{"id":808,"date":"2022-04-05T18:11:57","date_gmt":"2022-04-05T18:11:57","guid":{"rendered":"https:\/\/www.capitalarchivist.org\/caa\/?page_id=808"},"modified":"2022-04-11T17:44:04","modified_gmt":"2022-04-11T17:44:04","slug":"capital-area-archivists-of-new-york-caa-procedures-for-responding-to-violations-of-the-code-of-conduct","status":"publish","type":"page","link":"https:\/\/www.capitalarchivist.org\/caa\/?page_id=808","title":{"rendered":"Code of Conduct Procedures"},"content":{"rendered":"<p><span style=\"font-weight: 400;\">Our Code of Conduct is a statement of values. Ultimately, however, it is only as good as its enforcement procedures. This procedure documents actions to be taken by CAA leadership and events organizers in the event of a violation of the Code of Conduct. It can be difficult to respond to these situations, so this guidance is designed to ensure that CAA and events leadership respond responsibly and effectively.<\/span><\/p>\n<h2><b>Responsible Reporters<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">All members of the CAA Governance Group must be available to take reports on Code of Conduct violations. Organizers of CAA events and communication spaces must also be available to take reports of violations in those spaces. Reports must be taken using the following procedures.<\/span><\/p>\n<h2><b>Taking reports<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Upon receiving a report of a violation of the Code of Conduct or Community Agreements, ask the reporter if they would like to make a formal report. Let them know that you can\u2019t make any promises about how it will be handled, but their safety and confidentiality will be a priority. <\/span><b>Take a written report, or write down verbal reports as soon as possible.<\/b><span style=\"font-weight: 400;\"> Reports of any length should be taken in a quiet, private space. If the following information is not volunteered in the written or verbal report, ask for it\/include it, but do not pressure them.<\/span><\/p>\n<p>&nbsp;<\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Identifying information (name if possible) of the participant violating the Code of Conduct<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Reporter\u2019s name and contact information<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">The approximate time and date of the behavior (if different than the time the report was made)<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Place of the incident<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">What happened (try to collect as much information as possible to provide a clear understanding of what occured)<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Other people involved in the incident<\/span><\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Do not question the reporter&#8217;s truthfulness. It is your job to maintain a supportive environment and ensure that fair procedures are followed, not to conduct an investigation. <\/span><b>Do not summon law enforcement unless there is a threat to physical safety, or at the request of the reporter<\/b><span style=\"font-weight: 400;\"> (see Threats to physical safety and law enforcement section, below).<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">If the reporter is distressed and\/or needs additional assistance, offer them a private space to be in, ask how you can help, and make sure they have local emergency contact information (included in the Code of Conduct). Ask if there is a trusted friend they would like you to get; if so, have someone bring that person.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">If the incident was widely witnessed: Thank them for the report and tell them you will convene the members of the Governance Group.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">If the incident was private: Thank them for the report and say you will convene the Governance Group if that is okay with them. <\/span><b>Consent is critical.<\/b><span style=\"font-weight: 400;\"> Be explicit with the reporter about with whom you intend to share the report.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Do not:<\/span><\/p>\n<p>&nbsp;<\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Pressure them to withdraw the report.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Ask for their advice on handling the report or imposing penalties. This is the responsibility of project staff and facilitators.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Share details of the incident with anyone, including CAA leadership, without the specific consent of the reporter.<\/span><\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Be aware that people who have experienced harassment and abuse may be re-traumatized if the details become public. In addition, abusers may recognize these details, even if they have been anonymized, become angry at the reporter, and enact further trauma. Again, confidentiality and consent are incredibly important.<\/span><\/p>\n<h2><b>Threats to physical safety and law enforcement<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">If you have any concerns as to anyone&#8217;s physical safety, contact venue security or local law enforcement immediately.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Do not involve law enforcement under any other circumstances except by request of the reporter. Remember that some participants will experience law enforcement as increasing, not diminishing, threats to their safety, so it is very important that they be in control of this choice.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">If escalation leads to a harasser being required to leave an event, and they refuse to leave, it may be necessary to involve location staff, other employees, or law enforcement as a last resort.