by the long distances and the rudimentary infrastructure, which make  transportation and communication difficult. While the precise magnitude  of sexual violence in the DRC is difficult to establish, the high number of  sexual assaults in the DRC, and the severity of these assaults, has  attracted the attention of the international community, including the U.S.  government, other foreign governments, the UN, and NGOs. State has  identified the DRC as a priority focus for U.S. efforts to prevent and  respond to violence against women and girls. In August 2009, Secretary  of State Hillary Rodham Clinton traveled to the city of Goma in North Kivu  in eastern DRC, where she met with victims of sexual violence and the  providers of medical and other services to those victims; while in Goma,  the Secretary announced $17 million in funding to assist female victims of  sexual violence in the DRC. Additionally, State and USAID coordinate  multiple programs in the DRC designed to assist the victims of sexual  violence, including through legal aid to facilitate prosecutions.
The UN Organization Mission in the DRC (MONUC) was first deployed to  the DRC in 1999 to support the implementation of a cease-fire  agreement. Over the past 11 years, MONUC has steadily grown in size  from an initial force of about 5,500 troops to its authorized size, through  June, 30, 2011, of more than 20,000 total military and police personnel.  MONUC’s mandate prioritizes the protection of civilians. In 2010, MONUC  was renamed the United Nations Organization Stabilization Mission in the  Democratic Republic of the Congo (MONUSCO) to reflect an increased  emphasis on stabilization. The United States is the largest donor to  MONUSCO, contributing almost one-third of MONUSCO’s $1 billion  annual budget. In addition, in early 2010, the UN Secretary General  appointed Margot Wallström as Special Representative for the Secretary  General on Sexual Violence in Conflict. The primary role of the Special  Representative is to keep the issue of sexual violence in the forefront of  public and diplomatic dialogue. A number of NGOs are also active in  addressing sexual violence in the DRC through providing medical, legal,  and vocational training services to victims of sexual violence; researching  sexual violence issues; and advocating for specific policies and  prevention mechanisms to end the violence and/or provide assistance to  sexual violence victims.
section_title: Information on the Rate of Sexual Violence in War-Torn Eastern DRC and Adjoining Countries
paragraphs: We identified five population-based surveys, shown in table 1 below, that  provide data on the rate of sexual violence in eastern DRC and Uganda.
We identified three population-based surveys for eastern DRC that  provide data on the rate of sexual violence: (1) a survey by McGill  University researchers in partnership with the Uniformed Services  University of the Health Sciences and others (McGill University), (2) a  survey by the UC Berkeley Human Rights Center (UC Berkeley), and (3)  a survey by the Democratic Republic of the Congo Ministry of Planning  with support of the Ministry of Health. All three surveys were conducted  since 2006 and utilized random sampling of the population in parts of  eastern DRC to identify whether respondents had been the victims of  sexual violence, among other things.
McGill University Survey (2010)
Data from a survey conducted by McGill University in 2010 estimated that  9 percent of the population had experienced sexual violence in the 1-year  period from March 2009 through March 2010, and 13 percent of the  population had experienced sexual violence in the 2-year period from  March 2008 through March 2010. The McGill University survey found  that self-reported sexual violence and other human rights violations were  prevalent in specific territories of eastern DRC. Over the period covered  by the survey—1994 through 2010—the survey estimated about 33  percent of the population had experienced some form of sexual violence.
The McGill University survey employed a rigorous methodology and  utilized generally accepted survey design, implementation, and analysis  principles. The survey was conducted in March 2010 and provides the  most recent information on the rate of sexual violence in eastern DRC.  The survey employed statistical weighting, a procedure used when  deriving generalizable estimates from a complex sample. The survey  estimates are also accompanied by 95 percent confidence intervals,  which give an indication of the precision of estimates. Additionally, the  survey was designed as a multistage cluster survey. This multistage  cluster survey included stratification by region, a technique that ensures  representation across geographic areas, and clustering of villages, a  typical practice for household surveys in developing countries that can  reduce the cost of conducting a survey by reducing the number of  locations to which interviewers must travel.
