This document is a companion to the W3C Code of Conduct. It describes the procedures for handling incidents relating to Code of Conduct violations or complaints.

Introduction

As we engage with one another, incidents can happen. Incidents can take many forms, but participants have the right to a safe and positive work environment. The goal of this incident resolution process is that participants in W3C can:

• Get help and support to safely resolve issues that negatively affect them
• Correct behaviours that negatively affect other participants in W3C
• Continue to safely work and contribute to the W3C after an issue has been raised

The Code of Conduct is the standard that all W3C participants are required to follow and is used as the basis for any resolution and disciplinary actions. In exceptional circumstances, individuals may have their W3C participation suspended or withdrawn as a result of a complaint or investigation.

All situations are different and W3C participants are encouraged to use whichever method of incident resolution they feel comfortable with.

Participants are encouraged to try and resolve issues themselves in the first instance. However, if participants do not feel comfortable or safe doing so, they can get help through an ombudsperson, facilitators and/or mediation.

Depending on the severity of the situation, it may not be appropriate to attempt to resolve the issue informally or in the context of the group. Participants should immediately report an incident whenever they feel unsafe or threatened by the behaviour or actions of other W3C participants.

Everyone involved in the resolution process is expected to:

• Show respect for others
• Work together to resolve the complaint
• Maintain confidentiality

A disciplinary investigation can be started where one of the following apply:

• It’s not appropriate to begin with mediation
• All other mediation or resolution attempts have not worked

Incident Resolution Procedures

When an incident arises it is important for everyone involved to know what will happen and what resources are available to them. Any time a Code of Conduct violation or complaint occurs it is important that those involved, especially the party/parties affected by the incident, feel supported and respected.

How an incident is handled will depend on a number of factors including the type of incident, severity, frequency, and contributing factors (for example, has anyone been involved in incidents before, is there a pattern?).

The procedure for addressing an incident will include some or all of the following steps:

1. Incident is addressed directly with the parties involved, if appropriate.
2. Incident is reported.
   • Reporting can take on many forms including reporting the issue to a chair, ombudsperson, through an anonymous report, or a member of the team.
3. Incident is discussed, impact is shared, and first resolution is proposed.
   • For incidents that have a clear path to resolution and low severity (for example, a harsh criticism in a meeting or inappropriate language), the focus should be on coming to a shared understanding of what happened and agreeing to a path to resolution (for example, an apology or editing a comment or minutes).
4. ...

The Role of the Ombuds

Ombuds are advisors to participants who can provide guidance, advice, and support during the conflict resolution process. Ombudspeople are meant to be neutral third parties to any incident, and as such are recommended not to take sides or provide opinions on the incidents they are involved in. This does not preclude them from expressing empathy or providing advice from personal experience.

An Ombudsperson can advise or assist you with:

• How the Code of Conduct may apply in your situation
• How to start a mediation process
• How to raise a formal complaint

TODO: More about the role of the ombudsperson and what they can and cannot do.

Mediation

Mediation is most effective when used early in a dispute, before people become fixed in their position, as it provides a positive opportunity to resolve practical problems.

It empowers people to work together to resolve issues. Mediation can also be successful in later stages, after an investigation has concluded, to help people rebuild relationships.

It is usually between two parties, but mediation can also work for groups. Mediation can be used to resolve a range of issues including a breakdown in relationships or ongoing conflicts between group members.

Where it's appropriate to attempt to resolve an issue with mediation, there are two approaches that can be taken:

• Informal Mediation: Any mutually trusted individual may act as an informal mediator, such as a chair or Ombud or even another W3C participant. The process may take place in person, over a call, through email, or through some other medium, but the goal remains: to reach resolution.
• Formal Mediation: This approach involves a professional mediator, as well as the parties involved in the incident. It may also include parties like ombudspeople or chairs to help facilitate or provide necessary context or support. A professional mediator will be an independent third-party who is brought in to find a resolution to the conflict.

Investigations

If resolution attempts have not worked or the issue is not appropriate for direct resolution or mediation, a participant may raise a formal complaint against another participant.

TODO: Outline where and how to send a formal complaint.

A formal complaint should be in writing, and include the following:

• the grounds for the complaint (for example, what parts of the CoC you think are relevant)
• if appropriate, what you have done so far to try to resolve the complaint (for example, trying to solve the issue yourself or through mediation)
• any evidence or applicable materials relating to the conflict (e.g., emails, minutes, screenshots, or other materials)
• what resolution or action you wish to be taken to address the conflict

An investigator will be appointed and will talk to both parties and anyone else relevant. The investigator's role is to:

• determine whether the incident involved a violation of the CoC
• establish what happened, in a fair and objective manner
• ensure that the investigation is proportionate to the seriousness and complexity of the complaint
• ensure that the investigation is concluded without delay
• keep notes and submitted evidence in confidence
• write a summary of the result of the investigation
• recommend what actions should be taken

Outcomes and actions will be agreed by W3M and communicated to both parties.

Disciplinary Actions

There are various actions that the investigator can recommend, depending on the frequency and severity of the behaviours in conflict with the CoC.

The intent of the incident resolution procedures is to ensure that individuals can continue to participate in W3C activities.

Where it is beneficial to the continued functioning of W3C, a high level summary of results and actions from an investigation may be communicated to the membership, for example if an individual is suspended from a working group or from being a chair in any working group. Otherwise, results and actions should be kept confidential.

Chairs, ombudspeople, mediators, and investigators can recommend actions be taken to resolve incidents, recommended actions may include:

1. Corrective action. The offender will be advised to correct their behaviour going forward, for example not engaging in the same behaviours that resulted in the complaint.
2. Agree to a mediation process. The offender will be advised to participate in a mediation process, where both parties can agree to certain actions and changes going forward.
3. An official warning. In cases where an offender's CoC violations are frequent or severe, the offender and their employer (if relevant) will be given an official warning that their conduct is contrary to the CoC and that they should immediately desist in those behaviours. If they continue, this may result in the removal or suspension of their W3C participation. There is no time limit for the expiry of the warning.
4. Disciplinary meeting. In cases where the offender's actions are frequent or severe, and where greater intervention is needed, the offender and a representative from their place of employment (if relevant) will be asked to attend a meeting with W3M. The offender will be told where their conduct is contrary to the CoC and that they should immediately desist in those behaviours. If they continue, they may result in the removal or suspension of the offender's W3C participation.
5. Temporary removal from a working group, or as a chair of a working group or task force facilitator. In cases where the offender's violations has been frequent and disruptive, or the offender has failed to adhere to actions agreed through mediation, the offender will be suspended from participating in any working groups, chair positions, or as a taskforce facilitator for a period of time agreed on by decision makers.
6. Termination of participation. Where there have been egregious or repeated CoC violations, the offender may have their participation in W3C terminated. The offender and their employer (if relevant) will receive a letter from W3C outlining the reasons and why termination was warranted.