4.1. Conflict Resolution & Escalation Procedure

A. Preamble

This procedure provides a fair, neutral, and predictable process for resolving complaints related to the Core Governance Policies (Module 2.0). It is designed to be a fact-finding, non-partisan process managed under the authority of the Oversight Officer (per Policy 3.2) to ensure all parties receive due process.

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4.1.1. Reporting

A. Reporting Channel

1. Any member of the institutional community ([e.g., employee, faculty, student, patient, client]) who, in good faith, believes a policy in this Toolkit has been violated may file a formal complaint.
2. All complaints shall be submitted directly to the Oversight Officer (or their designated office/intake system).
3. The reporting channel shall be confidential. The identity of the complainant (and any witnesses) will be protected to the fullest extent possible, consistent with the need to conduct a fair and thorough investigation.
4. Retaliation against any individual for filing a good-faith complaint or participating in an investigation is strictly prohibited and will result in separate disciplinary action.

B. Scope of Complaints

This procedure is the exclusive channel for addressing complaints alleging:

• A breach of Institutional Neutrality (Policy 2.1), including misuse of institutional resources.
• A violation of the Commitment to Free Expression (Policy 2.2.1) or Viewpoint Diversity (Policy 2.2.2).
• An act of Harassment (Policy 2.3.1) or Prohibited Conduct (Policy 2.3.2).

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4.1.2. Investigation

A. Initial Assessment

1. The Oversight Officer shall conduct a preliminary review of the complaint to determine its jurisdiction and plausibility.
2. The Officer will dismiss complaints that are filed in bad faith, are unrelated to the policies in this Toolkit, or that fail to allege facts that, if true, would constitute a policy violation.
3. The Officer may offer informal resolution or mediation if appropriate and agreed to by all parties.

B. Formal Investigation

1. If a complaint proceeds to formal investigation, the Oversight Officer will appoint a trained, neutral investigator (or investigative team) who has no conflict of interest in the matter.
2. The investigator’s role is to be an impartial fact-finder, not an advocate for either party.
3. The respondent (the person accused of the violation) shall be given prompt notice of the allegations and a full and fair opportunity to review the complaint and provide a response.
4. Both the complainant and the respondent shall have the opportunity to present relevant evidence and identify witnesses.
5. The investigator shall conduct interviews and gather evidence to produce a Final Investigative Report, which will make findings of fact and determine, by a “preponderance of the evidence” (i.e., more likely than not), whether a policy violation occurred. This report will not recommend sanctions.

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4.1.3. Adjudication and Appeals

A. Adjudication

1. The Final Investigative Report shall be delivered to the Oversight Officer and the designated Adjudicator.
2. The Adjudicator shall be a senior institutional leader with disciplinary authority over the respondent (e.g., [a Dean, Department Head, Head of HR, or a pre-designated disciplinary committee]). The Adjudicator cannot be the same person as the investigator.
3. The Adjudicator shall review the Final Investigative Report and determine the appropriate sanction (if any). Sanctions shall be proportionate to the offense and may range from a formal warning to [mandatory training, loss of privileges, suspension, or termination/expulsion].
4. The determination of a sanction is based only on the conduct, not on the political or ideological views of the respondent.

B. Appeals

1. Either party (complainant or respondent) may appeal the decision within [e.g., 10 business days].
2. The appeal shall be filed with the Oversight Officer, who will refer it to the [designated Appellate Body, e.g., a standing committee of the Board, a panel of senior leaders not involved in the original decision].
3. Grounds for appeal are limited to:

• A significant procedural error that prejudiced the outcome.
• New evidence that was not reasonably available during the investigation.
• The sanction imposed was grossly disproportionate to the violation.

4. The Appellate Body’s decision is final.

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4.2. Standard Operating Procedures (SOPs) for Common Scenarios

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4.2.1. SOP for External Speakers and Events

1. Guiding Principle: In accordance with the Commitment to Free Expression (Policy 2.2.1), the content of a speaker’s speech is not grounds for its cancellation. [Institution Name] does not endorse the views of all speakers who use its facilities.
2. Sponsorship: An invitation by a [student group, faculty department, or other member] does not imply institutional endorsement. Event materials must make this clear. Institutional resources (per Policy 2.1.1) may not be used to sponsor events that are partisan or ideological in nature on behalf of the institution itself.
3. Security, Not Censorship: The [e.g., Campus Security, Facilities Management] office is responsible for assessing the security needs for any event, based on neutral criteria (e.g., expected crowd size, history of physical disruption), not on the speaker’s viewpoint. The cost of security shall not be used as a “heckler’s veto” to prevent an event from proceeding.
4. No Disruption: Protests are permitted but must not violate Policy 2.3.2 (Prohibited Conduct). Blocking access to an event or shouting down a speaker in a manner that prevents them from being heard is a violation and will result in removal and/to disciplinary action.

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4.2.2. SOP for Responding to Public Pressure / Activism

1. Guiding Principle: Institutional decisions must be based on the Collective Decision-Making Framework (Policy 3.1), not on external or internal activist pressure (e.g., media campaigns, petitions, boycotts, or “de-risking” ¹).
   
2. Intake: All public demands for institutional action (e.g., to issue a statement, sever a relationship, or sanction an individual for their speech) shall be routed to the [e.g., Office of the President/CEO / General Counsel / CNO].
3. Response Protocol:

• The designated official will acknowledge receipt of the demand.
• The response will not immediately concede to the demand or apologize for the protected speech or conduct.
• The response will reaffirm the institution’s commitment to its Core Mission and Institutional Neutrality.
• Example language: “[Institution Name]’s Core Mission is to [e.g., ‘provide care to all patients’]. Our commitment to Institutional Neutrality (Policy 1.2) and Free Expression (Policy 2.2.1) is essential to that mission. The individual in question spoke in their personal capacity. While we protect the right of all to disagree, we do not sanction community members for their protected speech, nor does the institution take official positions on this issue.”

4. Internal Review: If the demand alleges an actual policy violation (e.g., Harassment, Disruption of Mission), the matter will be confidentially referred to the Oversight Officer for review under Procedure 4.1. The outcome will be determined by that procedure, not by public pressure.

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4.2.3. SOP for Institutional Communications and Social Media

1. Guiding Principle: All official institutional communications must serve the Core Mission and uphold Institutional Neutrality (Policy 1.2, 2.1.1).
2. Official Accounts: Any social media or communications account that uses the institution’s name, logo, or resources and is run by a [department, office, or unit] is an “Official Account.”
3. Permitted Content: Official Accounts are limited to content directly related to the Core Mission.

• Permitted: [e.g., Announcing research; sharing academic achievements; providing patient health information; communicating service hours; announcing court closures; promoting faculty/staff work].
• Prohibited: Taking a stance on contested social or political issues; supporting/opposing a political party or candidate; promoting an ideological cause; issuing statements of “solidarity” or “condemnation” on public events unrelated to the Core Mission.

4. Distinction from Individual Accounts:

• Employees are free to run personal accounts and express their personal views.
• Employees must not use their personal accounts in a way that implies they are speaking for [Institution Name]. They should include a disclaimer (e.g., “Views are my own”).
• No employee may be required or pressured by their manager to use their personal accounts to promote an institutional or political message.

Review: The Oversight Officer is authorized to audit all Official Accounts for compliance with this policy.