However, the findings from the survey conducted by McGill University are  not generalizable to the entire population in eastern DRC. Some of the  villages in eastern DRC were inaccessible because of security concerns,  difficult terrain, or poor infrastructure; consequently, the survey is  generalizable only to certain territories surveyed in eastern DRC. The  territories of Mwenga and Walikale in eastern DRC are not represented in  this survey, and if the rates of sexual violence were higher in these areas,  then the overall rate of sexual violence identified in this survey would be  an underestimate. For example, according to UN officials, more than 300  people were mass-raped in 13 villages in Walikale, North Kivu, by armed  groups between July 30 and August 2, 2010. Figures on this attack and  others like it in Mwenga or Walikale would not have been captured in this  survey, if any occurred.
UC Berkeley Survey (2007)
A survey conducted by UC Berkeley, in partnership with the International  Center for Transitional Justice and the Payson Center for International  Development at Tulane University, in late 2007, estimated about 16  percent of the population had experienced sexual violence over the  period 1993 through 2007. Additionally, the survey estimated that 23  percent of the population had witnessed an act of sexual violence in their  lifetimes. The UC Berkeley survey was conducted between September  and December 2007 on attitudes about peace, justice, and social  reconstruction in eastern DRC. It was designed similarly to McGill  University’s, as a multistage cluster survey, but it is difficult to assess the  accuracy of the survey because it did not employ the standard survey  estimation techniques used in the 2010 survey conducted by McGill  University. UC Berkeley followed generally accepted survey design and  implementation principles, but the analysis did not employ the use of  statistical weights. The use of weights is a generally accepted analysis  procedure when deriving generalizable estimates from a complex sample.  Although researchers at UC Berkeley planned for a self-weighting sample  (one where every element in the population has the same probability of  being selected), the final sample was not self-weighting. The decision not  to use weights in the analysis of the survey data means that we cannot  conclude how different the reported estimates of sexual violence rates  from this survey are from what would have been otherwise obtained had  the data been weighted using complex sample design formulas. In  addition, reporting of estimates is generally accompanied by a measure of  precision, such as a margin of error or a confidence interval. As this  survey does not provide a margin of error, it means that we cannot  assess the precision of its estimates.
DRC Ministry of Planning  Survey (2007)
The Democratic Republic of the Congo Demographic and Health Survey  was conducted nationwide from January to August 2007 by the DRC  Ministry of Planning with the support of the DRC Ministry of Health and a  number of foreign government, international, and nongovernmental  organizations, including USAID, various UN agencies, and the World  Bank. The survey estimated that in North Kivu and South Kivu  provinces, about 8 percent and 6 percent of females between the ages of  15 and 49, respectively, had experienced sexual violence within the 1- year period preceding the survey. The survey also estimated that in North  Kivu and South Kivu provinces about 25 percent and 18 percent of  females, respectively, had experienced sexual violence at some point in  their lives. It was a nationally representative survey designed to provide  information on fertility, mortality, family planning, and reproductive health  of women in the DRC and includes some information on the rate of sexual  violence in the DRC for females.
The survey followed generally accepted survey design, implementation,  and analysis principles and was designed as a multistage stratified cluster  survey. Survey estimates were calculated using statistical weighting, and  these estimates were accompanied by 95 percent confidence intervals  indicating the precision of an estimate. However, the survey does not  include estimates on the rate of sexual violence for male victims; the survey  questionnaire asked women about their experiences with sexual violence  within the larger framework of exploring issues related to domestic  violence. Also, while this survey includes data for Orientale Province it does  not provide estimates on the rate of sexual violence for the Ituri District,  located within Orientale Province, which, along with North Kivu and South  Kivu provinces, has been defined as war-torn eastern DRC.
subsections: section_title: Two Population-Based Surveys Address the Rate of Sexual Violence in Uganda; No Studies Address Rates in Other Adjoining Countries
paragraphs: We identified two population-based surveys on sexual violence in  Uganda; one was a 2010 survey conducted by UC Berkeley in four  districts in northern Uganda that was the third installment in a series of  surveys and the other is the 2006 Uganda Demographic and Health  Survey, a nationwide survey implemented by the Uganda Bureau of  Statistics. Both surveys provide some information about the rate of sexual  violence, albeit in different portions of Uganda surveyed. We did not  identify population-based surveys with data on the rate of sexual violence  for two other adjoining countries, Burundi and Rwanda.
