These reporting procedures aim to ensure the following values embodied in the Code of Ethics and Community Conduct (CECC) are upheld and reinforced:

• that those who experience harm or who witness potential violations of the CECC while participating and collaborating within GA4GH are encouraged to report what they have experienced and observed, so that the reported conduct may be promptly addressed in a confidential manner that limits retaliation;
• that those accused of potential CECC violations have the opportunity to respond to the report of prohibited conduct in an evidence-based, procedurally fair process and have their response considered by neutral and unbiased decision-makers;
• that the consequences for engaging in prohibited behaviour are proportional to the harm caused and play a preventative role in protecting the safety of community members and promoting the desired organisational culture of care;
• that GA4GH’s process for addressing reported violations of the CECC is transparent, simple to use, promotes reporting, limits the spread of rumours and innuendo, and is procedurally fair to all involved parties.

The reporting procedures are based upon best practices adopted by similar organisations to implement and enforce organisational codes of conduct:

• promptly after harm is observed or reported;
• efficiently without excessive burden to the parties or decision makers;
• effectively to deter harm and promote a safe, welcoming community.

Procedure for reviewing reported violations

1. Either the Safe GA4GH Committee (SGC), or the Safe GA4GH Officer (SGO) receives a report through one of the various available reporting channels.
2. The SGC or the SGO notifies the other that a report has been submitted, as well as relevant GA4GH leadership as minimally necessary to maintain safety and confidentiality or to minimise further escalation of conflict.
3. Once a report is received, the SGO will conduct a preliminary investigation to determine if the conduct reported is a potential violation of the CECC. The SGO will also conduct preliminary investigations upon request of a SGC member, the SGO, or a GA4GH staff member.
4. Some reported conduct can be handled without additional investigation or a formal investigation process, particularly when the reporting party does not wish to proceed with a formal report or when the nature of the matter lends itself to being handled immediately.
5. When the preliminary investigation is complete, the SGO will make a recommendation to the SGC as to whether a full investigation should take place. If the SGC recommends a full investigation, the SGC will notify the accused, who will have seven days to respond.
6. If a full investigation is recommended, GA4GH will place an immediate hold on the accused’s participation in GA4GH, who will not be permitted to participate in meetings and events until the investigation is complete.
7. The SGO will conduct a full investigation in conjunction with the SGC. The investigation will include interviewing parties and witnesses and reviewing relevant documents.
8. When the investigation concludes, the SGO will prepare an investigation report for the SGC’s consideration.
9. The SGC will consider any conflicts of interest and agree to keep the identity of the parties (if known) confidential.
10. The SGC will discuss the report, deliberate on consequences, and make a recommendation to the GA4GH Executive Committee.
11. The GA4GH Executive Committee will consider any conflicts of interest and agree to keep the identity of the parties (if known) confidential.
12. The GA4GH Executive Committee will issue a determination with consequences for any member found to have violated the CECC and will notify all parties in writing of the outcome, working with the SGO if necessary to preserve confidentiality of the reporting party’s identity.
13. A participant found to have violated the CECC and subject to consequences for their membership or participation in GA4GH may submit a petition for reconsideration to the GA4GH Executive Committee on the following grounds:

• the conduct was wrongly decided to have violated the code;
• or bias or misconduct affected the outcome;
• or the consequences were disproportionate to the seriousness of the violation.

14. The petition of 500 words or less, with justification for the appeal and new evidence or a narrative explaining why previous evidence should be reconsidered, must be submitted to the GA4GH Executive Committee within seven days of the notice date and will be heard at the next regularly scheduled GA4GH Executive Committee meeting. The reconsideration decision will be final, and if denied, any consequences for the participant’s violation will be immediately carried out.
15. If there are consequences to further participation in GA4GH, such as a ban on particular activities (e.g. participation in meetings and events, eligibility for leadership, honours or awards, or a suspension or expulsion from the community), the relevant GA4GH staff person will be notified subject to confidentiality, to carry out the consequences. In some cases, the accused’s employer may also be notified.
16. A designated GA4GH staff person will keep a confidential record of all reports so that a participant’s conduct may be considered as part of a pattern in the future, even if not the subject of a formal process or if the first report is not determined to be a violation warranting consequences.

SGC Duties and Responsibilities

The SGC will have the following duties and responsibilities:

• receive reports of potential violations of the CECC from the GA4GH community and refer to/consult with the SGO concerning next steps to be followed in the “Procedures for reviewing reported violations”;
• receive preliminary investigation reports from the SGO to determine whether a formal investigation process is warranted based upon the information presented;
• receive full investigation reports from the SGO and after evaluating the full investigation report, make a recommendation to the GA4GH Executive Committee;
• evaluate and recommend approval for updated CECC provisions and changes to the “Procedures for reviewing reported violations”;
• weigh in on matters relating to GA4GH climate and culture, and collaborating with and giving feedback to other GA4GH committees addressing related topics such as institutional equity, diversity, and inclusion, meeting planning, and more.