Dispute Resolution Guidance

The goal of dispute resolution is that individual participants in W3C can:

get help and support to safely resolve issues that negatively affect them
correct their 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 Ethics and Professional 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 In exceptional circumstances, individuals may have their W3C participation suspended or withdrawn as a result of a complaint or investigation.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 whatever method of dispute resolution they feel comfortable with.

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

Depending on the severity of the situation, it may not be appropriate to attempt to resolve the issue informally (for example, threats of violence, assault or sexual assault). Individuals should immediately report the incident whenever they feel unsafe or threatened by the behaviour or actions of other W3C participants.

Everyone involved in the dispute 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

Get advice from an Ombudsperson

An Ombudsperson can advise you on:

how the Code of Ethics and Professional Conduct may apply in your situation
ways to get help with mediation
how to raise a formal complaint

[Details of how to contact the Ombusdperson].

Mediation - when it's effective

Mediation is most effective when used earlier 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, and can therefore be less stressful and have a less negative impact on individuals. 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.

Where an issue might be appropriate to resolve through mediation, this can be done in several ways:

indvidual mediation: this is where you feel comfortable contacting the person directly and talking about the issues you have with them
faciitated mediation: this is where you can find help to deal with the issue, for example through another W3C participant or an Ombudsperson
professional mediation: this is where a professional mediator is brought in to help two or more people need to work through an issue

It is encouraged to start the process within 3 months of an initial incident is so that:

you can get resolution to the issue more quickly
it increases the chance of timely resolution
patterns of behaviour can be detected more readily and dealt with

There may be situations or severe incidents, where it may take longer for an individual to feel confortabe raising an issue. In these cases you should still pursue what dispute resolution method you feel is relevant, even after the 3 months has passed. However, it may be more difficult to resolve the issue, as witnesses may not be able to contacted (for exampe, if they've left W3C) or people may not remember the circumstances leading to the incident.

Individual or facilitated mediation

If you feel confident attempting to deal with the issue yourself or with the help of another person, you can:

engage with the individual in a way that you feel comfortable
be clear about the issue, for example refer to the specific area of the CEPC and how the individual's actions were contrary to that point, or how you personally were affected by their actions
avoid using language which might be considered insulting or abusive
ask what you’d like as an outcome, for example an apology or a change in a behaviour

You should try to have an honest and open discussion with the person concerned, either through email or a video call, whatever is most comfortable for both parties.

If it is not possible to talk directly with the person, or if you do not feel comfortable doing so, you could ask another W3C participant to act as a facilitator (for example, the Chair of a Working group). If that is not possible, you may want to try professional mediation.

Professional mediation

Mediation can help people in dispute attempt to reach an agreement.

If two or more people agree that there is conflict, the steps in the process are:

agree to attend mediation as an option for resolving the issue
individually attend a meeting with independent trained mediators
collectively attend a meeting to state how each party sees the problem and how it might be resolved
engage with the mediator who will work through the issues confidentially and confirm agreements with everyone as they are reached

[Details of how to access mediation].

Investigations

If resolution attempts have not worked or the issue is not appropriate for mediation, an individual can raise a complaint against another individual.

You will need to :

raise a written complaint
be clear about the grounds for the complaint (for example, what parts of the CEPC you think are relevant)
describe what you have done so far to resolve the complaint, for example trying to solve the issue yourself or through mediation (if this was appropriate)

You should also:

be as factual as possible
avoid using language which might be considered insulting or abusive
state what outcome is being sought (for example, you’d like the person to work on that behaviour or an apology)

[Details of how to raise a complaint].

An investigator will be appointed and will talk to both parties and anyone else relevant.

The investigator’s role is to:

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

The investigator will write a summary of the result of the investigation and recommend what actions should be taken. Outcomes and actions will be agreed by W3M and communicated to both parties.

Timelines

You should raise an official complaint within 3 months of the original incident.

An investigator will be appointed as soon as possible and will conduct the investigation within a month, but time may vary depending on timezones and availability of the relevant people needed to interview for the investigation.

There may be situations or severe incidents, where it may take longer for an individual to feel confortabe raising an issue. In these cases you should still pursue what dispute resolution method you feel is relevant, even after the 3 months has passed. However, it may be more difficult to resolve the issue, as witnesses may not be able to contacted (for exampe, if they've left W3C) or people may not remember the circumstances leading to the incident.

Disciplinary actions

There are various actions that the investigator and the W3M can take, depending on the frequency and severity of the behaviours in conflict with the CEPC. All decisions are final.

As the intent of the process is to ensure that individuals can continue to participate in W3C.

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

Corrective action. The individual who had the complaint raised against them will be advised to correct their behaviour going forward, for example not engaging in the same behaviours that resulted in the complaint.
Agree to a mediation process. The individual who had the complaint raised against them will be advised to participate in a mediation process, where both parties can agree to certain actions and changes going forward.
Removal from a working group, a chair of a working group or task force facilitator. In cases where the actions by an individual’s has been frequent and disruptive, or they have failed to adhere to actions agreed through mediation, they will be suspended from participating in any working groups, chair positions, or a taskforce facilitator for at least one year.
An official warning. In cases where the actions by an individual are frequent or severe, an individual and their employer (if relevant) will be given an official warning that their conduct is contrary to the CEPC and that they should immediately desist in those behaviours. If they continue, thy may result in the removal or suspension of their W3C participation. There is no time limit for the expiry of the warning.
Disciplinary meeting. In cases where the actions by an individual are frequent or severe, and where greater intervention is needed, an individual and a representative from their place of employment (if relevant) will be asked to attend a meeting with W3M. They will be told where their conduct is contrary to the CEPC and that they should immediately desist in those behaviours. If they continue, they may result in the removal or suspension of their W3C participation.
Final written warning or suspension. Where individuals have received multiple warnings, across the same or multiple parts of the CEPC. The individual and their employer will receive a written warning that any further complaints will result in the removal of their W3C participation. They may also be suspended from W3C for a given length of time.
Termination of participation. Where there have been exceptional circumstances or frequent upheld complaints against an individual, they may have their participation in W3C terminated. The individual and their employer will receive a letter from the W3C outlining the reasons and why termination was warranted.

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