UC Berkeley Survey (2010)
UC Berkeley conducted a series of population-based studies, in 2005,  2007, and 2010, that examined attitudes about social reconstruction and  justice in parts of northern Uganda. The surveys were conducted in the  aftermath of the Lord’s Resistance Army’s persistent attacks on civilians  in these parts of northern Uganda; from 1987 through 2005, the Lord’s  Resistance Army killed, mutilated, and perpetrated sexual violence  against civilians in northern Uganda. One of the principal objectives of the  series of surveys was to measure overall exposure to violence  perpetrated by armed groups, including sexual violence, among  respondents. The most recent survey, conducted in 2010 in four districts  in northern Uganda, estimated that less than 0.5 percent of the population  reported experiencing sexual violence at the hands of armed groups in  the 1-year period from April 2009 to April 2010. The survey also  estimated that 2 percent of the population reported experiencing sexual  violence at the hands of armed groups during the period of conflict in this  part of Uganda (from 1987 to 2005).
The survey by UC Berkeley conducted in northern Uganda between April  and May of 2010 employed a rigorous methodology, and, similar to the  other studies we have discussed, this survey followed generally accepted  survey design and implementation principles and was designed as a  multistage stratified cluster survey. Also, the survey’s estimates were  calculated using weights, a generally accepted analysis procedure used  when deriving generalizable estimates from a complex sample. However,  the analysis did not contain confidence intervals, which means it provided  no indication of the precision of these estimates. Moreover, while the  survey is generalizable to the four districts in northern Uganda that it  covered, the results of this survey cannot be used to generate a  nationwide rate of sexual violence in Uganda.
Uganda Bureau of Statistics  Survey (2006)
Conducted in May through October 2006 and implemented by the  Uganda Bureau of Statistics with the support of several foreign  government agencies including USAID and various UN agencies, the  Uganda Demographic and Health Survey is a nationally representative  survey that provides limited information on the rate of sexual violence in  Uganda in the context of its broader purpose—to provide nationwide  information on demographic, health, and family planning trends in  Uganda. According to the results of this survey, an estimated 39 percent  of females and 11 percent of males had experienced sexual violence in  their lifetimes.
The survey followed generally accepted survey design, implementation,  and analysis principles and was designed as a multistage stratified cluster  survey. Survey results were calculated using the technique of statistical  weighting, and estimates were accompanied by 95 percent confidence  levels indicating the precision of the estimates. However, as the data  from this survey are from 2006 and cover lifetime exposure to sexual  violence, the Uganda Demographic and Health Survey does not provide a  good basis for estimating the most recent annual rate of sexual violence  in Uganda. Also, as the survey specifically interviewed women aged 15- 49 and men aged 15-54, the results of this survey are limited in their  generalizability to these gendered age groupings.
section_title: Population-Based Surveys Present Challenges and Limitations when Used to Gather Data and Estimate the Rate of Sexual Violence
subsections: section_title: Sampling and Nonsampling Errors Can Present Challenges for Population-Based Surveys
paragraphs: According to researchers, undercoverage can be a significant limitation  when conducting surveys using random sampling in war-torn, conflict- ridden locations. This limitation can be due to several factors. Some  researchers said in eastern DRC it can be because villages are  inaccessible because of security concerns or lack of transportation  infrastructure, especially in remote villages in eastern DRC where  violence is ongoing or likely. According to researchers, accessing  insecure and/or remote locations to conduct surveys could require  procuring security services, which can drive up the cost of the survey.  Surveys that suffer from undercoverage are limited because their results  can be generalized only to certain areas. For example, as previously  noted, the survey conducted by McGill University is generalizable only to  certain territories surveyed in eastern DRC; the territories of Mwenga and  Walikale in eastern DRC are not represented in this survey, and the  survey’s results cannot be generalized to these territories.
In addition, several UN officials and NGO representatives said that  conducting population-based surveys on sexual violence is especially  challenging in eastern DRC because of the sensitive nature of asking  survey respondents to reveal that they have been victims of sexual  violence and the fear of social stigma that can result from revealing such  victimization. Thus, according to U.N. officials, NGO representatives, and  researchers, data from population-based surveys may suffer from  underreporting because response rates depend, in part, on whether or  not victims are willing to discuss experiences of sexual violence. In  addition, survey respondents may hesitate to report if they do not expect  that health services would be provided. Some U.S. officials and NGO  representatives said that conducting surveys in war-torn areas, like  remote parts of eastern DRC, where services are not available, can raise  the expectations of respondents that they will receive services;  consequently, such respondents can become frustrated if they do not  receive these services. Having services available is important because,  according to NGO representatives, when female victims discuss sexual  violence, they often disclose other issues, such as forced early marriage  and domestic abuse.