<\/span><\/p>\n<h2><b>Recusal process<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Conflicts of interest may include relationships of the following nature with either party:<\/span><\/p>\n<p>&nbsp;<\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Close friendships<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Business partnerships<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Romantic relationships<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Family relationships<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Hierarchical academic or business relationships<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Any other significant power relationship<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Significant personal conflict<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Involvement in the incident<\/span><\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">If you think the nature of your relationship with either party is such that you would be significantly biased for or against them, or if you would be in a position to retaliate against or receive retaliation from either party depending on the outcome, you should recuse yourself. Additionally, if the nature of your relationship is such that outside people might reasonably perceive a conflict of interest, you should recuse yourself.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">It is not necessary to recuse yourself on the basis of having been present at a public violation under discussion, or on the basis of the sort of general friendships and acquaintanceships which many people share in professional spaces.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Recusing yourself means you should stop influencing the decision in any way. Don\u2019t participate in the discussion, and don\u2019t discuss the decision with others (including other staff), read or write the documentation, etc. If there are email threads, group chats, etc., leave them if possible (and if you haven\u2019t recused yourself, don\u2019t include people who are recused in these group communications).<\/span><\/p>\n<h2><b>Responding to reports<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Send the report immediately to the team of Code of Conduct responsible reporters using established private communication channels, and\/or convene a meeting (physical or virtual) as soon as possible (within 2 hours if during an event, or within 1 business day if not at an event). Do let the alleged harasser know that a complaint has been lodged (reread the language above about confidentiality and consent first). CAA is not in a position to conduct exhaustive investigations, so don&#8217;t. It may be necessary and prudent to gather some additional information before reaching a decision, however.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">At the meeting, discuss:<\/span><\/p>\n<p>&nbsp;<\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">What happened?<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Are you doing anything about it?<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">If so, who is doing it?<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">When will they do it?<\/span><\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Specific sanctions may include but are not limited to:<\/span><\/p>\n<p>&nbsp;<\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">warning the harasser to cease their behavior and that any further reports will result in other sanctions<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">requiring that the harasser avoid any interaction with, and physical proximity to, the&nbsp; reporter(s) for the remainder of the event<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">early termination of a presentation that violates the policy<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">not publishing the video or slides of a presentation that violated the policy<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">not allowing a speaker who violated the policy to give (further) talks at the event<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">immediately ending any event volunteer responsibilities and privileges the harasser holds requiring that the harasser not volunteer for future project events (either indefinitely or for a certain time period)<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">requiring that the harasser immediately leave the event and not return<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">banning the harasser from future events (either indefinitely or for a certain time period)<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">publishing an account of the harassment<\/span><\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Keep in mind that it is never a good idea to require an apology. If a harasser would like to apologize, this may also be a bad idea. Do not include the reporter, the alleged harasser, or anyone with a conflict of interest at this meeting.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">If there is no consensus in the group on a response, the coordinators will determine and communicate the course of action.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Violations that have been reported second hand, not by the target of the violation, should be handled on a case by case basis. Keep an eye on those involved in the report and, if need be, approach the affected parties.<\/span><\/p>\n<h2><b>Communications<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">The CAA Governance Group will determine whether private (not widely witnessed) incidents need to be addressed with the CAA membership. Widely witnessed incidents should be addressed to the broader membership community.