Going forward, since the reporting requirement in the Dodd-Frank Act is  annual, information on any change in the rate of sexual violence from one  year to the next will be needed. Survey costs can increase if more precise  estimates are needed to determine whether the rate of sexual violence  has changed significantly between two points in time. Survey costs rise  because more precise estimates require a larger sample—a larger  number of individuals—from the population being surveyed than would be  the case for a survey that makes an estimate for one point in time. A main  component of cost for a population-based survey is the staff and other  resources required to survey a sample large enough to complete the  work. According to researchers we spoke to, the goals of their surveys  were to make estimates for one point in time. If the ability to detect small  year-to-year differences is desired, the sample size needed could  dramatically increase. This larger sample will not only drive up the cost of  the survey, but it may be difficult, compared with a sample needed for a  one-point-in-time estimate, to precisely measure whether the rate of  violence has changed significantly. See appendix II for an illustration of  how sample sizes will increase when more precise estimates are needed  to determine whether the rate of sexual violence has changed  significantly over time.
According to UN officials and researchers, surveys conducted in eastern  DRC are hampered by a lack of reliable baseline census or population  data on which to base the surveys. One group of researchers noted that  reliable population data are seldom available in conflict areas. For  example, they told us that, using the most recent population data from  eastern DRC, a researcher could only estimate that DRC’s population is  somewhere between 55 million and 70 million people. Inaccurate  population estimates can affect the estimated rates of sexual violence  resulting from population-based surveys. In addition, according to UN  officials and a researcher, population-based surveys will not capture the  stories of those outside the populations of surveyed villages, such as  civilians who have been abducted by armed groups and villagers who  have left their home villages to flee violence or poor economic conditions.
As previously stated, population-based survey data are the more  appropriate type of data for estimating sexual violence rates. However,  results from surveys conducted on sexual violence may lack qualitative  details and contextual sophistication that can help policymakers  understand the context and conditions in which that violence has  occurred. According to some UN officials and NGO representatives,  analyzing case file data helps service providers better understand the  conditions on the ground in eastern DRC so they can better address  sexual violence and assist sexual violence victims. Also, some UN  officials noted that trend data (identifying local patterns of when, where,  and what type of violence occurs, etc.) can be more important than  determining the rate of sexual violence that is generalizable to a wider  population.
For example, as previously noted, more than 300 people were mass- raped in 13 villages in Walikale, North Kivu, by armed groups between  July 30 and August 2, 2010. NGO representatives and UN officials noted  that the contextual details of the magnitude and severity of this mass  attack would not have been captured in a survey. According to some  NGO representatives and UN officials, the best source of real-time, in- depth information on the details of these attacks came from the case file  data collected by service providers. Also, surveys and their results may  not always capture the cultural context of those surveyed. For example,  one group of researchers said that in-depth interviews with males in  eastern DRC—who had previously reported experiencing sexual  violence—revealed that these males were actually reporting sexual  violence experienced by a female family member, such as a wife, rather  than by the males themselves.
It is difficult to compare the results of different population-based surveys  because the methodological approach of each survey is typically  designed to meet the researchers’ specific objectives. As a result, the  surveys can cover specific geographic areas, age groups of respondents,  and dates of data collection, and may vary in defining sexual violence.  For example, McGill University’s survey covered specific parts of eastern  DRC using an in-depth questionnaire in 2010 to record exposure to  conflict-related sexual violence among adults 18 and older from 1994 to  2010. The survey conducted by UC Berkeley in 2007, on the other hand,  covered parts of eastern DRC as well as other parts of the country and  included one question on exposure to sexual violence among adults 18  and older. And the Democratic Republic of the Congo Demographic and  Health Survey, conducted nationwide from January to August 2007,  asked women about their experiences with sexual violence and breaks  out its data to include North Kivu and South Kivu but does not include any  data specifically for the Ituri District in Orientale Province. There are other  differences between the surveys as well; for example, while the McGill  survey asked respondents to identify if they had experienced explicitly  defined incidences of sexual violence (such as rape, sexual molestation,  or stripping of clothing), the UC Berkeley survey left the term “sexual  violence” undefined and open to the interpretation of the respondent.  Also, in the UC Berkeley survey, interviewers were assigned to same-sex  respondents; the McGill survey did not explicitly match interviewers with  respondents of the same gender.
In Uganda, the survey conducted by UC Berkeley in 2010 focused  specifically on four territories in northern Uganda and measured exposure  to sexual violence between 1987 and 2005 and from 2009 to 2010 among  adults 18 and older. In contrast, the Uganda Demographic and Health  Survey was a national survey conducted in 2006 on many different health  issues, including measuring lifetime exposure to sexual violence among  women aged 15-49 and men aged 15-54. UC Berkeley’s survey in  Uganda, as in eastern DRC, left the term “sexual violence” undefined and  open to the interpretation of the respondent. In contrast, in its survey on  Uganda, the Uganda Demographic and Health Survey asked respondents  to identify if they had experienced explicitly defined incidences of sexual  violence.
section_title: Service Providers Collect Data on Sexual Violence in Eastern DRC and Adjoining Countries, but the Data Are Not Suitable for Estimating a Rate of Sexual Violence
paragraphs: Providers of medical services to victims of sexual violence in eastern  DRC and adjoining countries and others collect case file data on sexual  violence. According to UN officials and NGO representatives, case file  data are not intended to capture the prevalence of sexual violence. For  service providers, the UN, and NGOs active in eastern DRC, case file  information on sexual violence can provide indicators that sexual assaults  are occurring in certain locations and can help service providers respond  to the needs of victims. According to a number of NGOs, case file data  provide the context to understand the evolving nature of sexual violence  in war-torn areas like eastern DRC. However, as case file data are not  based on a random sample and the results of analyzing these data are  not generalizable, case file data are not suitable for estimating a rate of  violence.
A number of organizations, including UNFPA and IRC, collect case file  data on sexual violence in eastern DRC based on information about  victims who report their experiences with sexual violence. Within the  framework of the UN’s Comprehensive Strategy on Combating Sexual  Violence in the DRC, UNFPA is responsible for the data and mapping  component and collects data on recorded cases of sexual violence  throughout the DRC. According to IRC representatives, IRC is the largest  NGO service provider operating in the DRC and also collects case file  data on sexual violence victims who seek its services.
Utilizing information gathered from medical service providers, UNFPA  reported that 15,373 cases of rape occurred during the 2010 calendar  year in the entire DRC. Of the 15,373 cases of rape reported, 9,533 (or  62 percent) of reported rapes took place in North Kivu (5,485), South Kivu  (2,844) or Orientale Province (1,204). UNFPA compiles case file data on  sexual violence from a number of sources, including medical service  providers and NGOs. While UNFPA officials acknowledged that case file  data are not appropriate for estimating a rate of sexual violence, they  stated that their case file data provide a useful tool for identifying patterns  such as the relationships between the perpetrator and victim, the profile  of victims, and where abuses are occurring.
IRC representatives stated that IRC has been treating victims of sexual  violence and collecting its case file data on sexual violence in the DRC  since 2002. IRC has provided services to over 40,000 victims of sexual  violence since 2002, according to IRC representatives. IRC  representatives estimate that they treat 350-400 victims each month. In  the DRC, IRC works through eight service providers that include seven  national partners and one international NGO to provide services to victims  of sexual violence in two territories in North Kivu and six territories in  South Kivu. According to IRC representatives, these eight organizations  use the case file data that IRC collects to inform their programming for  victims of sexual and other types of violence in eastern DRC. IRC also  has a lead role in coordinating the Gender-Based Violence Information  Management System (GBVIMS) initiative with the UN High Commissioner  for Refugees (UNHCR) and UNFPA. The initiative is designed to enable  service providers to safely collect, store, and analyze case file data on  reported sexual violence incidents. The objective of the initiative is to  enhance the collection and reliability of service provider-collected case  file data by simplifying and harmonizing data collection and enabling the  safe and ethical sharing of reported case file data. The initiative is  currently being piloted in North and South Kivu by IRC and was fully  implemented in Uganda in January 2009, according to a UN official.  According to this official, UNFPA and an international NGO are currently  evaluating the applicability of the initiative in Rwanda.
There are other organizations that provide analyses of sexual violence in  eastern DRC using case file data from service providers. Notably, a report  produced by the Harvard Humanitarian Initiative with support from Oxfam  America reviewed case file data on sexual violence victims that had  received medical care from Panzi Hospital in Bukavu, South Kivu. Also,  some advocacy NGOs, such as Human Rights Watch, publish reports  that include information on sexual violence in eastern DRC that is based  on case file data from service providers. Other organizations that provide  services to sexual violence victims, including Doctors Without Borders  and the International Committee of the Red Cross, collect and track their  own case file data, but will not share their data outside their organization  because of security concerns, including fear of retribution against victims  or their families and the possibility that victims could be ostracized by  their families and/or communities if their identities or experiences were  revealed.