<\/span><\/p>\n<h3><span style=\"font-weight: 400;\">Involved parties<\/span><\/h3>\n<p><span style=\"font-weight: 400;\">As soon as possible after the meeting, communicate your decision and any actions you are taking to involved parties.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">When meeting with someone accused of harassment, follow the Rule of Two &#8211; have two volunteers in the room. Any more than two might be viewed as piling on the person, any less than two is a safety concern.<\/span><\/p>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Remind individuals of the Community Agreements and point out any pertinent sections regarding the nature of the report. The Community Agreements serve to provide a structure for supportive, effective and inclusive collaboration.<\/span><\/p>\n<h3><b>The broader CAA membership community<\/b><\/h3>\n<p><span style=\"font-weight: 400;\">First, reread the language above about confidentiality and consent, and consider this section in that light.<\/span><\/p>\n<p>&nbsp;<\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Do respond quickly.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Do keep individuals on both sides of an incident anonymous. (Potential exceptions: when a harasser is in the CAA leadership; when the incident was public and high-profile.)<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Do provide a general sense of the nature of the incident.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Do say what you have done in response to the incident.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">You may briefly note any steps taken by harassers to remedy the situation (e.g. apology, leaving the conference). Don&#8217;t give them a cookie for it.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Do provide multiple avenues for community feedback to CAA Governance Group. This feedback should be private. If you provide only one feedback mechanism, make sure it is accessible to everyone (e.g. email good, in-person conversations bad).<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Do reiterate the CAA\u2019s values.<\/span><\/li>\n<\/ul>\n<p>&nbsp;<\/p>\n<p><span style=\"font-weight: 400;\">Your goal is to be transparent about your process and values while respecting the privacy of individuals involved. Keep it brief and clear. There will probably be upset community members who want to talk. Governance Group members should listen to them nonjudgmentally, take notes if needed, thank them for their feedback, and not flip into problem-solving or explaining mode. Apologize as needed; avoid defensiveness.<\/span><\/p>\n<h1><b>Sources:<\/b><\/h1>\n<p><span style=\"font-weight: 400;\">In creating this document, we were inspired by and made use of the Islandora Collaboration Group, <\/span><a href=\"http:\/\/code-of-conduct.voxmedia.com\/\"><span style=\"font-weight: 400;\">Vox Product Team Code of Conduct<\/span><\/a><span style=\"font-weight: 400;\">, the <\/span><a href=\"https:\/\/www.diglib.org\/about\/code-of-conduct\/\"><span style=\"font-weight: 400;\">DLF Code of Conduct<\/span><\/a><span style=\"font-weight: 400;\">, the <\/span><a href=\"http:\/\/www.dhsi.org\/events.php\"><span style=\"font-weight: 400;\">DHSI Statement on Ethics and Inclusion<\/span><\/a><span style=\"font-weight: 400;\">, the <\/span><a href=\"https:\/\/docs.ansible.com\/ansible\/2.5\/community\/code_of_conduct.html\"><span style=\"font-weight: 400;\">Ansible Community Code of Conduct<\/span><\/a><span style=\"font-weight: 400;\">, the <\/span><a href=\"https:\/\/github.com\/XFRCollective\/Administrative\/blob\/master\/CodeofConduct.md\"><span style=\"font-weight: 400;\">XFR Collective Code of Conduct<\/span><\/a><span style=\"font-weight: 400;\">, and the <\/span><a href=\"https:\/\/www.recurse.com\/manual\"><span style=\"font-weight: 400;\">Recurse Center\u2019s User\u2019s Manual<\/span><\/a><span style=\"font-weight: 400;\">.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Procedures for Responding to Violations was adapted from the <\/span><a href=\"https:\/\/docs.google.com\/document\/d\/1MmNYz1eG1ZqchaczDX3Kup5iYAyRPB9YP7p0FeQBGsE\/edit#heading=h.8uqq1hbgtkog\"><span style=\"font-weight: 400;\">Lighting the Way Forum<\/span><\/a><span style=\"font-weight: 400;\"> which was adapted from the <\/span><a href=\"https:\/\/github.com\/code4lib\/code-of-conduct\/blob\/master\/procedures.md\"><span style=\"font-weight: 400;\">Code4Lib Procedures for Reporting and Responding to Violations of the Code of Conduct<\/span><\/a><span style=\"font-weight: 400;\">.<\/span><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Our Code of Conduct is a statement of values. Ultimately, however, it is only as good as its enforcement procedures. This procedure documents actions to be taken by CAA leadership and events organizers in the event of a violation of the Code of Conduct. It can be difficult to respond to these situations, so this [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":801,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":[],"_links":{"self":[{"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=\/wp\/v2\/pages\/808"}],"collection":[{"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=808"}],"version-history":[{"count":3,"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=\/wp\/v2\/pages\/808\/revisions"}],"predecessor-version":[{"id":819,"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=\/wp\/v2\/pages\/808\/revisions\/819"}],"up":[{"embeddable":true,"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=\/wp\/v2\/pages\/801"}],"wp:attachment":[{"href":"https:\/\/www.capitalarchivist.org\/caa\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=808"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}