Besides UNFPA, there are other UN agencies that publish reports with  information on reported cases of sexual violence. For example, the  November 2010 Report of the Secretary General on the implementation  of Security Council resolutions 1820 and 1888 reported that there  were 15,314 and 15,297 cases of sexual violence in the DRC reported in  2008 and 2009, respectively. UN officials said that, in UN reports, the  totals of sexual violence cases reported are very likely underestimated for  a number of reasons, including the existence of stringent verification and  validation guidelines for UN agencies. Country reports on human rights  practices, drafted annually by the State Department, collecting  information on human rights from a number of sources, also include  information on reported cases of sexual violence.
According to U.S. officials, UN officials, and NGO representatives, case  file data on sexual violence in Rwanda, Uganda, and Burundi are limited  compared with data for eastern DRC. NGO representatives stated that  because of the ongoing conflict in eastern DRC, there are many service  provider organizations in that area assisting victims of sexual violence  and collecting data on services provided. According to these experts,  current case file data on sexual violence reported in Rwanda, Uganda,  and Burundi are generally not associated with any armed conflict. The  2009 and 2010 Department of State Human Rights Reports found the  following:  In Rwanda, courts tried 239 reported rape cases, of which 159 were  new and filed in court, and 1,463 cases were pending in court at the  end of 2010. The 2009 edition of the same report stated that the  police investigated 2,356 cases of rape and that 1,487 new cases of  rape were filed in court.
In Uganda, rapes were underreported and few cases investigated— 619 rape cases were registered with the police in 2009, of which 240  went to court, resulting in 12 convictions. The 2009 edition of the  same report indicated that 1,536 rape cases were registered with the  police in 2008.
In Burundi, rape was underreported for cultural reasons, fear of  reprisals, and the unavailability of medical care. State reported that as  of September 2010, one NGO operating in Burundi received reports of  3,701 cases of rapes and domestic violence and a medical facility  received 742 victims during the year at its center for rape victims in  Burundi’s capital. In the 2009 edition of the same report, State said  that the same NGO received reports of 3,019 cases of rape and  domestic violence during the first half of 2009. Another local NGO in  Burundi’s capital reported receiving an average of 131 rape victims  monthly. Also, an international NGO working in partnership with a  medical facility in Burundi’s capital reported that the medical center  treated at least 7,800 people who suffered from sexual violence over  the course of 6 years (from 2004 to 2009).
Case file information on sexual violence from service providers can  provide useful insights on sexual violence and is useful to help service  providers adjust programmatic responses to assist victims of sexual  violence; however, it has shortcomings and biases that significantly limit  its utility for estimating the rate of sexual violence. Most important,  because case file data are not generated from a random sample, they  cannot be used to make generalized statements about the rate of  violence in a given area. In addition, service provider data have other  shortcomings and biases that significantly limit their utility for discussing  the rate of sexual violence.
Case file data from service providers only record if and when victims of  sexual violence seek medical or other available services. According to UN  officials and researchers, service providers collecting these data rely on  victims visiting hospitals, clinics, or government or UN offices, which  depends on victims’ access to these locations and interest in coming forth  to report victimization. UN officials said there are a number of factors that  can affect whether or not and how frequently a victim of sexual violence  will seek services at a facility, including (1) whether drugs or other  treatments are available at a facility, (2) whether a facility is open or  closed at particular days or times, (3) overcoming fear or lack of finances  to travel (often through insecure areas) to visit a facility, and (4) a  decision by some victims to forgo treatment if they believe they are not  seriously physically injured. Victims of sexual violence also have to  overcome social stigma to seek such services. UN officials also said there  can be significant time delays between when a sexual violence attack  occurs and when that attack is actually reported.
Other factors can compound underreporting of sexual violence in eastern  DRC. NGO representatives said that males and children are also victims  of sexual violence in eastern DRC, but they rarely seek services and few  services are specifically designed for them. In addition, UN officials said  that while service providers record information on those seeking  assistance for themselves, other victims who cannot reach medical or  other care in time go unreported. Moreover, according to UN officials,  many victims seek medical assistance only when medical symptoms  significantly affect their well-being.
UN officials, NGO representatives, and researchers noted that case file  data are largely anecdotal and not uniform, and are collected and  maintained in an ad hoc and confidential manner by service providers.  Because of the way case file data are collected and maintained, it is  unknown how many victims may be counted multiple times by the same  service provider or by different service providers. Some UN officials and  NGO representatives said that as data are collected and combined and  the number of reported cases of sexual violence increases, so does the  possibility of counting the same victim multiple times. According to UN  officials, the lack of a clear referral process between service providers,  the unclear identification of victims, and the flow of internally displaced  civilians also complicate efforts to collect and maintain reliable data on  recipients of services. However, some UN officials noted that the service  provider case data that UNFPA collects are verified by UN officials and  are subject to more stringent review processes than service provider case  data collected by other organizations.
UN officials and NGO representatives said service providers generally are  hesitant to share their case file data with each other or outside parties,  such as the UN. UN officials said that in addition to striving to protect the  identities of sexual violence victims, service providers sometimes  compete over the limited financial resources available to assist victims  and therefore have little incentive to share their data with each other or  outside parties. UN officials and NGO representatives also noted that  service providers view their own case file data as the number of reported  sexual violence victims successfully treated by their organization.  Consequently, an increase in the number of reported sexual violence  victims successfully treated (i.e., their case file data) is viewed as a  positive indicator of successful programming because it means victims  are overcoming social stigma to come forward to seek the organization’s  services.
section_title: Agency Comments and Our Evaluation
paragraphs: We provided a draft of this report to the Secretaries of State and Defense,  and to the United States Agency for International Development, for their  review and comment. All three agencies responded that they had no  comments on the draft of this report. We also provided relevant portions  of the draft of this report to the respective entities responsible for the  population-based surveys we reviewed in this report for their technical  comments and received technical comments, which we incorporated as  appropriate.
We are sending copies of this report to appropriate congressional  committees. In addition, this report will be available on GAO’s Web site at  http://www.gao.gov.
If you or your staffs have any questions about this report, please contact  me at (202) 512-4347 or yagerl@gao.gov. Contact points for our Offices of  Congressional Relations and Public Affairs may be found on the last page  of this report. Key contributors to this report are listed in appendix IV.
section_title: Appendix I: Objective, Scope, and Methodology
paragraphs: In response to a requirement in the Dodd-Frank Wall Street Reform and  Consumer Protection Act (Pub. L. 111-203, sec. 1502(d)) that GAO  submit an annual report that assesses the rate of sexual and gender- based violence in war-torn areas of the Democratic Republic of the  Congo (DRC) and adjoining countries to appropriate congressional  committees and based on parameters agreed upon with appropriate  congressional staff, we identified and assessed available information on  sexual violence in war-torn eastern DRC, as well as three neighboring  countries that border eastern DRC—-Rwanda, Uganda, and Burundi. To  assess the rate of sexual violence in eastern DRC and adjoining  countries, we reviewed Section 1502(d)(1) of the Dodd-Frank Wall Street  Reform and Consumer Protection Act (Pub. L. 111-203), and reviewed  the transcripts of relevant hearings related to the act, as well as reports,  statements, and other documents from the Department of State, the  United States Agency for International Development, and the Department  of Defense (Office of the Assistant Secretary of Defense, Health Affairs),  including the State Human Rights Report. We reviewed and analyzed  relevant reports and guidance issued by United Nations agencies,  including United Nations Population Fund reports on reported cases of  sexual violence in the DRC and the United Nations Comprehensive  Strategy for Combating Sexual Violence in the Democratic Republic of  Congo. We also reviewed various documents and reports by  nongovernmental agencies, such as the International Rescue Committee  (IRC), subject matter experts, and research organizations, such as from  the University of California (UC) Berkeley Human Rights Center, on  sexual violence and the application of scientific measurement to human  rights in the DRC and adjoining countries.
During the course of our review, we interviewed officials from the  Department of State, the United States Agency for International  Development, and the Department of Defense. To understand the role of  the United Nations in gathering data on sexual violence in the DRC, we  interviewed officials from various agencies within the United Nations  including the United Nations Population Fund and the Special  Representative to the Secretary General on Sexual Violence in Conflict.
We met and corresponded with a number of representatives from  nongovernmental organizations, researchers, and recognized subject  matter experts regarding the DRC and the application of scientific  measurement to human rights to discuss sexual violence in the DRC and  adjoining countries, the types of information that are collected on sexual  violence in the DRC and adjoining countries, and the benefits and  limitations associated with each type of information.
We identified five recent population-based surveys that contain estimates  on rates of sexual violence in eastern DRC and adjoining countries. To  evaluate the relative accuracy and methodological strengths and  shortcomings of these existing estimates, we interviewed and discussed  the specifics of these surveys with researchers and statisticians  specializing in the scientific measurement of human rights issues. In  addition, we conducted a rigorous analysis of the five relevant surveys  and identified strengths and limitations associated with each survey. We  also reviewed the Office of Management and Budget’s (OMB) Standards  and Guidelines for Statistical Surveys and derived a number of survey  research principles relevant to assessing the surveys, which can be found  in appendix III. Although OMB’s standards were not final until 2006, the  vast majority of OMB’s guidelines represent long-established, generally  accepted professional survey practices that preceded the 2006 standards  by several decades. We also examined the potential risk for survey  error—that is, “errors inherent in the methodology which inhibit the  researchers from obtaining their goals in using surveys” or “deviations of  obtained survey results from those that are true reflections of the  population.” Survey error could result from issues related to sampling  (including noncoverage of the target population and problems with the  sampling frame), measurement error, data-processing errors, and  nonresponse.
To estimate sample sizes associated with comparing the rate of sexual  violence across two surveys, we started with the 1-year estimate from the  McGill University survey (0.09) and assumed a range of possible changes  in that rate. Then, assuming alpha equals 0.05, power equals 0.8, and  design effect equals 2.8393, we estimated sample sizes according to an  established formula.
We conducted this performance audit from November 2010 to July 2011  in accordance with generally accepted government auditing standards.  Those standards require that we plan and perform the audit to obtain  sufficient, appropriate evidence to provide a reasonable basis for our  findings and conclusions based on our audit objectives. We believe that  the evidence obtained provides a reasonable basis for our findings and  conclusions based on our audit objectives.
section_title: Appendix II: Estimated Survey Sample Size Scenarios
paragraphs: The sample size for a survey can increase significantly if the ability to  detect small differences in the rate of sexual violence between two points  in time is desired. The McGill survey, with a sample of 998, estimated the  rate of sexual violence in the 1-year period from March 2009 through  March 2010 to be 9 percent with a margin of error of plus or minus 3  percent. This sample size may not be sufficient to compare across years.  Table 2 demonstrates how sample sizes must increase if more precision  is needed to determine whether rates of violence have changed  significantly from one year to the next. We started by assuming the Year  1 rate to be the proportion McGill University found to have experienced  sexual violence in the preceding year (9 percent). Then we looked at  various scenarios to see what sample sizes would be needed given a  range of changes in the rate. For example, to determine whether a 10  percent increase in the rate of sexual violence occurred, researchers  would have to survey over 47,000 individuals at one point in time and  interview 47,000 at a second point in time.
section_title: Appendix III: Principles for Evaluating Surveys
paragraphs: GAO found that the five population-based surveys we reviewed followed  generally accepted survey design and implementation principles, but the  quality of survey analysis varied. As a result of our review, we have  documented the strengths of the surveys as well as the limitations that  raise the risk of potential error in the surveys’ results and we note where  those limitations directly or potentially affect the analysis of the survey  data.
Table 3 outlines the generally accepted survey research principles,  derived in part from OMB’s guidelines, that we used in our assessment.  The table is a guide primarily to how we evaluated the strengths and  limitations of the design, implementation, and analysis of the surveys.  However, we caution that survey development is not a linear process;  steps appearing in one section of table 3 may also affect other sections of  the project. Direct fulfillment of each step, while good practice, is not  sufficient to ensure quality. Additional related practices, and the  interaction of various steps throughout the course of project development  and implementation, are essential to a successful survey effort. Table 3  shows the principles that underlie the analysis and evaluation of the five  surveys in this report.
section_title: Appendix IV: GAO Contact and Staff Acknowledgments
subsections: section_title: GAO Contact
section_title: Staff Acknowledgments
paragraphs: In addition to the individual named above, Godwin Agbara, Assistant  Director; Ian Ferguson; Qahira El’Amin; Justin Fisher; Ernie Jackson; and  Adam Vogt made key contributions to this report.